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THE CONTRIBUTION OF RECORDS MANAGEMENT TOWARDS AN ORGANISATION’S COMPETITIVE PERFORMANCE
by
MPHALANE MOSES MAKHURA
THESIS SUBMITTED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE
DEGREE
DOCTOR LITTERARUM ET PHILOSOPHIAE
in
INFORMATION SCIENCE
in the
FACULTY OF HUMANITIES
at the
UNIVERSITY OF JOHANNESBURG
PROMOTER: PROF A.S.A. DU TOIT
MAY 2005
ii
ACKNOWLEDGEMENTS
I wish to thank my promoter, Professor A.S.A du Toit, for her parental support, advice and
guidance throughout my study period. She always gave me extra courage to carry on
when I started to lose hope about my study. She allocated her most valuable resource i.e.
time, to ensure that I complete my study in record time. Her support will always be missed
in whatever project I get involved in henceforth.
I would commit an offence by not thanking my wife, Maripane, my son, Tsobi, my
daughter, Sethodi and my parents, Nakedi and Sethodi, for their support. Furthermore, I
also wish send my regards to members of the G7 family for their continued support i.e.
Molatelo, Mokgadi, Mochipisi, Moraka-Nakedi (Dr), Mosusumedi and Moyahabo.
Having experienced his power, it would be a great sin to forget to thank the almighty, God
of mount Zion. I therefore wish to thank my role model, His Grace Bishop Dr Ramarumo
Lekganyane, for his spiritual advice and guidance throughout my study. Listening to his
speeches during church conferences and meeting him across Kwenane in his worksuits in
preparation for conferences encouraged me to think twice about my work. Re a leboga
Mohwaduba wa Mphaka bo Monare.
iii
DECLARATION
I, Mphalane Moses Makhura hereby declare that the thesis submitted for the D. Litt. et
Phil. degree to the University of Johannesburg, apart from the help recognised, is my own
original work and has not previously been submitted to any university in order to obtain an
academic qualification.
…………………….. …………………….
MM Makhura May 2005
iv
DEDICATION
This work is dedicated to my parents without whom I could not have managed to
achieve what I have. I wish they could live longer and witness the implementation
of this project.
v
ABSTRACT
The purpose of this study was to determine the extent to which the information user’s
behaviour and proper records management contribute to the performance of an
organisation to ensure competitive survival. The purpose of records management in an
organisation, the records life cycle in an organisation from the creator to the end-user and
electronic records management were thoroughly explored.
A survey was conducted to investigate the current position of the records management
function at South African National Parks (SANParks) as well as the manner in which
records as information sources are used by end-users (employees). Based on the survey
results, it was discovered that SANParks as an organisation does not practice sound
records management as preached by Section 13 of the National Archives and Records
Service of South Africa Act (No. 43 of 1996 as amended). There is no consistency with
regard to filing methods and the manner in which records are destroyed or deleted tells
that there is no officially appointed records manager at SANParks.
Even though information is considered the most vital resource for the future survival of
SANParks, records as the main source of information are neglected and managed
voluntarily by end-users themselves. There are no control measures for ensuring care and
safe custody of records. An e-mail policy, filing procedure manual and disaster recovery
plan do not exist. End-users are seen managing records on their own and there is no
policy or guideline to ensure proper measurement and effective control of records.
The lack of records management at SANParks indirectly affects the information user
behaviour of employees to achieve competitive performance. The current means of
communication dictates the manner in which records are managed. Since electronic
means of communication are used most often, records management at SANParks is
drastically shifting from manual to electronic. Recommendations for records management
procedures within the context of empirical survey findings, the statutory framework and
international standards are made. In conclusion, it is recommended that the records
management function should form part of performance appraisal evaluation and that all
members of staff should be evaluated in terms of their record-keeping skills.
vi
TABLE OF CONTENTS Page
ACKNOWLEDGEMENTS................................................................................................................................... ii
DECLARATION ................................................................................................................................................. iii
DEDICATION..................................................................................................................................................... iv
ABSTRACT.........................................................................................................................................................v
TABLE OF CONTENTS.....................................................................................................................................vi
CHAPTER ONE: BACKGROUND AND PROBLEM STATEMENT ................................................................. 1
1.1 INTRODUCTION.................................................................................................................................. 1
1.2 BACKGROUND TO THE PROBLEM .................................................................................................. 2
1.3 STUDY OBJECTIVES.......................................................................................................................... 4
1.4 RESEARCH QUESTION ..................................................................................................................... 4
1.5 RESEARCH METHODOLOGY............................................................................................................ 5
1.5 DELIMITATION OF THE STUDY ........................................................................................................ 6
1.7 DEFINITION OF CONCEPTS.............................................................................................................. 6
1.7.1 Information User Behaviour ...................................................................................................................6
1.7.2 Competitive performance.......................................................................................................................7
1.7.3 Records Management............................................................................................................................8
1.7.3.1 Records...............................................................................................................................................8
1.7.3.2 Records Management and Information Management ......................................................................9
1.8 CHAPTER OUTLINE ......................................................................................................................... 10
CHAPTER TWO: PURPOSE OF RECORDS MANAGEMENT IN AN ORGANISATION.............................. 12
2.1 INTRODUCTION................................................................................................................................ 12
2.2 THE EXISTENCE OF RECORDS MANAGEMENT .......................................................................... 12
2.2.1 Statutory Framework for Existence of Records Management in South Africa.................................. 13
2.2.1.1 National Archives and Record Service of South Africa Act (No. 43 of 1996 as amended) .......... 14
2.2.1.2 Promotion of Access to Information Act (No. 2 of 2000)................................................................ 15
2.2.1.3 Promotion of Administrative Justice Act (No. 3 of 2000)................................................................ 16
2.2.1.4 Electronic Communication and Transactions Act (No. 25 of 2002)............................................... 16
2.2.1.5 Public Finance Management Act (No. 1 of 1999) .......................................................................... 16
2.3 THE ROLE OF RECORDS MANAGEMENT IN AN ORGANISATION.............................................. 17
2.3.1 The Nature of the Records Management Function............................................................................ 20
2.3.1.1 Business domain ............................................................................................................................. 20
2.3.1.2 Accountability domain ..................................................................................................................... 21
vii
2.3.1.3 Cultural domain................................................................................................................................ 22
2.4 ADVANTAGES OF A GOOD RECORDS MANAGEMENT SYSTEM ............................................... 23
2.5 RECORDS MANAGEMENT FROM A GOAL-ORIENTED PERSPECTIVE...................................... 26
2.5.1 Decision Making Perspective.............................................................................................................. 26
2.5.2 Competitive Performance Perspective ............................................................................................... 27
2.6 CAUSES OF POOR RECORDS MANAGEMENT PRACTICES....................................................... 28
2.7 CONCLUSION ................................................................................................................................... 29
CHAPTER THREE: STRATEGIC ROLE OF RECORDS MANAGEMENT IN AN ORGANISATION ............ 30
3.1 INTRODUCTION................................................................................................................................ 30
3.2 LIFE CYCLE OF A RECORD ............................................................................................................ 31
3.3 ORGANISATIONAL STRUCTURES ................................................................................................. 37
3.4 IMPACT OF THE ORGANISATIONAL STRUCTURE ON A RECORD’S LIFE CYCLE ................... 43
3.5 IMPACT OF ORGANISATIONAL STRUCTURE AND RECORDS’ LIFE CYCLE ON END-USER BEHAVIOUR........................................................................................................................... 46
3.6 CONCLUSION ................................................................................................................................... 47
CHAPTER FOUR: IMPACT OF INFORMATION TECHNOLOGICAL ON RECORDS MANAGEMENT ................................................................................................................................. 48
4.1 INTRODUCTION................................................................................................................................ 48
4.2 MANAGEMENT OF ELECTRONIC RECORDS IN AN ORGANISATION ........................................ 49
4.2.1 Management of Electronic Mail as Electronic Records ..................................................................... 51
4.3 ADVANTAGES AND DISADVANTAGES OF ELECTRONIC RECORDS MANAGEMENT.............. 52
4.3.1 Advantages of Electronic Records Management............................................................................... 52
4.3.2. Disadvantages of Electronic Records Management.......................................................................... 54
4.4 CHALLENGES FACING ELECTRONIC RECORDS MANAGEMENT.............................................. 56
4.4.1 Coping with Challenges ...................................................................................................................... 57
4.5 POSITIONING RECORDS MANAGEMENT WITHIN THE INFORMATION MANAGEMENT INDUSTRY......................................................................................................................................... 58
4.6 STRATEGIC ROLE OF RECORDS MANAGEMENT IN AN ORGANISATION: TECHNOLOGICAL PERSPECTIVE .................................................................................................. 59
4.7 END-USER BEHAVIOUR FROM AN ELECTRONIC RECORDS MANAGEMENT PERSPECTIVE .................................................................................................................................. 61
4.8 CONCLUSION ................................................................................................................................... 62
CHAPTER FIVE: OVERVIEW OF RECORDS MANAGEMENT PRACTICE AT SOUTH AFRICAN NATIONAL PARKS............................................................................................................................ 63
5.1 INTRODUCTION................................................................................................................................ 63
5.2 NATURE OF SANPARKS BUSINESS .............................................................................................. 65
viii
5.3 STATUS OF RECORDS MANAGEMENT PRACTICE AT SANPARKS ........................................... 66
5.4 DRIVING FORCES FOR RECORDS MANAGEMENT PRACTICE AT SANParks........................... 67
5.5 CHALLENGES EXPERIENCED BY SANParks IN INTRODUCING RECORDS MANAGEMENT ................................................................................................................................. 71
5.6 CONCLUSION ................................................................................................................................... 72
CHAPTER SIX: RESEARCH METHODOLOGY ............................................................................................ 73
6.1 INTRODUCTION................................................................................................................................ 73
6.2 RESEARCH APPROACH.................................................................................................................. 73
6.3 CHOICE OF METHODOLOGY.......................................................................................................... 74
6.3.1 Personal............................................................................................................................................... 75
6.3.2 Telephone............................................................................................................................................ 76
6.3.3 Mail....................................................................................................................................................... 76
6.3.4 Survey method applied in this study................................................................................................... 77
6.4 POPULATION .................................................................................................................................... 78
6.4.1 Research sample ................................................................................................................................ 79
6.5 DATA ANALYSIS ............................................................................................................................... 80
6.6 DEFINITIONS AND ABBREVIATIONS.............................................................................................. 80
6.7 CONCLUSION ................................................................................................................................... 81
CHAPTER SEVEN: RESEARCH RESULTS AND THE FINDINGS .............................................................. 82
7.1 INTRODUCTION................................................................................................................................ 82
7.2 SURVEY OF RECORDS MANAGEMENT PRACTICE AND USER BEHAVIOUR AT SANParks........................................................................................................................................... 82
7.2.1 Response Rate and Participants’ Profile............................................................................................ 83
7.3 RESULTS AND DISCUSSION OF THE FINDINGS.......................................................................... 84
7.3.1 Communication System ...................................................................................................................... 85
7.3.2 Electronic Records Management ....................................................................................................... 87
7.3.3 Manual Records Management............................................................................................................ 96
7.3.4 Filing Systems and Procedure Manual............................................................................................... 99
7.3.5 Filing Methods and Filing Frequency................................................................................................ 103
7.3.6 Retention Schedule........................................................................................................................... 105
7.3.7 Usage of Records.............................................................................................................................. 106
7.3.8 Disposal Authority and Disaster Recovery Plan .............................................................................. 107
7.4 SUMMARY OF SURVEY FINDINGS............................................................................................... 109
7.5 TESTING FOR STATISTICAL RELATIONSHIP OF SIGNIFICANCE AMONG THE VARIABLES ..................................................................................................................................... 114
7.5.1 Tests Conducted Regarding Communication Systems................................................................... 115
ix
7.5.2 Tests Conducted with regard to Electronic Records Management ................................................. 121
7.5.3 Tests Conducted with regard to Record Filing ................................................................................. 125
7.5.4 Tests Conducted with regard to use of Records.............................................................................. 128
7.5.5 Summary ........................................................................................................................................... 129
7.6 CONCLUSION ................................................................................................................................. 130
CHAPTER EIGHT: SUMMARY, CONCLUSIONS AND RECOMMENDATIONS ........................................ 131
8.1 INTRODUCTION.............................................................................................................................. 131
8.2 SUMMARY OF THE STUDY ........................................................................................................... 131
8.3 RECOMMENDATIONS.................................................................................................................... 133
8.3.1 Recommendations in the context of Empirical Survey Findings ..................................................... 133
8.3.2 Recommendations within the Statutory Framework ........................................................................ 138
8.3.3 Recommendations in context of International Standards ................................................................ 140
8.4 RECOMMENDATIONS FOR FUTURE RESEARCH ...................................................................... 144
8.5 CONCLUSIONS............................................................................................................................... 144
REFERENCES .............................................................................................................................................. 146
APPENDIX A: SANParks RECORDS MANAGEMENT SURVEY ON INFORMATION USER BEHAVIOUR .................................................................................................................................... 157
QUESTIONNAIRE......................................................................................................................................... 157
APPENDIX B: NATURE CONSERVATION (KRUGER NATIONAL PARK) FILING PLAN ......................... 167
FILE PLAN..................................................................................................................................................... 169
APPENDIX C: SANParks PAIA MANUAL.................................................................................................... 194
x
LIST OF TABLES
Table 7.1: Interpretation of SANParks Pyromanias scale ........................................................................ 83
Table 7.2: SANParks departments........................................................................................................... 84
Table 7.3: Management of e-mails........................................................................................................... 90
Table 7.4: Records about SANParks received electronically................................................................... 91
Table 7.5: Records about departments disseminated electronically........................................................ 92
Table 7.6: Copy of SANParks Intranet front page.................................................................................... 92
Table 7.7: Physical location of electronic records storage ....................................................................... 95
Table 7.8: Records about SANParks received manually ......................................................................... 97
Table 7.9: Records about departments disseminated manually .............................................................. 98
Table 7.10: Filing methods ....................................................................................................................... 103
Table 7.11: Filing frequency for internal and external records ................................................................. 104
Table 7.12: Filing frequency for managerial and private records............................................................. 104
Table 7.13: Retention schedule................................................................................................................ 105
Table 7.14: Categories of records users .................................................................................................. 107
Table 7.15: Interpretation of P-values ...................................................................................................... 115
Table 7.16: Rosenthal’s rule of thumb...................................................................................................... 115
Table 7.17: Response rate with regard to reporting structure in relation to communication level ........... 116
Table 7.18: Testing the existence of a relationship between reporting structure and communication level: Chi-square test and effect size .................................................................................... 116
Table 7.19: Response rate with regard to extent of communication in relation to e-mail access ............ 117
Table 7.20: Testing the existence of a relationship between e-mail access and the extent of communication: Chi-square test and effect size ................................................................... 117
Table 7.21: Response rate with regard to means of communication contributing most to better performance in relation to the importance of e-mail access ................................................. 118
Table 7.22: Testing the association of importance of e-mail access with the best means of communication for better performance: Chi-square test and effect size............................... 118
Table 7.23: Response rate with regard to frequency with which information is received in relation to communication level.......................................................................................................... 119
Table 7.24: Testing the effect of communication level on frequency with which information is received: Chi-square test and effect size .............................................................................. 120
Table 7.25: Response rate with regard to e-mail access in relation to work station................................ 120
Table 7.26: Testing the relationship between work station and e-mail access: Chi-square test and effect size .............................................................................................................................. 121
Table 7.27: Response rate with regard to existence of e-mail policy in relation to e-mail access........... 121
Table 7.28: Testing the existence of relationship between e-mail access and e-mail policy: Chi-square test and effect size .................................................................................................... 122
xi
Table 7.29: Response rate with regard to use of folders to organize e-mail in relation to level of computer literacy ................................................................................................................... 122
Table 7.30: Testing the association of computer literacy with use of folders to organize e-mails: Chi-square test and effect size.............................................................................................. 123
Table 7.31: Response rate with regard to the storing of attached documents received via e-mails in relation to computer literacy .................................................................................................. 123
Table 7.32: Testing the existence of relationship between computer literacy and storing of attached documents: Chi-square test and effect size .......................................................................... 124
Table 7.33: Response rate with regard to pruning of stored e-mail in relation to computer literacy........ 124
Table 7.34: Testing the association of computer literacy with pruning of stored e-mail: Chi-square test and effect size ................................................................................................................ 125
Table 7.35: Response rate with regard to existence of filing system and the existence of filing procedure manual ................................................................................................................. 126
Table 7.36: Testing the impact of the existence of a departmental filing system on the existence of a filing procedure manual in a department: Chi-square test and effect size......................... 126
Table 7.37: Response rate with regard to the rating of a departmental filing system in relation to the existence of formal departmental filing system ............................................................... 127
Table 7.38: Testing the existence of a relationship between rating of a formal filing system: Chi-square test and effect size .................................................................................................... 127
Table 7.39: Response rate with regard to the use of records by auditors in relation in relation to the departments in which employees work ................................................................................. 128
Table 7.40: Testing the link between departments in which employees work and the use of records by auditors: Chi-Square test and effect size ......................................................................... 129
Table 8.1: Recommendations on specific research findings.................................................................. 133
Table 8.2: Recommendations in compliance with specific legislation.................................................... 139
Table 8.3: Recommendations in compliance with SANS 15489............................................................ 141
xii
LIST OF FIGURES Page
Figure 3.1: Record life cycle ........................................................................................................................... 32
Figure 3.2: Illustration of functional organisational structure.......................................................................... 39
Figure 3.3: Illustration of product organisational structure ............................................................................. 41
Figure 3.4: Illustration of the matrix organisational structure ......................................................................... 42
Figure 3.5: Inter-relationship of elements within an organisation................................................................... 44
Figure 5.1: Organizational structure of SANParks ......................................................................................... 64
Figure 7.1: Distribution centres....................................................................................................................... 83
Figure 7.2: Post levels .................................................................................................................................... 83
Figure 7.3: Level of communication................................................................................................................ 86
Figure 7.4: Means of communication contributing most towards better performance ................................... 86
Figure 7.5: Existence of e-mail policy............................................................................................................. 88
Figure 7.6: Level of computer literacy ............................................................................................................ 89
Figure 7.7: Electronic accessing of records.................................................................................................... 90
Figure 7.8: Electronic dissemination of records ............................................................................................. 90
Figure 7.9: Accessibility of electronic storage areas ...................................................................................... 96
Figure 7.10: Condition of electronic storage equipment................................................................................. 96
Figure 7.11: Manual accessing of records...................................................................................................... 97
Figure 7.12: Manual dissemination of records ............................................................................................... 97
Figure 7.13: Accessibility of manual storage areas........................................................................................ 99
Figure 7.14: Condition of manual storage equipment .................................................................................... 99
Figure 7.15: Existence of departmental filing system................................................................................... 100
Figure 7.16: Existence of personal filing system.......................................................................................... 100
Figure 7.17: Rating of electronic filing system............................................................................................... 101
Figure 7.18: Rating of manual filing system ................................................................................................. 101
Figure 7.19: Training in electronic records filing systems ............................................................................. 101
Figure 7.20: Training in manual records filing systems ................................................................................. 101
Figure 7.21: Existence of filing procedure manual ....................................................................................... 102
Figure 7.22: Disposal of electronic records .................................................................................................. 108
Figure 7.23: Disposal of manual records...................................................................................................... 108
Figure 7.24: Existence of document disaster recovery plan......................................................................... 108
Page 1
CHAPTER ONE
BACKGROUND AND PROBLEM STATEMENT 1.1 INTRODUCTION
Discontinuous change has become one of the major characteristics of the South African
environment. Such an unstable dynamic environment where continuous change is a
normal occurrence necessitates an appropriate response in order to gain, regain or
sustain a competitive advantage. Organisations in South Africa are therefore gradually
realizing that there should be major changes on how they deploy their strategic resources
to transform the organisation into something new, totally different from what it has been
before. Strategic transformation actions, can however, only be sustained if backed by
excellent information systems (including a system to manage the internal records of the
organisation).
All but the smallest number of organisations in South Africa has record management
departments, and the potential market for new records management systems is
enormous. Records management has evolved from a paper-based function responsible
for the storage of an organisation’s miscellaneous documents, to one concerned with the
management of specified internal records, in a multitude of media, from creation to
disposal, through their active use as sources of information, and hence to ultimate review
against retention schedules, for their eventual destruction (De Wet and Du Toit, 2000:74).
The service provided by records management is vital to any organisation, and to every
information-using employee in it. Its primary function is to facilitate the free flow of records
through an organisation, to ensure that information is available rapidly where and when it
is needed. To carry out this function needs an efficient, effective records management
programme. By helping the users to do their jobs better and more easily, the records
manager serves the company. Given that an organisation’s records are unique to it, they
need to be managed explicitly, just as the organisation would manage its other resources
i.e. its people, money and estate.
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1.2 BACKGROUND TO THE PROBLEM
The past twenty years has revolutionized the way in which information is generated and
stored (Beastall, 1998:89). The rate at which records are supplied to the end-user has
therefore increased drastically as a result of technological advancement. Furthermore, the
pace at which information is flowing from employer to employee at times makes it difficult for
an employee to ensure that all records have been read before attempting to destroy them.
Some of the documents sent by the employer to the employee are so important that if these
are destroyed without being read, an employee may find him/herself far behind the normal
operation of his/her organisation. In support of the above statement, Mrwebi (2000:1)
indicated that information plays a very significant role in the economic development of
organisations.
It is increasingly used as a corporate resource to improve productivity, efficiency and
effectiveness. In support of the above sentiments, Penn, Pennix and Coulson (1994:3)
defined records as any information that is recorded on any physical medium, generated or
received by a business enterprise as evidence of its organisation, functions, policies,
procedures, operations, and internal or external transactions, and valuable because of the
information it contains.
Correspondence is normally conducted manually or electronically through electronic mail or
Intranet. Documents such as policies, procedures, contracts, regulations, minutes, circulars
etc are often available for employees to update or familiarize themselves with the normal
operation of their organisation. Ignorance of such documents may affect the competitive
performance of an organisation. This implies that information in the form of records is used
by organisations via employees as a strategic weapon to gain a competitive advantage for
the organisation that creates, receives and uses them effectively (Mrwebi, 2000:1).
As one of the biggest organisations in nature conservation, South African National Parks
(SANParks) comprises of different national parks distributed throughout South Africa.
Although the ultimate aim of the transfer process is to get information from the producer
(management) to the user (employees) (Meyer, 1996:15), to ensure better competitive
performance, information transfer is of the utmost importance for SANParks’s survival.
Page 3
Establishing an effective means of transferring information to individuals and organisations,
especially those that can use it most productively, becomes a major task (Meyer, 1996:15).
Although printed materials are at times used as a form of communication devices, electronic
format is considered as a speedy way of reaching all employees attached to SANParks in a
shorter period of time. Such devices were decided on, in consideration of the widely
scattered components of SANParks. The introduction of computers would therefore assist in
achieving and adding value to the conduct of SANParks business transactions (Johare,
2001:97).
Although increased performance and speedy decision-making were the motive behind
electronic communication devices, it remains difficult for SANParks to take quicker
decisions and increase its performance owing to the behaviour of end-users after receiving
information. Some staff members delete documents on arrival while others do not have time
to visit the organisation’s Intranet.
In support of the above statement, Meyer (1996:15) indicates that, “with the abundance of
information available, there is a growing concern about the low level of information transfer
and utilization as compared to the amount of knowledge and information produced”.
Rowlands (2003:9) further indicates that information processes cannot be understood
without first understanding human behaviour. We need a much better understanding of the
reasons why and the manner in which people browse, forage, interact and consume and
subsequently use electronic information.
Such action ends up affecting the speed at which a decision is taken for competitive
survival. Uninformed employees often unwittingly operate in opposition to an organisation’s
procedure. It therefore opens doors for rivals to use the opportunity to gain a competitive
advantage against the organisation in question. Over a long period the effect of this may be
both negative and positive (Rowlands, 2003:7). It therefore implies that the responsibility in
an organisation for avoiding negative influences on the organisation’s survival lies with the
end-user (employees).
The behaviour of end-users to information is essential for the success of all organisations.
Scattered employees are often difficult to manage without proper communication tools and
their commitment to check or read all documents. Although mass production of information
Page 4
is becoming a serious problem in both commerce and government, it remains fruitful for
members of staff to align themselves with the organisation’s records (Mordel, 1990:287).
1.3 STUDY OBJECTIVES
The purpose of this study is to determine the extent to which the information user’s
behaviour and proper records management contribute to the performance of an
organisation to ensure competitive survival. In trying to achieve this goal, the records life
cycle in an organisation from the creator to the end-user is thoroughly explored. Meyer
(1996:16) categorized role players in this regard as sender, intermediary and receiver.
Furthermore, Meyer (1996:16) indicated that although individuals in all three categories can
be receivers, intermediaries or senders of information, these role players seem to be
essential for any transfer effort. Vickery and Vickery (1987:13) refer to these categories as a
unit act of communication. It is thus necessary to determine the impact of the information
not being used during its life cycle.
Furthermore, an important aspect of this study is identifying the relationship between
information user behaviour and competitive performance of organisations. In this context,
a survey was conducted to investigate the current position of the records management
function at SANParks as well as the manner in which records as information sources are
used by end-users (employees). The possible strategic role of records management and
the behaviour of end-users in an organisation will constitute the pillars of this study. The
plan is therefore aimed at ensuring decisions of high standard resulting in improved
efficiency and productivity and reduced risks (McCaskie, 1999:85).
1.4 RESEARCH QUESTION
According to Rowlands (2003:6), information user behaviour is changing as new
opportunities present themselves, raising enormously significant issues. The change in
information user behaviour may be either positive or negative. Negative behaviour of the
end-user is disastrous to an organisation’s competitive survival. It is therefore increasingly
being recognised that the sound management of records by the end-user is of prime
importance to the smooth running and competitive survival of an organisation (Shipman,
2002:99). This implies that end-users need to be advised on how to manage their records
until these are disposed of.
Page 5
Business executives, managers and people at all levels in today’s office environment are
greatly affected by the unprecedented rate at which the volume of recorded information is
growing. The introduction of technology as a communication tool brought along serious
records management disasters for employees. Employees cannot cope with mass
production of records for their attention on a daily basis.
In view of the above brief background, the problem may be outlined in question form as
follows: How can information user behaviour and records management contribute to an
organisation’s competitive performance?
In order to resolve the above-mentioned problem, the following sub-problems need to be
taken into consideration:
How can records management contribute to organisation’s competitive survival?
How can the communication system in an organisation affect the information
dissemination process?
How can Information Technology (IT) improve the records management function in an
organisation?
1.5 RESEARCH METHODOLOGY
The research methods applied followed both a qualitative and a quantitative approach.
Firstly the research requires a literature survey to identify scientific literature and the latest
research done on records management and information user behaviour. The knowledge
obtained was used as basis for a discussion on the purpose of records management in an
organisation, the records life cycle and end-user behaviour in an organisation and the
impact of IT on the strategic role of records management in an organisation.
A questionnaire was compiled for the collection of data aimed at elucidating the research
problem and reaching conclusions. Through the questionnaire, information on the following
was collected: the behaviour of end-users at SANParks in respect of records, the impact of
end-user’s behaviour on the organisation’s competitive performance and the role of records
management in the entire organisation.
Page 6
1.5 DELIMITATION OF THE STUDY
Much research has seen the light where records management is discussed with regard to
effective corporate governance in the organisation. This research investigates the
application of records management in an organisation to ensure better competitive
performance of the organisation and will not discuss the corporate governance of the
records in detail.
1.7 DEFINITION OF CONCEPTS
The transfer of records from the creator to the user involves and depends on a number of
concepts, which if not clearly defined, may end up affecting the entire records life cycle.
According to Yusof and Chell (1998:96), defining terminology is crucial for better
understanding, both for those who are new to the subject and those already familiar with
the field.
1.7.1 Information User Behaviour
In view of the society in which employees finds themselves, it is increasingly important for
them to become information literate. An information literate person realizes the need for
information. It therefore becomes his/her responsibility to search, evaluate and use the
information needed for survival effectively (Heinstrom, 2000:2).
Organizations are increasingly faced with problems of user behaviour, which need to be
addressed as a means of ensuring effective service delivery and full access to facilities. In
view of employees’ constitutional right to information access, it remains the responsibility
of organisations to establish and maintain a favourable information-searching environment
for their employees as users of the records produced from within (Palmer, 2000:62).
The concept information user behaviour is defined by Heinstrom (2000:2) as the need for
information, searching mechanisms and environmental factors affecting the individual’s
way of responding to the information need. The term ‘information user behaviour’ may
include the information-seeking strategy and the needs of the user. Furthermore, Huotari
Page 7
and Wilson (2001:1) approach information user behaviour as a totality of behaviours
(active and passive) that users engage in to gain access to, organize and use information.
Albrecht (2003:59) further describe information user behaviour as things human beings do
in working with data and information. This includes recording information either manually
or by computer, looking for information from various sources, summarizing or interpreting,
acquiring and disseminating information from and to others. Information user behaviour
includes managing one’s own work priorities and keeping records needed for performing
one’s own job.
For the purpose of this study, the concept information user behaviour is viewed as the
reaction of employees to business records at their disposal. In this regard, the concept
‘employees’ is associated with the concept ‘users’. Their reaction is associated with the
concept ‘behaviour’. Because records are created with the sole aim of imparting
information, the concept record is therefore in this study associated with information. The
aim of the record is to deliver information from the creator to the receiver.
1.7.2 Competitive performance Competitive performance stems from the many discrete activities an organisation
performs in producing, marketing, distributing and technically supporting its products and
services. Each of these activities contributes to the relative cost position of an organisation
and creates a basis for differentiation between organisations (Wilson, 1990:29). An
organisation gains competitive advantage by performing strategically important activities
more effectively than its competitors.
Porter (1991:135) argues that an organisation’s competitiveness depends on its capability
to use and exploit innovative technologies, which may affect the cost position or
differentiation of an organisation at home or abroad. He attributes much of the success of
the Japanese economy not to abundant supplies of natural resources, but their ability to
innovate and automate.
Successful organisations therefore recognize the value of managing their information
assets efficiently and effectively. They understand that, to assure their future, these
information assets should receive the same level of attention and commitment as any
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other corporate asset. The effective handling of critical information resources can make all
the difference in an organisation’s survival against aggressive competitors (Martin,
1992:379).
For the purpose of this study, competitive performance is approached within the context of
sound records within an organisation. It is based on the notion that records are a
corporate memory of an organisation. It is therefore argued that poor records
management is risky in a competitive environment whereby rivals utilize the opportunity to
survive. Constructive decisions are based on previous actions whether positive or
negative, organisation without history can therefore hardly predict its future.
1.7.3 Records Management
In order to define records management, the concept “record” needs to be fully explored.
Furthermore, a distinction needs to be made between the concepts records management
and information management.
1.7.3.1 Records
A record is defined either in terms of the physical tangible format in which it appears, or in
terms of the information it contains. It must be noted that records differ in format or size, and
have different contents, according to Yusof and Chell (1998:97), any definition of records is
a pragmatic one. The definition changes with the passage of time and as the profession
gets involved in more complex issues.
Cornwell Management Consultants (2001:7) define a record as a document produced or
received by a person or organisation in the course of business and retained by that person
or organisation. Langemo (1995:415) further defines a record as the memory of the
organisation, the raw material for decision-making and the basis for legal defensibility.
According to Roberts (1998:1), the Association of Records Managers and Administrators
Inc. (ARMA International) defines records as “recorded information, regardless of medium
or characteristics, made or received by an organisation, that is useful in the operation of
the organisation”. To strengthen Roberts’s (1998:1) definition, the National Archives and
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Record Service of South Africa Act (Act No. 43 of 1996) as amended, also defines a
record as recorded information, regardless of form or medium.
Kallus (1991:571) further defines a record as written or oral evidence that has been
collected and kept for use in making decisions. The most common records (such as forms,
correspondence, reports and books) are written, printed or typed on paper. Oral records
capture the human voice on tape, and are stored on cassettes or on other magnetic
media. In support of Kallus’s (1991:571) definition, Quible (1996:450) further defines
records as informational documents such as forms, letters, memoranda, reports and
manuals used to carry out various functions.
A record is viewed by Penn, Pennix and Coulson (1994:3) as any information captured in
reproducible form that is required for conducting business. Roberts (1998:4) states that
records are information created, collected or received in the initiation, conduct or
completion of an institutional or personal activity.
Based on the above definitions, the concept record can be defined as the end product of
the business activity through which the performance of employees can be measured and
thus enforce accountability. It is created or received by employees as evidence in the
course of their normal operation in an organisation.
1.7.3.2 Records Management and Information Management
Based on the above definition of a record, records management may be viewed as a
subdivision of information management. Information management entails the
management of all the information in an organisation as well as the management of the
people, hardware, software and systems that produce the information. Records
management is the management of the records created or received by an organisation,
therefore only the management of the internal business information of the organisation.
Records management is portrayed as means of good information management, improving
and enlightening the management of organisations (Yusof and Chell, 1999:16).
Information management is a broader concept within which records management falls. In
other words, the main purpose of records management is to manage and control the flow
of records with the necessary information within a particular organisation.
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Robek, Brown and Maeddke (1987:5) define records management as a systematic control
of the recorded information that an organisation needs to conduct business. Ricks,
Swafford and Gow (1992:3) also define records management as a function of providing
systematic control of records from creation, or receipt, through their processing,
distribution, organisation, storage and retrieval to their ultimate disposal.
Penn, Pennix and Coulson (1994:5) define records management as the management of
any information captured in reproducible form that is required for conducting business.
Mazikana (1990:21) emphasizes that records management is concerned with the
generation, receipt, processing, storage, distribution, use and retirement of records. It
encompasses a wide variety of activities and sub-disciplines such as the management of
mail, correspondence, reports, copies, forms and directives.
Records management is further viewed by Place and Hyslop (1982:4) as a process of
controlling organisational information from the creation through its final disposition. Ricks
and Gow (1988:3) define it further as the systematic control of records from creation to
final disposal.
Furthermore, Langemo (1999:31) defines records management as the professional
management of information in the physical form of records from the time records are
received or created through their processing, distribution and placement in a storage and
retrieval system until either eventual elimination or identification for permanent retention in
the archives.
In consideration of the above definitions of records management by different scholars, the
concept records management is defined by the researcher as a system through which
organisations fully monitor movement of records within their organisational structures and
thus ensure accountability, transparency and good governance.
1.8 CHAPTER OUTLINE
Chapter two gives an overview of the purpose of records management in an organisation.
Furthermore, chapter two also introduces the causes of poor records management practice
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in an organisation and specific goals of records management practice. Lastly, this chapter
deals with the role and advantages of good records management in an organisation.
Chapter three focuses on the life cycle of a record from creator to end-users. Here the
behaviour of the end-users in terms of records at their disposal is fully explored. The
chapter also introduces the most common structures of organisations and essential
elements of records management.
Chapter four examines the impact of information technology on the strategic role of records
in an organisation. This is followed by a discussion on the advantages and disadvantages of
electronic records management.
Chapter five gives an overview of the current status of records management practice at
SANParks. It also highlights the challenges experienced by SANParks in records
management and mechanisms used to overcome them.
Chapter six outlined the research methodology adapted and followed in this study. The
study employed Questionnaire as a tool to collect data from the participants.
Chapter seven reports on the results of an empirical study to identify the manner in which
records as information sources are used at SANParks and the possible strategic role of
records management at SANParks.
Finally, in chapter eight, some recommendations are made to improve the records
management function at SANParks. This chapter also summarizes the study and makes
recommendations for future research on this topic.
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CHAPTER TWO PURPOSE OF RECORDS MANAGEMENT IN AN
ORGANISATION
2.1 INTRODUCTION
Rapid growth in records management awareness is gaining recognition from both public
and private sectors as the most reliable method of managing an organisation’s flow of
information. It has been accepted as management of people’s daily activities for future
reference. Organizations are increasingly acknowledging the fact that efficient control of
recorded information leads to effective management which, in turn, means that information
is more easily retrievable, readily identifiable and economically managed.
Records management services provide the corporate memory of an organisation. They
document an organisation’s accountability, preserve the evidence of an organisation’s
activities, enable timely access to current administrative information and ensure that
records of archival value are marked for preservation at the time of creation and not
inadvertently destroyed.
As outlined above, the records management process aims at various goals depending on
the organisation in which it operates. For the purpose of this study, the most common goal
of records management is to improve competitive performance and the decision-making
process.
Based on the above sentiments, this chapter intends introducing the role of records
management in an organisation. Furthermore, this chapter will also briefly introduce
different perspectives of records management.
2.2 THE EXISTENCE OF RECORDS MANAGEMENT
Records management is a fundamental and core activity of any organisation’s handling of
records. The motive behind records management’s existence is to assist organisations in
making the right decisions about which records to keep and how to keep them. In other
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words, records management exists with the sole aim of systematically controlling the
creation, maintenance, use and disposal of records (Northwest Territories, 2002:1).
According to the Republic of South Africa, National Archives of South Africa (2000:6),
records management exists in order to help organisations to classify records so that they
can be easily retrievable. Furthermore, it remains the purpose of records management’s
existence to assist organisations in deciding which records to destroy.
Records management in an organisation is driven by a number of factors such as
responsibility, accountability, legal obligations and transparency. All public organisations
should practice accountability through submission of records such as annual reports,
business plans, financial statements etc. They are therefore responsible for whatever
results emanate from their records. Mismanagement of funds is easily picked up from
review of an organisation’s records.
According to Northwest Territories (2002:1), the aims of records management should
further include:
• Formulation of policies, procedures and standards for handling records.
• Development of classification systems and retention schedules.
• Creation, usage and keeping track of records in the office.
• Finding ways to store records as cheaply and efficiently as possible.
• Protection records that need to be kept and disposal of records that are no longer
of value to the organisation.
Since records exist in any organisation, they need to be managed from their creation to
their disposal. Regardless of the medium on which they are created and stored, they
document decisions and activities, and provide evidence of transactions in support of
everyday business (Ardern, 1998:14).
2.2.1 Statutory Framework for Existence of Records Management in South Africa
All governmental bodies are obliged by legislation to provide for proper management and
care of documents. They are obliged in cooperation with statutory bodies such as the
National Archives and Records Service of South Africa (NARS) and South African Human
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Rights Commission to ensure that public records are preserved as official government
records and the right to information is practised. Well-organized records enable an
organisation to find information easily. Records that are classified and stored correctly
facilitate transparency, accountability and good governance.
Section 195 (1) (b), (f) and (g) of the South African Constitution (1996:62) provides among
others for the effective, economical and efficient use of resources and the provision of
timely, accessible and accurate information as well as requiring that public administration
be accountable. The Constitution provides for national legislation to be enacted to give
effect to the provisions in this section. Emanating from this, among others, the following
pieces of legislation enhance records management in governmental bodies:
• National Archives and Records Services Act (no. 43 of 1996 as amended)
• Promotion of Access to Information Act (no. 2 of 2000)
• Promotion of Administrative Justice Act (no. 3 of 2000)
• Electronic Communications and Transaction Act (no. 25 of 2002)
• Public Finance Management Act (no.1 of 1999)
Sound records management therefore enables governmental bodies to comply with the
principles of good governance laid down in Section 195 of the South African Constitution
(1996:62).
2.2.1.1 National Archives and Record Service of South Africa Act (No. 43 of 1996 as
amended)
The objective of this Act is to ensure proper management and care of all public records.
Its purpose is twofold i.e. it aims at promoting good governance and efficiency by ensuring
sound records management. Furthermore, it also aims at securing the permanent
preservation of records of long-term value for government and society at large as an
important part of the nation’s archival heritage. The Act charges the National Archivist
with the responsibility of ensuring proper management and care of public records in the
custody of governmental bodies. It specifies that no public record under the control of a
government body may be transferred to an archives repository, destroyed, erased or
otherwise disposed of without the written authorization of the National Archivist.
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The Act brings all electronic records under the authority of the National Archivist. This
allows the National Archives to insist that mechanisms and procedures be put in place to
ensure that archival records are identified while still functional and then preserved
appropriately. Section 13 (b) (i)-(ii) of the Act specifies that the National Archivist shall:
Determine records classification systems to be applied by governmental bodies.
Determine the conditions subject to which records may be microfilmed or electronically
reproduced, and determine the conditions subject to which electronic records systems
should be managed.
2.2.1.2 Promotion of Access to Information Act (No. 2 of 2000)
The Act gives effect to the right of access to information. Section 32 of the Constitution
reads: “Everyone has the right of access to any information held by the state, and any
information that is held by another person and that is required for the exercise or
protection of any rights”.
The purpose of the Act is to promote transparency, accountability and effective
governance by empowering and educating the public to understand and exercise their
rights, to understand the functions and operation of public bodies and to scrutinize
effectively and participate in decision-making by public bodies that affect their rights.
Should a governmental body not be able to provide the right information at the right time
when requested, citizens’ rights to participate in the decision-making process would be
adversely affected. Again, sound records management is of critical importance for the
application of the provisions of this Act. The Act deals with information in terms of ‘records’
(any recorded information).
The South African Human Rights Commission was tasked with some obligations in terms
of this Act. One of these was to monitor the implementation of the Act, make
recommendations and report to Parliament on these matters. It must also assist persons
wherever applicable. The information officer of an organisation is tasked with the
preparation of manuals. Information for these manuals must include details for example a
description of the subjects on which the body holds records and categories of records and
of information available without anyone having to request access in terms of the Act.
Information officers must also report annually to the Human Rights Commission with
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statistical data relating to the number of request accepted and /or rejected on annual
basis.
2.2.1.3 Promotion of Administrative Justice Act (No. 3 of 2000)
The purpose of the Act is to ensure that administrative actions are lawful, reasonable and
fair and properly documented. Heads of governmental bodies have an obligation to ensure
that their staff members create records that are authentic and reliable as evidence of
business decisions that have been made. Should a governmental body fail to create
records, it might be able to prove that its actions and decisions were fair and lawful.
Efficient records management practices are imperative if a body wants to give effect to the
provisions of these Acts.
2.2.1.4 Electronic Communication and Transactions Act (No. 25 of 2002)
The Act legalizes electronic transactions and communication with a view to paving the
way for service delivery via the e-Government Gateway and the Internet. The Act also
provides the framework within which authentic and reliable records or data messages
should be created of such transactions and communications.
2.2.1.5 Public Finance Management Act (No. 1 of 1999)
The purpose of the Act is to regulate financial management in the public service and to
prevent corruption, by ensuring that all governmental bodies manage their financial and
other resources properly. Information contained in records is a key resource for the
effective functioning of an office. The sound management of records contributes to an
office’s accountability and ultimately to good governance.
After the above outline of various pieces of legislation with a strategic influence on sound
records management in an organisation, the section below attempts to address the role of
records management in an organisation.
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2.3 THE ROLE OF RECORDS MANAGEMENT IN AN ORGANISATION
According to Sanderson and Ward (2003:1) the importance of records management is
increasingly being recognised in organisations. It is therefore the responsibility of records
managers to ensure that they gain the attention of decision-makers in their organisations.
Gaining recognition is all about convincing management of the role of records
management as enabling unit in an organisation.
Employees require information in order to carry out their official duties and responsibilities
efficiently and effectively in a transparent manner. Records represent major sources of
information and are almost the only reliable and legally verifiable source of data that can
serve as evidence of decisions, actions and transactions in an organisation (Wamukoya,
2000:24). According to Northwest Territories (2002:1), the role of records management is
to ensure that members of staff involved in different operations have the information they
need, when necessary.
Among their other purposes, records also act as raw materials for research in various
disciplines, including scientific research, which is an important ingredient of socio-
economic development. Furthermore, records can be used as an information resource for
strategic planning purposes. The service provided by records management is therefore of
vital importance to both employees (end users) and organisational success. As outlined
earlier, the primary function of records management is to facilitate the free flow of records
throughout the entire organisation. Most importantly, it remains the function of records
management to ensure that an organisation’s records are safe for future reference (De
Wet and Du Toit, 2000:75).
According to Palmer (2000:65), the role of a records management system is that it acts as
a control system that reinforces other control systems such as internal and external
auditing. The records themselves can serve to detect fraud and recover the loss. Since
corruption creates an environment that allows opportunities to commit fraud, once fraud is
detected, records can provide a trail for investigators to track the root of corruption.
However, for records to be useful in this capacity, they must be accessible.
According to Hare and McLeod (1979:8), organisations kept records for the following
reasons:
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• Information retrieval
• Evidence of organisation’s activities
• Compliance with regulations
In support of Hare and McLeod, Cowling (2003:2), further identified four main reasons
motivating organisations to preserve records permanently as:
• Administrative value
• Financial value
• Legal value
• Information value
Administrative value
In the conduct of their business activity, organisations and individuals often need to
consult records of their previous activities and decisions, for example, to provide
background information, establish the existence of a precedent or to substantiate or refute
a claim or allegation. Records in this case are of utmost importance for an organisation’s
administrative function.
Financial value
An organisation needs long-term documentary evidence of the way in which funds were
obtained, allocated, controlled and expended (budget). This includes budget records,
which provide evidence of how income and expenditure were planned, and various
accounting records documenting financial transactions.
Legal value
Legal records provide evidence of contractual obligations, duties and privileges agreed
upon by governments, organisations or individuals. They provide a record of matters such
as property titles, charitable status and other legal and civil rights. They may be preserved
as evidence of the decisions of governments, courts and other bodies, or as the source of
the authority for actions taken by organisations or individuals.
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Information value
Archives and records management departments are generally recognised as the primary
source of materials for information and research into the history of society. They form a
unique and indispensable record for researchers such as historians, scientists,
geographers, sociologists, statisticians etc.
To summarize, it may be appropriate to indicate that records exist in order to remind
organisations of their previous activities. Hounsome (2001:1) noted that while records
management may seem boring to many, it is hard to under-estimate the role played by
records management in organisations. The records are the corporate memory of the
organisation, evidence of what was done and why it was done. They provide information
for different organisational purposes, such as:
• Decision-making
• Financial accountability
• Performance measurement
• Strategic planning
• Research
Without divorcing themselves from the above scholars, Sanderson and Ward (2003:2)
further explored the role of records management in an organisation as follows:
• Avoiding the cost of litigation or failure to comply with regulatory bodies.
• Preventing the loss of intellectual property or loss of corporate learning/ corporate
memory.
• Preventing loss of information from disasters or theft and ensuring business
continuity.
• Maximizing the efficiency of operation and usage of information.
• Responding in a timely and effective way to requirements of customers.
• Protecting executives and their organisations from loss of reputation and credibility
with the general public, customers etc. by demonstrating good practice and
providing accountability for their actions.
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Records need to be recognised as a vital and reusable asset, a source of content, context
and knowledge (Sutcliffe, 2003:53). Organizations are currently involved in knowledge
management. Records management should be seen as an enabling/ support function
towards knowledge management. The argument should be that without records, an
organisation would lose a wealth of knowledge produced by its employees during daily
operations.
2.3.1 The Nature of the Records Management Function
The above argument is strengthened by Wamukoya (2000:25) who identifies three
domains constituting the role of records management in an organisation:
• Business domain
• Accountability domain
• Cultural domain
2.3.1.1 Business domain
For organisations to function properly and effectively, they depend on accurate and
reliable records management. According to Northwest Territories (2002:1), an
organisation creates and keeps records so that it can keep track of what its members
have done and what was decided.
The business domain requires that records must be produced and maintained to support
the essential activities of an organisation in the following manner:
• Serving as the basis through which decisions are taken to ensure consistency and
reliability.
• Providing evidence of the organisation’s daily operation.
• Ensuring competitive performance.
Although business transactions are increasingly being conducted electronically, both
within and between organisations, records should still be kept to support and fully
document all business, legal, fiscal, social and historical needs (Pember, 1998:64).
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Technological advancement should not destroy the legacy of record keeping. Instead, it
should develop the speed at which records are created, kept and managed.
2.3.1.2 Accountability domain
Palmer (2000:63) viewed accountability as a particularly crucial governance element and
refers to holding officials of organisations responsible for their actions. Without records,
there can be no accountability and no rule of law. A good records management system is
essential for supporting financial management, accountability and transparency (Palmer,
2000:61).
As a reliable tool of evidence, records ensure that the organisation has met its defined
financial, legal, social or moral obligations. In all accountability forums, records are
consulted as proof of activity by senior managers, auditors or by anyone inquiring into a
decision, a process or the performance of an organisation or an individual. Organizations
should therefore maintain accuracy and reliability in their record management systems.
Failure to manage records properly has been a contributory factor to corruption in most
organisations. Members of the public also rely on records to criticize, question and hold
officials of the organisation accountable.
According to the University of the State of New York (1994:8), accurate, reliable, and
trustworthy records are the cornerstones of effective programmes for auditing and
accountability. Palmer (2000:65) indicates that authentic and reliable records provide a
link between an authorization assigned to a particular person and the date of the activity.
They can serve as evidence to identify abuse, misuse and non-compliance with financial
instructions and other laws and regulations. Consequently, records management provides
a preventative, credible restraint against corruption and fraud.
Palmer (2000:70) further indicated that strategic records management for accountability
should focus strongly on:
• Training records managers to identify and control documents as well as recognize
areas of fraud and corruption.
• Developing core competencies in maintaining records and engendering
professional ethics among records managers.
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• Raising awareness about records management and its role in establishing efficient
systems for the management of organisations’ records.
• Standardizing systems and document formats.
• Encouraging a climate conducive to keeping and using records properly.
• Developing awareness of anti-corruption measures, arranging workshops and
training for auditors on how records can be manipulated and misused.
• Participating in records management research on accountability.
In the absence of strong records management control systems, documents can easily be
disorganized, concealed, lost, stolen, destroyed or otherwise tampered with. The loss or
inaccessibility of documents results in increased opportunities for corruption and fraud to
flourish (Palmer, 2000:66). According to Wamukoya (2000:31), it remains the duty of
records managers to make other employees in their organisations aware of the
importance of information in general and records in particular in supporting decision-
making, accountability and good governance.
According to Cowling (2003:1), evidence of past actions is the basis of all forms of
accountability; it is captured as records. For records to retain their value as evidence, they
need to be preserved and managed. Management needs to cover the whole life cycle of
the records produced, irrespective of format.
2.3.1.3 Cultural domain
This domain believes that records are preserved and made available to members of
society for posterity and historical research. Since records document organisational
history over time, they provide the basis for writing organisational history for the benefit of
new members. Valuable records are therefore kept permanently for future reference.
Records, if well managed, have the potential of providing the most meaningful resource
(information), by which employees could present themselves as honest, well-meaning and
accountable.
Wamukoya’s theory on the importance of records management may be summarized with
reference to Northwest Territories (2002:1), whose approach to the role of records
management in an organisation is viewed as follows:
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• Helping organisations to provide services in an orderly, efficient, consistent, and
equitable way.
• Supporting policy and management decisions.
• Supporting current and future research activities.
• Helping organisations meet legal obligations and protecting them against lawsuits.
• Helping to protect the rights of the public by keeping organisations accountable.
• Building corporate memory.
• Preserving the history of organisations.
• Reducing costs, minimizing duplication, improving retrieval times, providing more
cost-effective records options, and streamlining disposal of records.
Adequate records management enables an organisation to make good decisions, deliver
quality services and provide evidence of its business. It is further essential for the
provision of access to information.
2.4 ADVANTAGES OF A GOOD RECORDS MANAGEMENT SYSTEM
Records are indispensable to the efficient and economic operation of organisations. They
serve as the organisational memory, the evidence of past events and the basis for future
action. When created, maintained, and disposed of in a systematic and orderly fashion,
records are tremendous assets to an organisation (State of Montana. Montana Historical
Society, 2002:2).
Records are invaluable. Keeping complete records from the beginning can save time and
money. Records are also viewed as an important tool to ensure that obligations of an
organisation are met. Furthermore, they are also of value for reference and management
decisions. Accuracy of records will also prevent excessive residues by ensuring that
withdrawal time has been met (Poultry Industry Council, 2004:1).
A good records management system should be brief, understandable and easy to update.
According to the Academy of Business Excellence Limited (2003:1), advantages of good
records management are as follows:
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Enabling organisations to keep track of its progress
Records show whether sales are up or down, which clients are spending and which are
not, and whether any changes are needed. Without adequate documentation, making
reliable business forecasts or looking back to see where an organisation has been
successful in the past is considerably more difficult.
Fundamental to the preparation of financial statements
All organisations rely on their financial statements to decide on future action. Financial
statements are necessary when dealing with banks and creditors, and also allow for quick
and systematic access to information on assets, liabilities and equity related
organisations.
Reliable source to identify the source of income
Organizations receive money and property from a variety of sources on a regular basis.
By using accurate records, they can identify where their various receipts come from, and
separate non-business receipts from taxable income.
Acts as supplement to organisational memory
Without an adequate records management system, organisations would not be able to
claim deductible expenditure. When tax falls due, it could be a loss, which could be
particularly detrimental to organisations. Records are therefore of crucial importance to
any organisation’s tax returns. They need to reflect the income, expenditure and credits
that organisations note on their tax returns. Furthermore, keeping good records will ensure
that organisations have accurate figures available for official inspection at all times. This
would also help during auditing and financial reporting.
In trying to emphasize the above advantages, the State of Montana. Montana Historical
Society (2002:4), indicated the benefits of a well-organized records management system
as follows:
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• It saves space.
• It saves money.
• It saves time.
According to Hounsome (2001:5), a sound records management programme will have the
following effects in the organisation:
• Information will be easily accessible to, and retrievable by any authorized users.
• Productivity will be improved and costs reduced through easier access to records
and less time spent looking for information.
• More timely, better management decisions are likely to be achieved if a complete
source of information is readily available.
• Accountability will be improved.
• The organisation will be able to meet legal commitments concerning the
management of recorded information, including responding to requests based on
freedom of access to information.
• Improved information integrity and preservation of corporate memory will be
possible.
All organisations need to manage the information they create and accumulate in the
course of their activities. Without good information management, no institution can
function efficiently since legal, financial and administrative transactions must be
documented and the reference and research requirements of the institution need to be
serviced.
Poor information management means that organisations may lose part or all of their
corporate memory, records documenting the development of functions and data on
research carried out may be destroyed or misplaced. Surviving material may be without
order and control, thus losing its value as evidence and resulting in over-dependence on
individual memory. Such lack of control results in loss of accountability for an
organisation’s actions. Corruption and mismanagement in relation to problems of time and
cost are likely to occur (Cowling, 2003:1).
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According to Gross (2002:1), it not only cost business more money, such as that spent on
purchasing of additional filing cabinets, file folders and additional off-site storage, but
business also loses efficiency and staff time when records cannot be quickly located and
retrieved as they are needed.
In summary, planning for, and investing in the management of recorded information will
result in improved customer service and lower cost.
2.5 RECORDS MANAGEMENT FROM A GOAL-ORIENTED PERSPECTIVE
As indicated in the introductory statement, for the purpose of this study, records
management exists for the purposes of facilitating quicker decision-making and ensuring
that an organisation remains competitive against external forces.
The concept of records management has different goal oriented perspectives, namely:
• Decision-making perspective
• Competitive performance perspective
2.5.1 Decision Making Perspective
The concept decision-making is defined by Van der Waldt and Knipe (2001:193) as
identification and selection of a plan of action to solve a specific problem. Decisions made
without adequate information are uncertain and very risky to the organisation. The
organisation might therefore collapse owing to poor information supply during the
decision-making process.
According to Pardo (2000:1), organisations need information to carry out their activities
and to document actions and decisions. Records must be managed so that they are
accessible and usable when they are needed. Records exist in order to remind
organisations about their previous activities. They provide information for sound
managerial decisions. Records are generally used by most organisations to archive
informed decision-making and formulate their strategic plans.
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The information required to support the decision-making process in each of the
management functions differs considerably in nature and scope. The decision made must
be based on timely, accurate and cost-effective information. As the quality of the
information improves, the probability of making a good decision increases. Information
must be made available to the decision-maker when it is needed and in a required and
useful format (Homer, 1999:76).
With reference to the above statement, Langemo (1995:415) defined the concept ‘record’
as the memory of the organisation, the raw material for decision-making and the basis for
legal defensibility. To support the above scholar, Yusof and Chell (1998:98) further state
that the function of the record has changed from that of documenting organisational
activities to that of providing information for decision-making, and providing evidence and
compliance.
In trying to indicate the role of records in the decision-making process, Gill (1993:5) further
indicates that records are facts supporting decisions, and facts upon which to base future
decisions, facts to communicate to employees, to customers, to potential customers, to the
government, and to stakeholders, facts to document the history of a company. As part of a
record, information is used to increase knowledge or reduce the decision-maker’s
uncertainties about a future state or event for competitive survival (Homer, 1999:76).
Having witnessed the value of records in the decision-making process, one may view
records management as the process of controlling the movement of records from the
creator to the receiver with the sole aim of information dissemination for proper decision-
making. It is the process of ensuring that an organisation’s decision-making tools i.e.
records, are readily available, safe and easily accessible.
2.5.2 Competitive Performance Perspective
Information drives business. It helps organisations to make contacts and sell their
products. It enables them to evaluate performance and improve services. Furthermore, it
allows organisations to run the office and plot strategies for competitive survival.
Information is at the core of every business transaction (Pardo, 2000:1).
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In consideration of records as a relevant source of information for an organisation’s
competitive survival, Du Toit (1998:205) indicates that information could be used as a
competitive weapon by an organisation in order to change the structure of competition as
well as to erect barriers to potential competitors. In support of the above scholar, Porter
and Millar (1985:149) further indicate that the information revolution is affecting the
competitive environment in three vital ways:
• It changes the structure of the industry and alters competition rules.
• It creates a competitive advantage by giving organisations new ways of
outperforming their rivals.
• It spawns wholly new business, often from within an organisation’s existing
operations.
From a competitive performance perspective, records management is defined by the
Australian Standards (1996:6) as a discipline and organisational function of managing
records to meet operational business needs, accountability requirements and community
expectations. It simply implies that an organisation failing to meet the operational needs
and expectations of its community is incompetent. Incompetence leads to downfall since
other competitors exploit their rivals’ weaknesses for competitive survival.
Based on the above explanation, most organisations view records management as a
function through which employees remain informed about their organisation’s way of
operation. In doing so, the company improves its competitive survival.
2.6 CAUSES OF POOR RECORDS MANAGEMENT PRACTICES
According to the State of Montana. Montana Historical Society (2002:32) and Hounsome
(2001:2), there are many causes of the problem of poor records management practices:
• Lack of records management policies and procedure. Are they adequate? Are they
philosophically consistent across the organisation?
• Lack of qualified staff such as a records manager and archivist. Will the experience
and qualifications of the existing staff be suitable for managing a records
management programme?
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• Records management costs that are not immediately apparent. Cost may only
become significant over a period of time and thus not attract management’s
attention.
• Limited resources to implement a system according to requirements (legislation). Is
the number of staff and other resources adequate? Is the records retention and
disposal schedule in place? Has this been approved by legal services?
2.7 CONCLUSION
In a world of change, information has become the most dominant resource in the success
of organisations and at the same time, organisations have to meet increasing regulatory
and legal requirements. The management of recorded information, irrespective of form or
format, is more vital to organisations than ever before (Sanderson & Ward, 2003:2).
In its response to change, records management has moved along with several conceptual
frameworks, from archives to information management. Now the discipline has to acquire
another framework, derived from information and communication technology (Yusof &
Chell, 1999:13). Linking records management with avoidance of failure is a key to success
(Sanderson & Ward, 2003:5).
Chapter three will focus on the life cycle of records from the creator to the end-user,
organisational structures and the behaviour of end-users in respect of records at their
disposal. Illustrations will therefore be given showing how organisations operate as a
system. The flow of information within the same system will also be outlined.
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CHAPTER THREE
STRATEGIC ROLE OF RECORDS MANAGEMENT IN AN ORGANISATION
3.1 INTRODUCTION
An organisation’s systematic operation will never be divorced from the records life cycle
practiced within that organisation. They are like two sides of the same coin. To understand
a record’s life cycle in an organisation better, it remains of value to have a deeper
knowledge of the communication system applied in the organisation in question. The role
players within that organisation and their interaction should also be considered.
Duffy and Assad (1980:18) define a system as a goal-directed collection of interrelated,
interdependent and interacting parts existing in an environment, with boundaries
dependent on the purposes of the environment, process, and output returned from the
environment. The records management life cycle is often operated in association with the
communication system in an organisation.
Lack of communication at times results in misplacement or disappearance of records. The
records life cycle is therefore strongly based on the organisational structure and its
systematic operation. To support the above sentiments, Duffy and Assad (1980:19)
indicated that an organisation comes into being when there are persons able to
communicate with one another and willing to contribute action and to accomplish a
common purpose.
The records produced are aimed at disseminating organisational information from the
creator to the user. Records are therefore generally produced during the communication
process as a way of imparting information from employer to employee or vice versa.
Central to information dissemination, the most affected party is the organisation itself. The
communication system exists for the organisation’s competitive survival. Once a particular
component fails to operate, the entire organisation is affected negatively and rivals seize
the opportunity. For example, if the organisation introduces a new vision and fails to
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disseminate the information to all employees, such an organisation might experience a
disaster. The consequences might be that those employees who were not informed about
the aims and objectives of the new vision of their organisation would remain in the dark
and operate according to the old one.
Such conduct might be caused by lack of a proper communication system. One senior
manager might retain records with valuable information and decide not to disseminate
these further. In that manner, the organisation’s communication system is negatively
interrupted. The same happens to a record’s life cycle. For example, if the record is
created and submitted to the IT department for wider broadcasting, for reasons beyond its
control it might fail to distribute it. The life cycle of that record is then interrupted and not
completed. Another example is when the record is created and disseminated but not used.
All the affected parties in an organisation need to operate positively and systematically. If
the user reacts negatively to the record produced, the worst affected party is the
organisation itself.
This chapter intends to address the following sub-problems:
• The impact of an organisational structure on a record’s life cycle.
• The effect of both organisational structure and a record’s life cycle on end-user
behaviour.
3.2 LIFE CYCLE OF A RECORD
Like living organisms, records have a life cycle. They are created, received, disseminated,
used, maintained and disposed of after their period of survival. At this stage, their physical
form (paper, electronic, magnetic, photographic etc.) and information content are
established. Records management therefore exists as a process through which records
are controlled from their birth (creation) to their death (disposal).The life cycle of a record
is a management concept referring to the movement of records through the various stages
of creation, maintenance, use and disposal (Austin College, 2003:1).
Wamukoya (2000:27) cites Jay Atherton’s records continuum model. The model focuses
on the management of records as a continuous process. It views management of records
in terms of the business process or the functions and activities of the organisation, which
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the records document. In other words, the continuum model addresses the issue of the
type of records that need to be captured to provide evidence of a particular function or
activity, the systems and procedures needed to ensure that the records are captured and
maintained.
Each record follows a definite flow pattern from the time it originates or is received to the
time of final disposal or destruction. The diagram below, as indicated by Karen (2001:26)
and Hudak (2003:5), illustrates clearly various stages of the record’s life cycle and the
relationship between them.
Figure 3.1: Record life cycle
In support of Figure 3.1, Penn et al. (1994:11) clearly indicates that the life cycle of
records can be divided into five major phases, i.e. creation, distribution, use, maintenance,
disposal or archival.
Creation and receipt phase Correspondence
Forms Reports Minutes
Procedure Manuals Other relevant records
Dissemination Internal External
Maintenance Filing
Retrieval Transfer
Disposal Inactive storage
Archives Discard
Destruction
Use Decision-making
Competitive performance Referencing
Legal compliance
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Creation and receipt phase
According to Northwest Territories (2002:1), records begin the life cycle when they are
created and received. According to Hare and McLeod (1997:5), the creation phase is the
root of the life plan of the record. This is the stage where records and information are
initially created or obtained (Canada. National Archives of Canada, 2003:1). Penn et al.
(1989:9), indicate that there are various ways through which records are created. For
example, an individual writes a letter or memorandum to a business associate, an
applicant applies for a vacant position in a particular organisation or an existing record is
placed on a copying machine and in a matter of seconds, one becomes two and so on.
Furthermore, with the advent of technology, records can be created electronically and sent
from one person to another. For example, many organisations use the Internet for
advertising vacancies. An applicant sometimes returns applications electronically through
the Internet to the organisation with a vacancy (Makhura, 2001:26). Although the
electronic record management system is criticized for lack of security (signature), it
remains an option for many organisations owing to its speed and accuracy.
Hare and Mcleod (1995:5); Penn et al. (1994:12-14); Kennedy and Schauder (1999:29)
indicated that during the creation phase, the creator of the record should try to answer the
following:
• Motive for record’s existence (Why create such a record?)
• Design (Does the content of that record meet the end-user’s informational needs?)
• Lifetime of the record (How long will such a record be kept?)
• Format (Print or electronic?)
Records are created and accumulated as organisations perform their daily business. They
are created for a purpose and as evidence of official business. It is during this phase that
the physical format of the record (paper, electronic, magnetic, and photographic) and
information content are established. As records are created in different formats, it is
advisable that some standards for records retention be established in an organisation to
ensure that excessive amounts of information are not generated (Mrwebi, 2000:20).
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The most important aspect of this phase is to recognize that records as the main source of
information have been generated, and to encourage employees to assess the value and
role of the information contained at the moment of creation within a recognised framework,
making it easy to support their organisation’s competitive performance, policies and
applicable legislation (Canada. National Archives of Canada, 2003:1).
Maintenance and use
This stage is about maintenance and use of records as information sources. This is the
stage where records and information are actively used and shared. All the other stages
support this important phase of the records life cycle. Records are actively being accessed
and shared by all employees of an organisation. Furthermore, this phase provides a
suitable environment for easy access to timely, accurate and available information in a
record (Canada. National Archives of Canada, 2003:1).
This phase is therefore all about both active and semi-active stages of records. The active
stage is the period when the records are actively used and are imperative to the
organisation’s daily operation. The semi-active stage is the period when the records are
no longer required to support the everyday operations of the organisation directly (Mrwebi,
2000:33). Records are therefore regularly filed after use and occasionally reorganized.
During this phase, physical storage and filing systems are of critical importance in
controlling and ensuring the safety of records and easy retrieval. In support of the above
statement, Menkus (1996:40) maintains that this phase from an electronic records
perspective involves organizing and arranging large volumes of shared information and
ensuring easy access to it. In the electronic environment, the maintenance task is
normally performed by the database administrator (Makhura, 2001:27).
Irrespective of the format, records need to be managed and maintained well to ensure that
they are kept current and secure, and not accidentally disposed of. Requirements are
often unique to each organisation’s policies, procedures, mandates and legislation in
relation to a record’s life cycle. For example, records related to history or law may be
managed and maintained differently from records that provide broad information (Canada.
National Archives of Canada, 2003:1).
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The following questions about the use and control of records should be posed and
answered before a single file cabinet or folder is purchased:
• Will the filing system be centralized or decentralized?
• Will the filing arrangement be numeric, alphabetical, or a combination of both?
Active records are needed frequently. They are retrieved at least once per month. They
are therefore stored in readily accessible office space. Inactive records are only kept for
future reference such as legal and financial reasons. They are not used regularly to justify
their value if stored in prime office space and equipment. Semi-active records are often
stored at a lower cost in a records centre.
The most important aspect of this phase is encouraging employees of an organisation to
use and share complete and accurate information actively, in a timely manner, with one
another. Good and timely information is a critical aspect of supporting the competitive
performance of an organisation (Canada. National Archives of Canada, 2003:1).
Effective use and dissemination of records yields timely, accurate and available
information that is accessible to those who need it within and outside an organisation,
when they need it, and in a form that they can use. Some records may stay active and in
use for decades, while others quickly become semi-active or ready for disposal. The
following phase will address records that are inactive (Canada. National Archives of
Canada, 2003:1).
Disposal phase
The disposal phase is the phase in which records that are no longer of value to an
organisation are destroyed or transferred to the archives for their secondary value
(Northwest Territories, 2002:2). Records reach their inactive phase when their primary
value to the organisation lapses. In support of the above statement, the National Archives
of Canada (2003:1) indicates that this is the stage when records have reached the end of
their life cycles. As determined by the National Archivist, one of three pathways for each
record must be followed by the organisation:
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• Destruction
• Alienation
• Transfer of archival records to the archives
It is important to deal with records as soon as it is determined that they no longer have
business value to the organisation to avoid the costly build-up of stored backlogs of
records. This phase is therefore of critical importance for proper and economical
maintenance of office records. Many records can be legally destroyed at the end of their
active life cycle. Others become semi-active and should be retired to a records storage
area or reformatted for more convenient storage. Microfilming and digital imaging are the
most common form of reformatting.
Records with long-term value are sent to the archives for permanent storage. In support of
the above statement, Mrwebi (2000:19) indicates that the need to refer to records declines
sharply as their age increases. As records reach the inactive stage of their lives, they are
destroyed since they are no longer useful to their creator or organisation. Alternatively,
they can be transferred to archival storage for future reference to organisation.
Once records are identified as archival, the National Archives will specify certain
requirements regarding the format of the records. If the technology is too advanced for the
National Archives to manage, the organisation will be required to undertake archival
preservation. Furthermore, it is important for organisations to arrange with the National
Archives for the transfer of inactive records before attempting to do so. Such a step would
avoid any possible transfer problems likely to be experienced during the transfer process
(National Archives of South Africa Act, 2000:27). In comparison to South Africa, disposal
of records in Kenya is also regulated by the provisions contained in chapter 19 of the
Public Archives Act (1965). Section 7 (1) of the Act indicate clearly the criteria to be used
in the disposal of public records in Kenya (Mnjama, 2003:96).
In terms of transferring electronic records to National Archives, the organisation
transferring the records is required to include certain documentation (metadata)
accompanying computer files. Technical documentation of the records, sufficient to
support their use for secondary analysis, must accompany the tape. Furthermore, the
National Archives also needs specific information on how the tape was written,
identification and definition of all data sets transferred, records layouts specifying relative
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positions, lengths and definitions of all data elements, and codebooks for all unique codes
used in the records (Republic of South Africa. National Archives of South Africa, 2000:27).
According to Diamond (1995:17), once the records have been transferred to the archives,
they need to be processed, conserved and made accessible as sources of information or
evidence. They are used to refresh the memory of employees about the history of their
organisation. Management consults such records to establish facts, take decisions and
learn about the past operation of the organisation.
At the one end is the creation of the record and its active management and use; in the
middle, its semi-active phase, at the other, its final disposal. The first two phases place the
function of records management firmly into the category of business activity per se, the
last one into the category popularly referred to as archival.
Having outlined the life cycle of a record, it remains of utmost importance for the end-user
to understand the structure and line reporting of the organisation fully. As records are
created, they move from one operational level in an organisation to the other. The
organisational structure therefore plays a crucial role in ensuring free movement of
records from creator to end-user. The section below therefore attempts to outline different
organisational structures normally used by different organisations.
3.3 ORGANISATIONAL STRUCTURES
According to Wickham (2001:72), an organisation is an arrangement of relationships in
that it exists in the spaces between people. Organizations exist to address human needs.
Wiggins (2001:1) views organisations as consisting of four interrelated elements that
influence the effectiveness and efficiency with which information is managed. In support of
the above scholars, Greenberg and Baron (1993:580) indicate that an organisation
consists of various groupings of people and departments working together to serve special
functions. In other words, an organisation is not a haphazard collection of people, but a
meaningful combination of groups and individuals working together purposefully to meet
the goals of that organisation.
Organizations can take on a variety of forms of organisational structures depending on a
number of factors such as size, their rate of growth, the industry in which they operate, the
Page 38
types of product or service they deliver, the age of the organisation and the culture that it
adopts. Entrepreneurial organisations may have less formal structures and systems than
their more bureaucratic, established counterparts. It has been found more productive to
think in terms of an organisation in a wider sense as being a network of relationships
between individuals with the entrepreneur sitting at the centre. This network stretches
beyond just the individuals who make up the formal company to include people and
organisations outside the venture such as customers, suppliers and investors (Wickham,
2001:38). Furthermore, Wickham (2001:39) indicates that in a network view, the
organisation is a fluid thing defined by a nexus of relationships.
The concept organisational structure refers to the formal configuration between individuals
and groups with respect to the allocation of tasks, responsibilities and authority within
organisations (Greenberg & Baron, 1993:580). According to Andrews and Stalick
(1994:5), the organisational structure defines who performs, manages, and is accountable
for each business process. Furthermore, the structure is also used as the path through
which the records move in an organisation for proper decision-making. Once the structure
is imbalanced or affected, it becomes difficult to maintain the free flow of records as the
main source of information.
It therefore stands to reason that information transfer in an organisation relies heavily on
the structure of an organisation. Some structures are of such a nature that those at ground
level (employees) do not have any access to information. There is no transparency at all.
In a bureaucratic organisation, records are normally created from top to bottom as a way
of informing and involving members of staff in the decision-making process.
The following functional organisational structure as outlined by Taylor (1994:36) is
normally applied by most organisations to perform their daily functions. The functional
structure departmentalises employees according to the nature of the functions they
perform i.e. assigning individuals performing similar functions to the same department
(Greenberg & Baron, 1993:588). Most organisations base their structure on the traditional
concept of a pyramidical hierarchy (bureaucracy). The board of directors is at the top
followed by the chief executive officer (CEO). Reporting to the CEO are the directors from
various divisions per specialization. Under them are the managers on both senior and
junior level. The structure goes down to the general worker.
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The organisational chart provides information about who reports to whom. The diagram
reveals which particular lower-level employees are required to report to which particular
individuals immediately above them in the organisational hierarchy. The organisation may
have many levels, in which case its structure is considered tall, or only a few, in which
case its structure is considered flat (Greenberg & Baron, 1993:581). The following
diagram as indicated by Taylor (1994:36, 39-40) illustrates how most organisations are
structured, based on their functions.
Figure 3.2: Illustration of functional organisational structure
As reflected in figure 3.2, the structure allows for free flow of information from top to
bottom. Records are created from the top, middle or lower management and disseminated
to the next reporting line staff with the aim of informing and involving them in decision-
making. Contributions from all members of staff, irrespective of the level of operation, are
sometimes needed before a particular decision can be taken.
Chief Operations
General Worker
Supervisor
Manager
Senior Manager
Director
General Worker
Supervisor
Manager
Senior Manager
Director
General Worker
Supervisor
Manager
Senior Manager
Director
General Worker
Supervisor
Manager
Senior Manager
Director
Chief Executive Officer
Board of Directors
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Central to the core of the structure is the CEO and the COO. The core is encircled by
other functional directors, but with a gap at the bottom indicating that the Human
Resources Unit and Implementation and Research Unit report directly to the core. The
outer circle contains several units that all have a line responsibility to the COO.
This structure enables the CEO to be concerned with upward and outward management,
leaving the COO to deal with the daily management of the organisation and with
responsibility for all the operations. The intention of this structure is to allow the directorate
(CEO, COO, other functional directors) to be the strategic nucleus, concerned with
planning, strategy and monitoring tactics. Records are therefore created from within the
cycle to the outside, allowing members of staff at operational level to align themselves
with the strategic planning of the organisation etc.
On the other hand the product organisational structure comprises self-contained divisions,
each of which is responsible for everything it does with a certain product or group of
products. In this structure, organisations departmentalize themselves according to
products. Separate divisions are established, each of which is devoted to a certain product
or group of products. Each unit is provided with resources needed to develop,
manufacture and sell its product. The organisation is composed of separate divisions,
operating separately, the heads of which report to top management (Greenberg & Baron,
1993:589). Records about the product are therefore regularly created by the department
concerned and submitted to top management and clients.
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The diagram below, as depicted by Greenberg and Baron (1993:589), illustrates how
product organisational structures operate:
Figure 3.3: Illustration of product organisational structure
As indicated in the above product organisational diagram, each diagram reflects a
specialist in an area of operation. Departments are established according to products
produced in that organisation.
Unlike the above two organisational structures arranged according to functions performed,
the structure below is arranged according to both product produced and function
performed (Greenberg & Baron, 1993:591). Such a structure is commonly known as a
matrix organisational structure. It is a type of organisational structure that combines both
the function and product patterns of a department. It therefore results in some managers
reporting to two bosses i.e. one from the product and the other from the functional
department. Technically, they are under dual authority (Greenberg & Baron, 1993:592).
More importantly, the matrix organisation offers high integration leading to improved
communication, more thorough information-sharing, and increased face-to-face interaction
(Burgess, 1998:193).
Supervisor
Supervisor
Supervisor
Manager
Director: Clothing
Supervisor
Supervisor
Supervisor
Manager
Director: Bakery
Supervisor
Supervisor
Supervisor
Manager
Director: Food and Beverage
Chief Operations Officer
Chief Executive Officer
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The diagram below from both Burgess (1998:193) and Greenberg and Baron (1993:592)
illustrate clearly how a matrix organisational structure operates.
Figure 3.4: Illustration of the matrix organisational structure
As illustrated in the above diagram, one manager reports to two directors from both
functional and production departmental perspectives. There is therefore dual reporting.
For example, manager A reports to both the director of marketing and the director of
clothing.
Without a proper records management system, decision-making may be drastically
delayed. As indicated by Swanson (1994:88), the following records are normally created in
an organisation from the top: minutes of board meetings, memorandums, policy and
procedure manuals and annual reports. Downward communication usually starts with top
management and flows down through different management levels to non-supervisory
staff so as to direct, instruct and provide subordinates with information on the
organisation’s objectives.
At the same time, members of staff at lower level may also create organisational records
through normal correspondence such as letters, reports about their operations and
Managing Director
Director: Marketing Director: Finance Director: Production
Director: Clothing
Director: Bakery
Director: Foods and Beverage
Man. C
Man. B
Man. A
Man. F
Man. E
Man. D
Man. I
Man. H
Man. G
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comments on open letters from the top management. To avoid strikes and other labour
action, poor performance, corruption etc., it remains advisable for organisations to ensure
that records produced are accessible to all the employees.
The main function of upward communication is to supply information to the upper
echelons of the organisation’s hierarchy about what is happening at lower levels. It
includes progress reports, suggestions from subordinates and explanations required to
facilitate decision-making, and results in a process of condensing and sifting the
(“upwards-moving”) information.
For quicker transfer of information, most organisations have shifted from a manual to an
electronic records management system. They create and keep their records on an Intranet
through which all members of staff with computers have access to the records. In this
case all the valuable organisational records are kept and updated on an Intranet. Unlike a
manual system, the advantage of an electronic records system is that one document may
be viewed by all members of staff at the same time. The disadvantage is that not all
members of staff have computers or are network access or computer literate.
Technology is strategically utilized by most organisations as a way of ensuring quicker
transfer of information among members of staff. Records are kept both manually and
electronically. All members of staff attached to the same organisation, irrespective of
geographic location and distance, are expected to receive the same record within a short
period of time.
The section below intends addressing the impact of the organisational structures on the
movement of records from creation to disposal within an organisation.
3.4 IMPACT OF THE ORGANISATIONAL STRUCTURE ON A RECORD’S LIFE CYCLE
The key levers in an organisation are its structure, the management processes used, the
information flow within it and its culture. These serve to link a range of components
together i.e. business units, departments and individuals (Taylor, 1994:22). With reference
to the definition by Wiggins (2001:1), an organisation comprises four inter-related
elements that influence the effectiveness and efficiency with which records as sources of
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information are managed and used. It greatly affects the life cycle of a record and the
reaction of the end-user thereof.
The following diagram as indicated by Wiggins (2001:1) demonstrates how the elements
of the organisation interact with one another for an organisation’s competitive survival.
Central to a discussion of this diagram are organisational structure, the end-user with
information-searching tools and the records life cycle (business processes).
Organisational
Structure
BusinessProcess
Informationsearching tools
Users (Humanbeings)
Inter-action
Figure 3.5: Inter-relationship of elements within an organisation
The above diagram is interpreted as follows:
Organizational structure
As indicated earlier, the structure is composed of employees (users) from different levels
of operation. Without employees, there is no structure. With reference to the above
diagram, there should be a close relationship among users, information-searching tools
and the business process (daily records). A poor organisational structure might affect the
above-mentioned relationship negatively and harm the organisation itself.
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Business processes
Once the business day starts, the first phase of the record’s life cycle (creation) is
experienced. The question is whether those records are properly managed for future
reference by the end users. The above diagram therefore illustrates the value of managing
records produced during the course of an organisation’s daily operation. Failure to
manage those records may create a terrible crisis within an organisation, such as lack of
transparency and dictatorship, strikes and labour unrest.
Information-searching tools
Organizations often experience information overload. Without a proper records
management system, end-users (employees) spend enormous amount of business time
on searching for a desired record. It is therefore appropriate for organisations to ensure
that their records are easily retrievable. This would minimize the time wasted by
employees searching for records. It must be borne in mind that time is the biggest
intangible asset of any organisation. If not managed correctly, the organisation is likely to
collapse. In this regard, the above diagram illustrates the need for filing systems in both
manual and electronic format enabling users (employees) to retrieve an organisational
record with ease.
Users
Records are created with the intention of reaching a particular group of users. In an
organisational setup, employees create, use, communicate, revise and manage records
as sources of information. They finally retain information received from those records as
their knowledge about the organisation’s operations. The end-users’ attitudes to records
are of critical importance to an organisation’s competitive survival. Although informed
employees are often associated with an organisation’s productivity, the structure of an
organisation may at times isolate other members of staff from accessing records. It might
be intentional or due to the lack of a proper records management system in an
organisation.
It is important to note that the transfer and utilization of information obtained through
different sources either in print or electronic format are central to this diagram. The role
Page 46
played by records in the transfer of information in an organisation cannot be
overemphasized. Records are the pillars of an organisation’s survival. Without them,
organisations cannot function. In support of the above statement, an organisation relies on
the records and information it creates to analyze, reduce and eliminate business risks
such as losing business to competitors.
Different organisational structures as well as their possible impact on a record’s life cycle
have been explored in this section. The section below aims at identifying the influence of
both organisational structures and record life cycle on end-user behaviour in an
organisation.
3.5 IMPACT OF ORGANISATIONAL STRUCTURE AND RECORDS’ LIFE CYCLE ON END-USER BEHAVIOUR
The value of information depends greatly upon the recipients themselves (end-users). The
reaction of end-users to information sources is of the utmost importance in ensuring its
application to ensure an organisation’s success. Ignorant and lazy end-users often create
information overload for themselves and crisis for their organisation in the long run. They
either ignore or pile up information sources (records). By the time they start reading them,
the decision has long been taken and put into practice.
According to Kemoni, Wamukoya and Kiplang’at (2003:38), records are the most
important sources of information to various end-users in each organisational setup.
Records management therefore exists to ensure proper movement of those records from
the creator to the user. Having gone through the records, end-users become informed
about the operation and status of their organisation. Some end-users need records to
complete their research projects (Kemoni, Wamukoya & Kiplang’at, 2003:38).
According to Meyer (2002: 94), there should be a direct relationship between the
availability of information and the ability to handle and use the information. The problem
often experienced with end-users is that they are not always aware of what records entail
so that they can use this information for their benefit.
The extent to which end-users are able to handle information will also determine its
usefulness as a resource for their development in an organisation. Information on its own
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is worthless and cannot solve problems; it has power when it is used and applied
effectively. It therefore implies that end-users of information need to be evaluated on how
they use and apply information for the benefit of an organisation (Meyer, 2002: 94).
3.6 CONCLUSION
A proper records management system is a must, not a choice, to all organisations.
Organizations operating without a proper records management system are likely to
experience disasters such as corruption, losing legally against complainants etc.
Organizations should therefore create a path through which records move within their
structures. Such a path should ensure that records reach their destinations without any
interruption or delay. It therefore implies that there should be a relationship between the
record’s life cycle and the structure of the organisation.
Throughout their interaction, the two components (record’s life cycle and structure of the
organisation) should place the end-user’s needs in a more strategic and beneficial
position. It is this position, which must influence the end-user’s attitude to records. The
structure should provide the end-user with all information-searching tools (both
electronically and manually). The life cycle should ensure that a record reaches its
destination (end-user).
The relationship between a record’s life cycle, organisation and end-user was explored in
chapter three. Chapter four will focus on IT in records management as well as the
strategic role of records management in an organisation. The challenges and
opportunities of introducing records management into an organisation will also receive
attention.
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CHAPTER FOUR IMPACT OF INFORMATION TECHNOLOGICAL ON RECORDS
MANAGEMENT
4.1 INTRODUCTION
Since 1978, with the introduction of the earliest dedicated word processing computers,
records management gradually shifted from manual to electronic format. For the first time
records were being stored and maintained electronically. With rapid adoption of electronic
commerce, the transition from paper to electronic records accelerated at a faster rate than
ever expected (Spratt, 2000:10).
Given the above statement, it is safe to indicate that the introduction of information
technology has drastically turned around the normal operation of most organisations. It
has somehow taken over some of the functions normally performed by human beings.
Records management is no exception in this regard. It has changed from manual to
electronic format. Messages are no longer disseminated through printed letters or
circulars, but electronically via electronic mail, Intranet and Internet instead. Corporate
information has moved from paper memoranda and letters to e-mail messages. It remains
the responsibility of the organisation to ensure proper management of those records.
In support of the above statement, Ardern (1998:11) emphasizes the use of computers for
sending messages, doing electronic banking transactions and preparing articles on
personal computers (PCs). Although technology is difficult to cope with, electronic records
systems brought along the following benefits compared to a manual records management
system:
• Improved retrieval of information.
• Quicker and cheaper dissemination of records.
• Ability for multiple usage of the same record.
The above statement is fully supported by Cain (2002:15), who further indicates that
electronic records provide users with improved and smooth access to electronic
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information. The impact of technology on organisations and their records management
system is not a new phenomenon. Telegraphs, typewriters and telephones had long been
introduced and drastically altered the way business was done and records were kept.
The advent of computers altered records management even further. Nevertheless, the
purpose of technology in records management is to ensure easy access, more efficient
and less costly information handling. Digital technology has been the major driving force
behind the transformation in records management (Spratt, 2000:8).
Against the above background, it is the intention of this chapter to explore the following
areas:
• Management of electronic records in an organisation.
• Positioning of records management in the IT industry.
• Advantages and disadvantages of electronic records management.
• Challenges facing electronic records management.
• End-user behaviour from electronic records management perspectives.
• Strategic role of records management in an organisation: technological perspective.
4.2 MANAGEMENT OF ELECTRONIC RECORDS IN AN ORGANISATION
The past century has revolutionized the way in which information is generated and stored
(Beastall, 1998:89). Organizations started to operate in an environment where an
increasing majority of records are created and disseminated in electronic format. Much of
this information constitutes the records of those organisations i.e. outputs of the business
process (McLeod, Hare & Webster, 1998:23).
In trying to emphasize the need for managing an organisation’s records, De Wet and Du
Toit (2000:85) conclude that successful organisations recognize the value of managing
their internal records efficiently and effectively. Those organisations understand that, to
assure their future, records should receive the same level of attention and commitment as
any other corporate resource. In support of the above scholars, Gross (2002:2) further
mentions that managing records is a vital part of any business operation.
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The proper management of records can make all the difference in an organisation’s
survival against aggressive competitors. Like any other resource within an enterprise,
such as people, money and real estate, records are also an enterprise’s unique resources
that need to be managed explicitly (De Wet and Du Toit, 2000:74). Organizations maintain
and manage records for legality or corporate memory (Spratt, 2000:11).
MacDonald (1998:6) expressed his concern about the lack of policy, legislation, systems,
standards and practices for ensuring the protection and proper management of electronic
records. A great deal has been written about concern about the management of electronic
records in Australia, Canada, Europe, the United Kingdom and United States, but at
present much of this work remains theoretical.
Policies, guidelines and procedures for electronic records management are still being
developed. Most of the work that has been done was spearheaded by a small group of
records professionals with little input from the IT community (Johare, 2001:106). It
therefore implies that there is a need for closer relationship between records management
and the IT community in addressing issues of common concern with regard to electronic
records management.
Lack of organisational and legal frameworks on electronic records affect their value in
terms of management (access) and preservation negatively (Johare, 2001:106). The
materials that now need to be managed and controlled extend beyond the traditional
paper-based records into Web pages and multimedia records. Voice recognition systems
are almost at the same level word processing was in the early 1980s. Managing such
records is of crucial concern so that the pattern of how a decision was arrived at can be
traced (Beastall, 1998:89).
In order to manage electronic records effectively in an increasingly technological
environment, records managers will need to have a basic understanding of several areas
of IT including networking principles, operating systems, database systems, imaging
systems, workflow, e-mail systems, Internet/ Intranet, etc. Given the pace at which
technology is moving, continuing records management education will become a lifelong
endeavour (Spratt, 2000:11).
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In recognition of the manner in which electronic mail is generated daily in an organisation,
the section below attempts to address the best possible management techniques of e-mail
as an example of electronic records.
4.2.1 Management of Electronic Mail as Electronic Records
The introduction of various computerization projects in organisations resulted in large
numbers of records being created electronically. Although the introduction of modern
information and communication technologies is a welcome development, the underlying
issues relating to the management of electronic records remains to be addressed
(Mnjama, 2003:97).
Like any other record in any medium, electronic mail should be managed according to
basic rules and principles. The management and retention of electronic mail in South
Africa is subject to the National Archives and Record Service of South Africa Act (No. 43
of 1996 as amended) and its regulations. According to Sutcliffe (2003:51), if e-mail is not
captured as soon as it is generated, then it may never be captured. Furthermore, once
information is published on the Web, it becomes a record, and creates liability for the
organisation that published it if it has gone through a formal review and approval process.
Strategies for managing and preserving electronic messages as records will differ
depending on the specific environment in an organisation. There are two basic options for
managing records created and received in the form of electronic mail:
• Print messages and file them in paper-based filing systems,
• Transfer electronic mail into an electronic records management classification
system.
The method chosen will depend on whether an organisation makes use of a paper-based
filing system or an electronic records management system, or both. Users should be
informed about policies, procedures and tools for managing electronic mail messages,
and be able to apply them consistently to all records (National Archives of South Africa,
2000:33).
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Like any other tool, electronic records have both advantages for the benefit of the
organisation and disadvantages dangerous to the organisation. The disadvantages of
managing electronic records are made even worse by lack of trained records personnel
(Mnjama, 2003:7). The section below aims at exploring advantages and disadvantages of
electronic records management.
4.3 ADVANTAGES AND DISADVANTAGES OF ELECTRONIC RECORDS MANAGEMENT
Having proved itself over paper, electronic records is considered by most policy and
decision-makers in organisations as the quickest possible technique of solving information
and records management problems. They are convinced that, once electronic records are
introduced into a management system, information needs will be addressed with ease
(Mnjama, 2003:7).
4.3.1 Advantages of Electronic Records Management
The first software products for records management started to appear in the early 1980s.
In general, these products were designed to make the job of records management easier,
and were primarily concerned with tracking paper records. Today the capabilities of
records management systems have expanded to handle electronic records (Spratt,
2000:2).
According to De Wet and Du Toit (2000:79), an electronic records management system
could bring the following improvements to the benefit of the entire organisation:
• Each record that exists will be securely stored in the system’s database.
• All end-users throughout the organisation will be able to access records
simultaneously.
• The routing mechanism, with which records can be directed for processing by
specific people, will enable structured information flow to ensure that each record
receives appropriate attention.
• The indexing mechanism will facilitate effective storage and efficient retrieval.
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The following advantages of electronic records management will be discussed in more
detail:
Saving space
Space costs money. Technology is capable of replacing paper, but a “paperless office” will
probably never exist. Organizations are increasingly replacing their paper files with
electronic records as a space-saving strategy. Thousands of records originally in paper
format are scanned and converted into computer files for storage in CD-ROMs taking up
only a small part of the space previously required by filing cabinets and boxes (Stuenkel,
2000:51). The use of electronic mail and Intranet for internal and external communication
proved to have saved a huge amount of space by reducing the number of paper records,
which could have required a lot more space (Benson, 1998:88).
Organizations invest in electronic records management systems with the idea of reducing
demand for more space from records managers. It is up to the organisations themselves
to encourage their employees to make use of technology in creating and saving records. If
records are created and received electronically but end-users print and file them for future
reference, it clearly shows that the strategy did not work. Soon the very same employees
will complain about filing cabinets and office space.
Reduction of costs
The biggest advantage of electronic records management is the ability to share and re-
use information sources i.e. records (Spratt, 2000:8). Through e-mail, a large number of
end-users may access and re-use the same records simultaneously or individually. They
don’t have to wait for one another to retrieve the same record (Benson, 1998:88).
Furthermore, through electronic records management systems, organisations save money
on postage, storage, shredding and waste disposal (Phillips, 1998:65). Unlike a paper
record, it requires only one employee to send one record to all members of staff. Human
resource costs are also reduced drastically.
According to Gross (2002:1), it not only costs business more money to purchase
additional filing cabinets, file folders and additional off-site storage, but business also
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loses efficiency and staff time when papers cannot be located and retrieved quickly as
they are needed.
Access to information
As the pace of business operation is accelerating, so is the need to share information.
With more than half of the information in an organisation created electronically, there is a
requirement to share it electronically. The benefit of electronic records management is
based on improved retrieval of information (Spratt, 2000:8).
According to Gross (2002:2), if records were converted to electronic format it would be
possible to retrieve any and all records from a laptop anywhere in the world. For example,
sales representatives and executives may wish to access important records while away
from the office. If the electronic records management system is Web enabled, corporate
users can access records from any location at any time as indicated above. An
organisation may also share access to certain documents with users outside the
organisation, such as customers, suppliers or service providers. Using a Web-linked
records management system makes it practical for large organisations to engage all
members of staff in information sharing (Spratt, 2000:10).
For legal organisations, electronic records management offers the strategic advantage of
providing quick access to specific pleadings, exhibits and other papers in seconds (Gross,
2002:2).
4.3.2. Disadvantages of Electronic Records Management
Security
According to Spratt (2000:11), preserving electronic records for long periods of time, or
even forever, raises a different set of issues than preserving paper records. Digital media
such as floppy disks, hard disks, magnetic tape and CD-ROMS are generally not as stable
as traditional media and, as a rule, deteriorate at a much faster rate than paper and
microfilm. It simply means that within a short period of time, often only a decade, digital
records can become unusable because the medium in which they are stored might
become unreadable.
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The above statement is supported by Gross (2002:2) who refers to NASA and other
organisations that experienced backlogs of media (tapes and disk drives) without relevant
technology to read it. Gross (2002:2) further states that less than ten years ago,
organisations were storing data on a 5½ inch discs and hard drives. It implies that unless
modified, the tools used to store data today may not be used in future. Keeping up with
technological advances in records management is of critical importance when dealing with
electronic records management. When preparing to store records, it is important to ensure
that the format of the document is one that will last for its entire useful life.
Losing access to records stored in PCs, e-mail boxes or personal local area network
directories is a very real possibility for many businesses. There are countless stories
about how organisations have lost precious information because records were improperly
stored. NASA researchers, for example, had trouble in reading more than 1 million
magnetic space mission tapes because they were mislabelled, improperly catalogued,
damaged or recorded on equipment that was no longer in use (Pardo, 2000:1)
Accessibility
Electronic records management also suffers from obsolescence. Unlike paper documents,
which can be read directly by the human eye, a digital record requires the intervention of
machines. Without the relevant hardware, the medium on which electronic records are
stored cannot be read. Even with the right hardware, records will not be readily available
in a human-readable form without the software program that originally created that record
(Spratt, 2000:11)
Authentication
Proliferation of computers has created a number of problems for the law. Many legal rules
assume the existence of paper, signed and original records. The law of evidence
traditionally relied on paper records. As more and more activities are carried out by
electronic means, it becomes increasingly important that evidence of these activities be
available to demonstrate the legal rights that flow from them (Spratt, 2000:6).
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Owing to lack of authentication in electronic records, the potential for corruption and fraud
in the electronic environment is greater than in a manual environment (Palmer, 2000:66).
For electronic records management to reduce some of its disadvantages, it needs to be
familiar with and ready to deal with existing challenges. The following section addresses
some of the challenges faced by an electronic records management system.
4.4 CHALLENGES FACING ELECTRONIC RECORDS MANAGEMENT
Developments in IT in the last two decades, including the development of the Internet and
particularly the World Wide Web, have created problems and opportunities for records
management. The biggest challenge is that irrespective of problems and opportunities, the
knowledge contained in records must be captured into the organisation’s memory if it is to
be managed and shared to the organisation’s competitive advantage (Beastall, 1998:89).
Solutions to these problems will make it possible for records managers to overcome
challenges. In support of the above scholar, De Wet and Du Toit (2000:85) indicates that
the challenges of implementing an electronic records management system in an
organisation are not unique. Making sense of what is going on and what to do to keep
ahead of the pace of change is a constant worry to managers (Beastall, 1998:89). Below
are some of the challenges resulting from the emergence of technology in the records
management industry:
Security
Although the electronic records management system was introduced for easy retrieval,
there is still a need to manage access. There is always a need to protect some sensitive
records from unauthorized access (National Archives of South Africa, 2000:41). The
above statement is fully supported by the latest risks exposed in connection with Internet
banking with South African banks. Cyber-criminals entered into different accounts
electronically and tampered with accountholders’ funds. This proves that electronic
records are not safe enough.
Apart from cyber-criminals, viruses have emerged as another serious challenge placing
electronic records at risk at all times. Organizations may lose all their records if the virus
strikes the hardware in use. One electronic record sent with the virus may affect other
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records of the entire organisation. For organisations relying on electronic mail as their
quickest method of communication, viruses remain their biggest enemy.
According to Johare (2001:100), the developments in records management from manual
to electronic, posed the most serious challenges to both records managers and archivists:
• The use of media which are unstable or unproven for long-term storage.
• The risk of losing critical records owing to the use of software facilities or poor
backup practices.
• The risk of alteration, thus compromising the integrity of electronic records as
evidence, technological change in hardware and software environments.
• The fact that electronic information systems are generally not designed to keep
records.
4.4.1 Coping with Challenges
According to Raas (1999:120), any electronic recordkeeping system can only remain
competitive if it applies the latest technology and programming methods to the
management of paper and electronic records. In reaction to this challenge, records
managers must therefore work exceptionally hard to catch up with what is taking place in
the world of information handling (Menkus, 1996). They ought to move at the same pace
as technological advancements. Once they lag behind, they create problems for
themselves. Records management practitioners should be aware of the nature and
implications of these challenges and be prepared for them (Spratt, 2000:1).
Security
In trying to fight against unauthorized access, a security system should be established.
The user can assign security levels to each document to enable only users with the right
clearance to access the records (National Archives of South Africa, 2000:41). Virus
scanners and backup systems need to be conducted regularly. End-users should also be
made aware of any possible viruses revolving around the world.
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To keep electronic records for a much longer period requires an active records migration
program. The data must be copied to new media before the old ones degenerate (Spratt,
2000:11).
4.5 POSITIONING RECORDS MANAGEMENT WITHIN THE INFORMATION MANAGEMENT INDUSTRY
Many years ago, it made sense organisationally to position the records management
function in the administrative services unit of an organisation. It made sense because
records management back then had little to do with technology. Today, however, with the
growth of records management technologies, this organisational arrangement is shifting.
Records managers are expected to involve themselves actively in information technology
forums. Organizations are also beginning to understand this transition and repositioning
the records management function as a branch of the Information System Department
(Spratt, 2000:11).
The recognition of information as a key business resource or asset provides opportunities
for records management to position itself at the heart of an organisation’s operation.
Information technology is a threat because it pervades and dominates information creation
and access (Hare, 1998:113). For records management to cope with the above threats, it
also needs to position itself within the information management industry at the same level
as IT. The two should both emerge as key enablers to gain access to information. While
technology needs records to deliver information, records management also needs
technology to deliver records in a shorter period of time. It is therefore safe to say the two
needs each other.
Having realized the challenges posed by IT, it is advisable for records managers to
enhance a tight relationship with their counterparts in the field of IT. The major issue at
hand is for records management to identify its role within the entire information
management process (Arden, 1998:10). Information technology has already declared its
role as ensuring easy access to records in a less costly manner.
The introduction of electronic records also had a major impact on the way records
management is viewed. The link between records management and IT has not been
addressed clearly yet. In the past, records management was not technology-driven.
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Today, however, organisations position the records management function within the IT
division (Mnjama, 2003:7).
The pressure of technological change in organisation, eventually forced the records
management section to consider repositioning itself within the electronic organisation’s
infrastructure (Johare, 2001:101). The strategic role of records management in an
organisation also improved as IT started to share functional goals with records
management. The following section therefore aims at addressing the strategic role of
records management in an organisation.
4.6 STRATEGIC ROLE OF RECORDS MANAGEMENT IN AN ORGANISATION: TECHNOLOGICAL PERSPECTIVE
Records management has long been seen as the graveyard of information i.e. a place to
store documents and records that have passed their sell by date. New technology has
changed the picture. The corporate record becomes the corporate memory, capable of
informing and influencing everything that is done. Records need to be recognised as a
vital and reusable asset, a source of content, context and knowledge, hence knowledge
management, information management and information technology (Sutcliffe, 2003:53).
Corporate memory is about how organisations learn from what they have done before,
how they avoid re-inventing wheels, and how they build upon best practices. It is quite
simply concerned with how organisations organize their most vital asset, which is
information, and how they harness the skills and expertise of their most vital resource,
which is their people (Sutcliffe, 2003:52).
There has been a great deal of concern about the appropriate role and scope of the
records management function in government and business organisations. For many years
records management was equated with paperwork and paper management. As such, the
records management function was considered a necessary evil that was conducted in the
background of organisational life. However, the role of records management in an
organisation has been significantly influenced and shaped by innovations in computer and
telecommunications technologies (Spratt, 2000:1).
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The service provided by records management is vital to any organisation and to every
information-using employee in it. Its primary function is to facilitate free flow of records in
an organisation, thereby ensuring that information is available rapidly where and when it is
needed (De Wet and Du Toit, 2000:75).
It is important that organisations integrate records management more effectively with other
information management functions in an organisation so that records management
becomes a strategic management function to reach a competitive advantage (De Wet and
Du Toit, 2000:74). Given the pace at which records are being produced and disseminated
electronically, there should be linked interoperability between the records management
function and IT function as a key enabler. Information technology in this regard is viewed
as a tool that enables records management to fulfil functions such as easy access,
dissemination and cost reduction.
In order to fulfil their strategic role within an organisation, records managers need to be
aware of the organisation’s objectives, associated legal and regulatory requirements, daily
business practices and generation or use of information (De Wet and Du Toit, 2000:85).
Furthermore, Sutcliffe (2003:53), emphasized that the records management strategy
needs to be closely aligned and interwoven with strategies for content management,
knowledge management and Web publishing.
Good records management systems are essential to support financial management and
accountability. Records management therefore ensures an organisation’s ability to
function effectively and to provide evidence for accountability and transparency (Palmer,
2000:61).
Corruption has become a significant driver in the demand for accountability in
organisations. There is a direct relationship between internal regulation and the more
complete and accurate recording of decisions and actions. Records provide evidence of
compliance with regulations; records management rules provide the guarantees that the
evidence is captured in a system and is readily available (Palmer, 2000:61).
When corruption occurs, records should provide the evidence needed for successful
prosecution of the wrongdoers. Good records management has a deterrent effect, which
is a preventative, cost-effective alternative to prosecution. The existence of records
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management assists organisations in exposing corruption and fraud when those occur in
an organisation (Palmer, 2000:69).
4.7 END-USER BEHAVIOUR FROM AN ELECTRONIC RECORDS MANAGEMENT PERSPECTIVE
According to Siatri (1998:2), there are two types of user behaviour studies:
• System oriented approach
• User oriented approach
The system-oriented approach view users as passive recipients of information and the
focus are also on their external behaviour. It gives an overall picture of their information-
needs and information-seeking behaviour. Little focus is placed on the factors triggering
their information. The user oriented approach views users as active and self-controlling
recipients of information. The focus is also placed on the internal cognition of users.
A theory of usability techniques deals with the use of computers and new technologies in
conjunction with information-seeking behaviour. It focuses on the use of a system, but
from the user’s point of view. It has taken users’ needs as a guiding tool to create an
environment that is friendly, effective and easy for a user to handle (Siatri, 1998:2).
Records need to be indexed thoroughly and users need to be trained in effective retrieval.
Siatri (1998:2) further suggests that the system should allow sufficient customisation of the
indexing structure to enhance effective retrieval. The simpler the retrieval system, the less
the training required and the more acceptable it is to the users, i.e. keep the system clear
and simple with as few clicks as possible. Furthermore, the system should at least enable
cross-field searching and Boolean searching is fast becoming standard (Vander Noot,
1998:25).
To alleviate information illiteracy and encourage end-users to read the records at their
disposal, it remains important for records management staff to offer training on the records
management system in use (De Wet and Du Toit, 2000:84).
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The rapid rise of the Internet and company Intranets has created a particular demand
among businesses to put a far greater proportion of their business documents online,
either for external or internal use. This has given rise to a new trend in records and
document management systems, i.e. Web-based records and document management. A
Web application integrated with an organisation’s records and document management
system enables end-users to search, track and request corporate records and documents
at any time of the day or night and from any location through the Web-enabled desktop
computer (Spratt, 2000:10). Integrating records management with portal technology
allows end-users to search seamlessly not only the wider Web environment and corporate
database, but also corporate records (Sutcliffe, 2003:52).
4.8 CONCLUSION
Records management is closely becoming an IT function and not an administrative
function. Technological progress and the unsettling changes it produces will require
significant attention to records management education. Information technology skills are
therefore of the utmost importance to the end-users in order to guarantee their positive
reaction to records. Lack of IT skills would affect end-users’ access to records in general
negatively. Apart from IT skills, organisations should also ensure that employees are
equipped with relevant IT equipment.
Keeping up with technological advancement in records management is of critical
importance in dealing with electronic records management. When preparing to store
records, it is important to ensure that the format of the document is one that will last for its
entire useful life (Gross, 2002:2).
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CHAPTER FIVE OVERVIEW OF RECORDS MANAGEMENT PRACTICE AT
SOUTH AFRICAN NATIONAL PARKS
5.1 INTRODUCTION
SANParks is the governing body of all national parks in South Africa. According to Hall-
Martin and Carruthers (2003:25), SANParks was established under the National Parks Act
(No. 56 of 1926). As a result of this act, the Kruger National Park (KNP) was established
in 1926. Its current size is 1 962 362 hectares. The Act furthermore made provision for the
establishment of other national parks and inaugurated a central para-status management
structure under a board of trustees. Neither this Act nor its successor, the National Parks
Act (No. 57 of 1976), actually defined a South African national park as a system of
national parks representing indigenous fauna, flora, and the landscapes and associated
cultural heritage of the country.
SANParks is managed by a CEO reporting to the National Parks Board, which in turn
reports to the national Minister of the Environment and Tourism. The KNP is managed by
the Executive Director, reporting directly to the CEO. Another 19 national parks are each
managed by park managers reporting to the Executive Director: Parks, who in turn reports
to the CEO. Figure 5.1 below outlines the entire structure of SANParks.
The vision of SANParks is to be the pride and joy of all South Africans. The mission is to
acquire and manage a system of national parks that represents the indigenous wildlife,
vegetation, landscapes and associated cultural assets of South Africa, for the joy and
benefit of the nation and all the peoples of the world. SANParks therefore aims at
maintaining biodiversity in its all natural facets and fluxes, and thus preserving as far as
possible the wilderness experience.
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Revision date 09/09/04
Exec DirCorporateServices
Exec DirConservation
Services
Exec Dir Tourism
Dev/Tourism
Exec DirKNP
Exec DirParks
HeadHuman
Resources
Exec DirPeople &
Conservation
HeadCorporateComms
COO Executive ManCE’s office
PA
BoardSecretary Audit
CE
SANParksBoard
Minister
AdminProcurement& BEEFinance Legal
SANParksOrganogram
Figure 5.1: Organizational structure of SANParks
Like any other organisation, SANParks is also faced with the problem of information
overload, hence its geographic setup and the introduction of IT. Electronic mail (E-mail)
and other modern communication devices are commonly used by members of staff to
disseminate information. Central to the entire communication process are records, which
need to be managed for future reference. Lack of a proper records management system
therefore remains a matter of serious concern without which management of SANParks
cannot be successful.
Since the value of information in its normal operations was realized and recognised,
several decisions on good records management practice were taken. This chapter
therefore intends addressing the following in relation to SANParks:
• Nature of SANParks business.
• Status of records management practice at SANParks.
• Driving forces for records management practice at SANParks.
• Challenges experienced by SANParks in records management practice.
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5.2 NATURE OF SANPARKS BUSINESS
Although there are other supportive functions, SANParks is currently committed to three
major objectives i.e. tourism, nature conservation as well as people and conservation. The
three objectives supplement one another. Without conservation, there is no point for
tourists to visit parks. Tourists visit parks for leisure and to learn more about conservation.
At the same time, without tourism, conservation may not sustain itself. More than 50
percent of SANParks’s conservation functions are funded from tourism. Neighbouring
communities’s understanding to conservation is central to long-term survival of nature
conservation. People need to be taught about the consequences of poaching and
interruption of eco-system.
Tourists from all over the world visit various parks scattered throughout South Africa either
for leisure or research. Tourism therefore exists as a function through which SANParks
sustains itself. As far as tourism is concerned, funds are collected from the various gates
where tourists enter the parks and existing accommodation. Members of staff at the gates
and reception therefore deal with a crucial function by ensuring that the money collected
from tourists remains balanced. Management therefore relies heavily on records
submitted to it by the end of the day. Some of those records are balance sheets, receipts,
attendance register etc. It is only through those records that management can identify
culprits involved with misappropriation of funds.
Conservation exists as a function through which SANParks commits itself to tourists
interested in visiting the parks. It aims at ensuring that nature exists at its best. Therefore
Rangers, whose task is to protect species against poaching, dominate this function.
Rangers compile diaries with information collected in the field. Ranger’s diaries are
submitted to the park manager on a monthly basis through the regional rangers. Such
diaries report briefly on the findings of the rangers while on duty, such as footsteps of
poachers, bones of dead animals, holes in the fence, sick animals etc. Although it is not
the specific function of conservation, animals are often sold for the park to sustain itself.
Rangers’ reports therefore exist as a record on which scientists and park management
can rely to take decisions. For example, in the case of a sick animal, the veterinary
services section will be consulted to check on that animal in order to cure it or avoid the
disease from spreading all over the park. They will also compile a report of their findings.
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With respect to sales of animals, records are produced for accountability purposes i.e.
reports on number of animals sold, invoices etc.
The People and Conservation section is committed to creating and maintaining a strong
relationship between the park and the surrounding community. Consultations through
community forums are conducted regularly to attend to problems created by animals for
the community or vice versa. Educational programmes are also conducted to educate the
community about the value of nature conservation in society. More records, such as
minutes of the forums, letters of complain and reports on surveys are created and
received through the People and Conservation function. Currently, the most valuable
historical record between the park and the community is on land claims in South Africa.
Lack of evidence might lead to either one of the two parties losing their case. Records are
therefore the only authentic and trusted source of evidence in this regard. A claim without
evidence is likely to be rejected.
After an exploration of the two major functions through which crucial records are produced
at SANParks, the section below intends to outline the current status of records
management practice at SANParks.
5.3 STATUS OF RECORDS MANAGEMENT PRACTICE AT SANPARKS
Records management at SANParks started to receive Executive Management’s attention
in 2001 after the establishment of the Knowledge Resource Division, based in KNP with
three professionally qualified staff members. Although the identified members of staff are
not fully qualified in records management, the division made SANParks’ management
aware of the legal requirements and the strategic role of records management in ensuring
competitive survival of an organisation.
At the time of conducting this project, different filing systems existed throughout
SANParks. Each park or department developed and applied its own filing system to
manage its records. For example, in KNP alone, more than one filing system, depending
on a number of departments, exist. These filing systems have not been approved by
NARS as required by the Act (No. 43 of 1996 as amended). Attempts were made by the
Nature Conservation department in KNP to develop a filing system accommodating all
other departments creating records relevant to nature conservation’s business (refer to
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Appendix B). Like the existing nature conservation filing system in KNP, Head Office
(Groenkloof: Pretoria) and Cape Town also attempted to develop filing system applicable
to their daily activities.
Both active and semi-active records are kept in different offices under the supervision of
secretaries. It is therefore up to the secretary to introduce her/ his own filing system to
make life easier when looking for particular records. Inactive records are deposited in the
central archives existing in KNP and Head office. KNP’s central archive is responsible for
all inactive records received or created in KNP. Head Office’s central archive is
responsible for all records received or created by other parks and as well as those from
Head Office itself.
With reference to Human Resources, at the time of conducting this project, there was no
appointed qualified archivist or records manager. The identified three information
professionals are qualified in Library and Information Science, not necessarily records
management. They don’t have the authority to dispose of records at the end of their life
cycle. Records are therefore either destroyed illegally or kept as long as possible.
The following section intends to highlight the motives behind records management
practice at SANParks.
5.4 DRIVING FORCES FOR RECORDS MANAGEMENT PRACTICE AT SANParks
Records management has long been seen by management and members of staff as the
graveyard of information i.e. a place to store documents and records no longer needed by
the organisation. Vital information might be stored in that building but it is difficult to locate
if no approved records management system such as filing system, or only poor one,
exists. Members of staff and management only realize the value of records management
when they look for documents central to their decision-making process. They have started
to realize that corporate records are the corporate memory of the organisation, capable of
informing and influencing management decisions (Sutcliffe, 2003:53). Like any other
assets, these need to be managed properly and to be easily retrievable.
Information drives the business. It enables the organisation to evaluate its performance
and improve its services. Organizations such as SANParks are therefore in desperate
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need of information to carry out their business activities and to document actions and
decisions (Pardo, 2000:1). Records therefore exist as the tools through which information
is disseminated from one level of operation to the other. As communication is taking place
throughout SANParks, records are produced as evidence of the communication process.
Their management in terms of movement is a matter of serious concern for SANParks.
Once lost, all the evidence is gone.
Furthermore, records management exists to ensure that employees receive the required
information at the right time (Northwest Territories, 2002:1). A relevant records
management system should therefore be introduced to make records easily retrievable
when required. The most common system currently used in SANParks is Intranet, Internet
and e-mail facilities. Such systems ensure that all employees of the organisation
simultaneously read the same record. Electronic records save organisations time and
postal costs.
Like any other organisation, SANParks introduced the records management function in
order to deal with the following corporate challenges:
• Accountability
• Legal compliance
• Cost reduction
• Retention of corporate memory
Accountability
Like any other pubic asset, SANParks is legally required to account to the government,
members of public and donors for its actions. Records management was therefore
introduced to arrive at the following:
• Ensuring that evidence of past actions are captured for future reference e.g.
auditing.
• Reduction of corruption in the organisation.
• Helping to protect the right of the public, thus keeping the organisation accountable
for its actions.
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For accountability purposes, SANParks is legally required to submit the following to the
government annually:
• Annual report
• Business/strategic plan
• Financial results/statement such as auditor’s report
• Policies and manuals such as the Promotion of Access to Information Act Manual
(Act 2 of 2000) (see Appendix C)
Given the above obligations, SANParks should be able to account for any criticism, for
example of financial irregularities (corruption) coming from the government, donors and
members of the public after scrutinizing the documents supplied to them.
Legal compliance
As a statutory body, SANParks was legally obliged to provide for proper management and
care of documents. It is obliged to ensure, in cooperation with for example the NARS, that
the records produced or received are preserved as official government records. The
legislation as summarized in chapter two, sub-section 2.2.1 of this study includes, among
others, the following:
• Constitution of South Africa, Section 195
• National Archives and Records Services Act (no. 43 of 1996 as amended)
• Promotion of Access to Information Act (no. 2 of 2000)
• Promotion of Administrative Justice Act (no. 3 of 2000)
• Electronic Communications and Transaction Act (no. 25 of 2002)
• Public Finance Management Act (no.1 of 1999)
Furthermore, records management is introduced by SANParks with the aim of protecting
itself against lawsuits. For example, a dismissed employee may challenge the decision to
dismiss him/her as unfair. It is only through relevant records, such as minutes of
disciplinary proceedings, that an organisation can convince the court that the employee
was fairly dismissed. Failure to do so would result in re-instatement of the employee with
full costs.
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Cost reduction
SANParks believes that records management reduces costs in an organisation in the
following manner:
• Reducing duplication of records.
• Improving retrieval times.
• Providing more cost-effective record storage options.
• Streamlining records disposal.
Retention of corporate memory
Records management contributes strongly to preservation of the history of the
organisation. Concrete decisions based on the historical performance of the organisation
are therefore easily taken.
Adequate records management is essential for the provision of access to information.
Records must be easy to retrieve, read and reproduce. Furthermore, it enables the
organisation to make good decisions, deliver quality services and provide important
evidence of its business.
In attempting to introduce records management in SANParks, the following approach was
taken:
• Consulted National Archives of South Africa.
• Conducted comparative study with other organisations.
• Established Records Management Task Group.
• Compiled and submitted proposals to Executive Directorate.
• Appointed records management consultants.
The driving forces for SANParks to consider introducing records management have been
outlined. The following section aims at introducing some challenges experienced by
SANParks while trying to implement records management.
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5.5 CHALLENGES EXPERIENCED BY SANParks IN INTRODUCING RECORDS MANAGEMENT
In its endeavor to introduce records management, SANParks is faced with several
challenges. Among others, IT and legislation are the most challenging barriers. Once
these are crossed, SANParks will enter a successful records management era.
Information Technology
The biggest challenge to records management in SANParks was the introduction of IT in
communication devices. More records than ever before are either produced or received
electronically every minute throughout the organisation. The problem at hand is a lack of
an Electronic Documents and Records Management System (EDRMS). The organisation
is therefore operating at the risk of losing records produced or received electronically.
Legislations
As a governmental body, SANParks is legally challenged with compliance to any relevant
stipulated legislation as mentioned in section 5.4 of this chapter. Some of the most
important facts about the identified legislation is that SANParks, as a statutory body,
should appoint a records manager who is directly charged with the responsibility of
developing an approved filing system. As for access to information, an information officer
needs to be appointed to ensure that the Promotion of Access to Information Act (PAIA)
manual is compiled and submitted to the South African Human Rights Commission. Such
a manual needs to be reviewed annually. Refer to appendix C for the SANParks PAIA
manual.
Unless SANParks finds a strategy for overcoming the above two challenges, records
management will remain a dream, without which the right to information access would
never be realized. Once records are properly managed, they are easy to retrieve in case
of a request for information.
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5.6 CONCLUSION
In order to enable SANParks to introduce a better records management system
throughout the entire organisation, a survey based on end-user behaviour as well as the
strategic role of records management in SANParks will be conducted.
Given the status quo of records management at SANParks, the following chapter will
focus on the results of the survey with the aim of identifying the problem with regard to
proper records management and interaction of users with records at their disposal.
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CHAPTER SIX RESEARCH METHODOLOGY
6.1 INTRODUCTION An attempt was made in the previous chapter to outline the existing organisational
structure and significance of the records management function at SANParks. The purpose
of this chapter is to discuss the research methodology followed to investigate the following
with regards to records management at SANParks:
Current position of the records management function at SANParks
The manner in which records as information sources are used by SANParks
employees
The possible strategic role of records management at SANParks
The investigation involves the use of questionnaires in an empirical survey of SANParks
employees’ views and experience concerning the main research question of this study,
namely: How can information user behaviour and records management contribute to an
organisation’s competitive performance? The research approach that was followed in
developing and administering the research survey and the method towards collecting and
analysing the research data are subsequently discussed.
6.2 RESEARCH APPROACH According to Bless and Higson-Smith (1995:63), a research design has two meanings i.e.
it can be understood as the planning of any scientific research from the first to the last
step. In this sense, it is a programme to guide the researcher in collecting, analyzing and
interpreting observed facts. Very often this process is described as a research
management or planning. A second and more specific definition of a research design
relates directly towards testing of the hypothesis. The selection of the research process
and methodology is therefore determined by the researcher’s choice between a
quantitative and qualitative, or both methods combined (De Vos, Schurink and Strydom,
1998:15).
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Research methodology is dictated by the nature of the data and the research problem
(Babbie, Halley & Zaino, 2003:16; Mouton, 2001:48). For example, qualitative methods
are suitable for the collection of verbal data and the collection of numerical data requires
quantitative methods. The research method applied to this study generally follows a
qualitative approach. However, quantitative methods are applied as part of the qualitative
research approach. A survey of scientific and technical literature relevant to records
management in an organisation, the impact of organisational structures on the life-cycle of
records and the impact of information technology on records management has served as
a basis for discussion in the preceding chapters.
In the following chapter the research will advance to the use of a survey as part of the
empirical qualitative research of this study, which is typical to research in the social
sciences research sphere. According to Mouton (2001:144-147), empirical research is
research derived from or relating to experimentation and observation, rather than theory.
Also, it is research in which the researcher does not gather data in order to prove or
disprove something, but rather to explore and observe. For the purpose of this study an
empirical qualitative research approach is used to obtain detailed and comprehensive
information about the research questions that were stated in Chapter 1 section 1.3.
6.3 CHOICE OF METHODOLOGY
The nature of the research being undertaken was instrumental in determining the
methodology applied. Since the purpose of the study was to determine the role of records
management to the competitive advantage of an organisation, it is proposed that survey
research be used in this study.
Surveys are perceived to be excellent vehicles for measuring attitudes in a large
population. They are mainly used in studies that have individual people as unit of analysis.
Furthermore, surveys include the use of a questionnaire, an instrument specifically
designed to elicit information that will be useful for analysis (Babbie, 2003:251-255).
The approach followed in this study entails a qualitative method, e.g. a questionnaire
survey and a quantitative method, e.g. statistical data analysis of questionnaire results.
The main survey methodology consisted of questionnaires which were distributed to a
sample group.
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The research has been undertaken in two stages comprising of a literature review
(Chapters one to five) and a questionnaire survey. The initial stage involved an extensive
research of literature on the application of records management in organisations. The next
stage involved the collection and evaluation of empirical data to explore the current
position of records management at SANParks.
According to Luck et al (1989:112-115), there are three types of media for communicating
with respondents i.e. personal, telephone and mail. Three approaches can be used to
collect information.
6.3.1 Personal
In the personal medium, the interviewer is in the presence of, face-to-face with the
respondent. The main advantages of personal interviewing are (Luck et al, 1989:113):
By physically being there, the interviewer may persuade the person to supply answers.
Information on the situation may be observed, without asking.
Versatility of questioning methods and use of visual materials.
Long questionnaires may be used successfully under interviewers’ urging.
If the respondent is having trouble understanding, the interviewer may notice and
remedy this.
Selection of sample members can be more precise.
The disadvantages of personal interviewing are (Luck et al, 1989:113):
Travel time and expense to find respondents is often excessive.
Interviewer’s presence, mannerisms, and inflections may bias response.
Respondents know that they can be identified, which may inhibit their willingness to
give information.
Staffing with capable interviewers, especially when conducted in distant places.
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6.3.2 Telephone
Telephone is the most convenient means of reaching survey respondents. Drawbacks of
the telephone medium relate particularly to the lack of anything visual. The respondent
must be able to understand the purpose, questions, and forms of answers desired wholly
by listening. The interviewer must be able to establish rapport with the unseen person at
the other end and to sense any serious problems in the situation without seeing it.
Advantages of telephonic interviews are (Luck et al, 1989:114):
Avoid personal travel to place of interview.
Rapid coverage of even widely scattered sample.
Distance is no obstacle or serious cost.
By interviewing from one central point, supervision and training can be excellent.
Disadvantages are (Luck et al, 1989:114):
Inability to observe a respondent and her (his) communication problems.
Difficulty of retaining attention for long interviews; no way to prevent hanging up the
phone.
Respondent cannot see interviewer, so may be suspicious or hostile.
6.3.3 Mail
The advantages of sending questionnaires by mail are (Luck et al, 1989:115):
Respondent reads and answers questions without being influenced by interviewer.
Respondent may respond whenever convenient and without any pressures.
Any visual materials can be used.
Cost is confined by mailing lists, forms and postage.
More confidential information may be divulged.
The disadvantage of mail questionnaires are (Luck et al, 1989:115):
A low response rate.
Weeks and longer may pass before the bulk of responses are received.
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No one present to stimulate replies or offer instructions.
A person may read the entire form before answering any questions, so later questions
can influence answers to earlier ones.
6.3.4 Survey method applied in this study
Because of the depth and complexity of questioning possible and the freedom from bias of
interviewer’s effects, it was decided to use mail questionnaires to collect data on records
management at SANParks. According to Babbie (2003:253), a questionnaire is a survey
instrument or document containing questions and other types of items designed to solicit
information appropriate for analysis, and is completed personally by the respondent. This
is known as a self-administered survey instrument.
Approval was obtained from top management of SANParks to conduct the survey. The
questionnaire was self-constructed with advice and input from the Statistical Consultation
Services (Statcon) at the University of Johannesburg with respect to the construction
validity of the instrument. In the construction of the questionnaire a number of issues had
to be taken into account, inter alia, the amount of participant’s time in an industry where
production and performance are important and where employees are usually pressured
for time and the geographic setup of SANParks (accessibility). The questionnaire
contained 40 questions (see Appendix A) which for the sake of easy reporting, were later
during data analysis and interpretation grouped by the researcher into sections covering
the following aspects relevant to the study: participants’ profile, communication system
(organisational structure), management of records (electronic and manual), retention
schedule and record disposal. Each of these sections consisted of sub-sets of questions.
The questionnaire had one open-ended question and 39 closed or multiple-choice
questions that required respondents to choose from already listed possible answers.
Questions were generally constructed with either fixed alternative items, e.g. the
participant has to respond by indicating [Yes] or [No]; or a Likert scale in terms of items to
characterise its features and performance, e.g. a score of [1] was considered ‘never’, [2]
was’ less than once a month’, [3] was ‘monthly’, [4] was ‘weekly’, and [5] was ‘daily’, for
each sub-set item. The letter of introduction included an explanation of the purpose of the
study.
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The questionnaire was pre-tested with eight employees of SANParks representing all
levels of the organisation (two employees each representing Operational staff; Lower/Line
management; Middle management and Top management). Based on the pre-test validity,
it was concluded that the questionnaire should not take more than 15 minutes to
complete. Confidentiality was also guaranteed, as questionnaires were returned
anonymously. Statcon finally approved the questionnaire in terms of the required
standard.
During this exercise, the researcher was always available in case of problems that need
clarification. Furthermore, the researcher explained the necessary procedures of the
survey clearly to the relevant people and at the same time ensured their commitment to
the exercise (see Appendix A). A period of four weeks was allowed for response to the
questionnaires before analysis was undertaken.
6.4 POPULATION Babbie (2003:112) describes a population for a study as that group (usually of people)
about whom we want to draw conclusions. However, with limited time and money
researchers are unlikely to study the entire body of relevant facts about the whole group of
people under investigation. Therefore, the findings and conclusions in survey research are
based on information gathered from a limited number of people from whom
generalisations can be made about the whole number.
As outlined in Chapter 5 section 5.1 SANParks is constituted of 21 national parks
scattered throughout South Africa with the sole aim of conservation and tourism. The total
number of staff members (both office and non-office bearers) throughout SANParks
amount to 2970. From the 2970 staff members, only 910 are directly working with pen and
paper or computer i.e. office bearers. These 910 employees represent the survey
population of the study.
KNP is the oldest and largest business unit with more than 80% of SANParks human
resources. It is also the main source of income for the entire organisation i.e. 80% of
SANParks revenue comes from KNP.
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Head Office on the other hand is the engine of SANParks in control of its administrative
functions. The daily activities of all smaller national parks except KNP are managed by
park managers who reports to a single director (Director: Parks) based at SANParks head
office. Their administrative functions are therefore controlled from SANParks Head Office.
Almost all their records are kept at head office by the Parks Department. Marakele and
Mapungubwe National Parks were randomly selected in this regard to represent other
smaller parks for this survey, which unlike KNP spend money rather than generating
income. It is important to note that very few staff members directly involved in records
management-related functions work in smaller parks. In most cases, only the park
manager’s office is involved with correspondence or generation of records which are
finally send to Head Office for filing on monthly basis i.e. monthly reporting. The rest of the
staff members are either cleaners of managers.
It should be noted that in order to figure out what the population parameters are, the
researcher needs to make inferences from a subset of the population; that is, statistics
must be generated from a sample of people chosen to represent the entire population.
6.4.1 Research sample
For this study, research participants (sampling population) were randomly selected
through their operational level position in the SANParks organisational structure. This
resulted in 120 participants representing the entire organisational structure i.e. nine
SANParks staff members from top management, 23 staff members from middle
management, 27 staff members from lower or line management, and 61 staff members
from the operational level. Every effort was take to ensure that the sample covered all the
management levels at SANParks in order that the figures would not be biased with regard
to employees from a specific park, though this sample was accordingly stratified. These
measures were taken in order to provide accurate and unbiased information.
As outlined by Fouche (1998:154), in order to increase the speed of obtaining responses,
questionnaires were hand delivered personally by the researcher to the participants at
both Head Office and the other three Parks who completed them at their own time. Hand
made “mail-boxes” were also delivered for return of the questionnaires to protect the
anonymity of respondents.
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6.5 DATA ANALYSIS Once the completed questionnaires were returned, it was necessary for the data to be
extracted and collated in some form of analysis, testing and interpretation. Questionnaires
were submitted to the Statistical Consultation Service (Statcon) at the University of
Johannesburg for analysis and testing.
The data from the questionnaires were processed by Statcon, who used the SPSS
(Statistical Package for Sosial Sciences) software, version 11.0, for the input,
management and statistical analysis of the data that was collected. This was then put into
spreadsheets with statistical graphics for a visual presentation of the results.
6.6 DEFINITIONS AND ABBREVIATIONS In order to avoid ambiguity, the questionnaire that was distributed to SANParks staff
members often referred to the concepts ‘electronically’ and ‘manually’, which were defined
respectively as follows:
Electronically is any communication process via a computer’s software such as e-mail,
Intranet.
Manually is any communication process via print media such as paper.
In this context, the following abbreviations or terminology were used in the questionnaire
and in this chapter:
• PCs Personal Computers
• HOD Head of Department
• KNP Kruger National Park
• SANParks South African National Parks
• IT Information technology
• RAU Rand Afrikaans University
• Statcon Statistical Consultation Service
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6.7 CONCLUSION
In this chapter, the research methodology that was used for the empirical survey of the
research was discussed. In chapter seven the findings of the empirical survey will be
discussed.
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CHAPTER SEVEN RESEARCH RESULTS AND THE FINDINGS
7.1 INTRODUCTION
While chapter five (5) of this study gave a brief overview of SANParks and the status of
the records management function, the previous chapter (6) outlined the research
methodology adopted and applied by this study. In terms of its statutory existence,
SANParks as a government body should be accountable to the public for its actions. The
National Archives and Records Service of South Africa Act (No. 43 of 1996 as amended),
defines a government body as any legislative, executive, judicial or administrative organ of
the state (including a statutory body) at the national level of government. As a government
body, SANParks is in custody of public records. Section 13 (4) of the above act further
states that the National Archivist may from time to time issue directives and instructions,
which may not be inconsistent with the regulations, on the management and care of public
records in the custody of governmental bodies.
The sections below intend focussing on data analysis (results) and hypothesis testing i.e.
statistical relationships of significance among the variables. Summarized and consolidated
results of the empirical study will then be presented as the survey findings of this study.
7.2 SURVEY OF RECORDS MANAGEMENT PRACTICE AND USER BEHAVIOUR AT SANParks
In this section the following items are dealt with: data analysis and summary of the
findings from the survey reflecting the current situation of records management practice at
SANParks and the behaviour of end users. This is an exploratory study, which involved
the whole structure of SANParks, i.e. from top management to operational staff members.
It aimed at revealing a number of issues relating to records management practice at
SANParks and behaviour of end users towards records i.e. IT, filing systems, procedure
manuals, policies, training, access to information sources and level of communication with
management. The whole package will contribute to determining the impact of information
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user behaviour on the competitive performance of SANParks. The section below
discusses the response rate from research participants.
7.2.1 Response Rate and Participants’ Profile
According to Nachmias and Nachmias (1996:226), the response rate is the percentage of
respondents in the sample who returned completed questionnaires. It is of great
significance when making generalizations and conclusions. In this study, the
questionnaires that were hand-delivered to 120 SANParks staff members resulted in a
successful response rate from 104 staff members returning completed questionnaires i.e.
81% response rate. Figures 7.1 and 7.2 below demonstrate the response rate in
percentages with regard to distribution centres and operational levels.
57%
27%
10%
6%
15%
Kruger National Park
Head Office
Marakele National Park
Mapungubwe National Park
Figure 7.1: Distribution centres
17%15%
15%
13%
19%
11%
5%
3%
2%
10%
BL BU CL CU DL DU EL EU FL
Figure 7.2: Post levels
In terms of operational level as reflected in figure 7.2 above, it is important to note that the
existing SANParks pyromanias scale was used to determine the level of the position
occupied. Table 7.1 below interpret different pyromanias scales as reflected in figure 7.2
Table 7.1: Interpretation of SANParks Pyromanias scale
Pyromanias scale Operational level Positions
B-C Operational staff Admin. Clerks, secretaries, officers etc
D Lower/Line management Managers and senior managers
E Middle management General managers and HODs
F Top management Executive directors
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As reflected in figure 7.2, poor response from both middle and top management might be
due to the fact that they are usually occupied in strategic meetings of the organisation and
don’t have time to complete questionnaires.
The average, i.e. mean, age of the participants is 30 years, ranging from 20 to above 40
years. Of the 43% of males and 57% of females who responded, the average, i.e. mean,
in terms of their qualifications is a diploma. Qualifications range from Standard 10 to
postgraduate degrees. As indicated in table 7.2 below, 50.42% of the respondents come
from support staff departments and 49.58% from direct business departments.
Table 7.2: SANParks departments
Support staff depts. Percentage Business depts. Percentage
Finance 16.4% Tourism 25.77%
Administration 11.34% Conservation 10.31%
Human Resources 11.34% People and Conservation 8.25%
Communications/PR 7.22% Scientific services 5.25%
Knowledge Resources 4.12%
Total 50.42% 49.58%
7.3 RESULTS AND DISCUSSION OF THE FINDINGS
This section aims at presenting the results and the findings of the survey with regard to
communication systems, electronic records management, manual records management,
filing systems, filing frequency and procedure manuals, retention schedules and disposal
authority and disaster recovery plans. Internal communication is central to an
organisation’s success, whatever direction it takes with records management. As indicated
by Meyer (1996:16) in chapter 1 section 1.2 of this study, central to the communication
process is information dissemination.
The internal arrangement of the structure of the organisation is therefore of utmost
importance in ensuring a free flow of records with the necessary information from top to
bottom or vice versa. Dissemination of records may take various formats, such as
electronic and manual format. For quicker dissemination, big organisations such as
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SANParks often prefer using technology to distribute records with the necessary
information widely. In most organisations, protocol is always observed i.e. records with
necessary information pass through various levels before reaching all staff members on
ground level.
7.3.1 Communication System
A question about immediate supervisors, i.e. reporting structure, was asked to determine
the existing communication system within the organisational structure at SANParks. At
SANParks, the communication system referred to as a reporting structure by Greenberg
and Baron (1993:588) in Chapter 3 section 3.2 of the study is from top to bottom. As
indicated in Chapter 5 section 5.1 of the study, SANParks’ CEO, who reports to the Board
and the Minister of Environmental Affairs and Tourism, heads the structure with a team of
executive directors (3.9%) reporting to him. Executive directors are in charge of more than
one department through HODs (16.7%) reporting to them. The structure goes down with
line managers (24.5%) reporting to HODs. At the bottom of the structure are operational
staff members (50%) who report to line managers.
Top management should ensure that operational staff members are well informed. Failure
to do this would result in negative behaviour of end-users of information (employees) in
terms of competitive performance of the entire organisation. In order to determine the level
of communication, participants were asked to rate the extent of communication between
SANParks management and members of staff. In this regard, 37% of the respondents
rated the communication level at SANParks as moderate compared to 1% of the
respondents who rated it as absent. Figure 7.3 below demonstrates the full perception of
staff members with regard to communication at SANParks. It can thus be said that the
level of communication at SANParks is satisfactory.
Page 86
Figure 7.3: Level of communication
As indicated in chapter 3 section 3.2 of the study, information transfer within an
organisation relies to a large extent on the structure of the organisation. Some structures
function in such a way that those on ground level (employees) do not have any access to
information. In a bureaucratic organisation, records are normally created from top to
bottom as a way of informing and involving members of staff in the decision-making
process.
In consideration of the revealed level of communication within SANParks, a question on
means of communication contributing most towards better performance was asked. It is
interesting to note from the survey results that the majority of the respondents (91.2%)
rated electronic means of communication as the method contributing most towards better
performance of their departments or divisions.
Figure 7.4: Means of communication contributing most towards better performance
1%
26%
37%
30%
6%
36%
No extent
Limited extent
Moderate extent
Large extent
Very large extent
91%
6%3%3%
Electronic communicationManual communicationOther
Page 87
The above result in Figure 7.4 clearly sends a signal to SANParks management that for
improved performance, members of staff on ground level need network connection. In
trying to find more information about the value of communication means to ensure better
performance, a question on the value of e-mail access to daily jobs was also asked. The
results fully strengthened the above findings, i.e. a large number of the respondents
(88.5%) indicated that access to e-mail is very important to perform their daily jobs. As
clearly indicated by De Wet and Du Toit (2000:79) in section 4.3.1 of chapter 4 of the
study, there are a number of advantages of electronic communication, such as saving of
time, multiple access to the same document at the same time etc.
In view of the value of electronic communication at SANParks, a question aimed at
identifying the level of access to electronic means of communication (e-mail, Intranet and
Internet) was asked. It was encouraging to learn from this study that 90.4% of the
respondents have access to e-mail, followed by 84.6% who have access to the Intranet
(see table 7.6), and lastly 62.5% with access to the Internet. The implication in this regard
is that in SANParks a large volume of records is either received or disseminated
electronically. Since almost everybody except cleaners at SANParks has access to e-mail,
a question which is of interest to this study is on the extent to which SANParks is
managing the behaviour of end-users of information (employees).
7.3.2 Electronic Records Management
In reaction to the question raised earlier on the extent of management of information user
behaviour, control mechanisms to ensure disciplined behaviour are of the utmost
importance. Such measures are normally implemented through applying policies in an
organisation. In this regard, a question on the existence of a policy governing storage and
retention of e-mails was asked. Most of the respondents indicated that a policy governing
e-mail storage and retention does not exist (39%) or they are not sure whether it exists
(39%) (see figure 7.4). Only 22% of the respondents were aware of the existence of an e-
mail policy. It can thus be said that only 22% of the respondents managed their e-mails
according to the SANParks policy.
Page 88
22%
39%
39%
Yes No Not sure
Figure 7.5: Existence of e-mail policy
According to Johare (2001:106), quoted in chapter 4 section 4.2 of this study, lack of
organisational and legal frameworks for electronic records undermine their value in terms
of management (access) and preservation. Furthermore, both the State of Montana
(2002:32) and Hounsome (2001:2), referred to in chapter 2 section 2.5 of this study,
indicate that a lack of records management policies and procedures are the main causes
of poor records management.
Chapter 4 section 4.2 of the study clearly indicated that, in order to manage electronic
records effectively in an increasingly technological environment, record managers will
need to have a basic understanding of several areas of information technology. A question
aimed at establishing the level of computer literacy at SANParks was asked in this regard.
The majority of the respondents (39.8%) rated themselves as good compared to 28% who
rated themselves as poor with regard to computer literacy (see figure 7.5).
Page 89
Figure 7.6: Level of computer literacy
As reflected in Figure 7.5 above, very few respondents rated themselves as poor (5%).
This clearly implies that basic computer literacy at SANParks is up to standard. The only
loophole is lack of a policy encouraging end-users of information (employees) to manage
electronic records. In chapter 4 sub-section 4.2.1 of this study, the National Archives and
Records Service of South Africa Act (Act No. 43 of 1996 as amended) clearly indicated
that like any other record in any medium, electronic mail should be managed according to
basic rules and principles. The management and retention of electronic mail in South
Africa are subject to this act and regulations (National Archives of South Africa, 2000:31).
After establishing that 90.4% of the respondents have access to e-mail and that
SANParks management fails to manage e-mails properly, further attempts were made in
this survey to investigate the manner in which e-mail is managed by end-users
(employees) themselves. Participants were requested to answer various questions on the
management of electronic mail. Table 7.3 shows the response rate with regard to the
management of e-mail by respondents themselves. It clearly demonstrates information
user behaviour with regard to the management of records (e-mail) at their disposal. From
Table 7.3 it appears that irrespective of a lack of policy governing e-mail storage and
retention, a large percentage of respondents (70.2%) prefer to store their documents for
future reference. The only worrying factor is the retention schedule and the filing method
applied. The results in connection with retention schedule and filing method will be
discussed later (see Tables 7.8 and 7.9).
3%2% 15%
39%
28%
13%
Very poor
PoorAverage
Good
Very goodExcellent
Page 90
Table 7.3: Management of e-mails
E-mail management Count Percentage Receiving e-mails 96 92.3 % Sending e-mails 95 91.3 % Forwarding e-mails to colleagues 92 88.5 % Using folders 77 88.5 % Receiving attached documents through e-mails 91 87.5 % Storing of attached documents on a diskette 73 70.2 % Pruning of stored e-mails 62 59.6 %
Having established the fact that 92.3% of the respondents receive e-mail and 91.3% of the
respondents send information through e-mail, a question was asked about the frequency
in which records are received and disseminated in electronic format. The majority of
respondents (75.3%) indicated that they receive information about SANParks
electronically on a daily basis compared to 53.3% of the respondents who disseminate
information about their department electronically on a daily basis. Figures 7.6 and 7.7
show the response rate with regard to the retrieval and dissemination of records
electronically.
76%
10%
7%1% 6%
Daily
Weekly
Monthly
Annually
Never
Figure 7.7: Electronic accessing of records
54%
18%
15%
1%12%
Daily
Weekly
Monthly
Annually
Never
Figure 7.8: Electronic dissemination of records
In support of the above results, two separate questions were asked about the format in
which records about SANParks are received and records about various departments are
disseminated electronically. From the survey results as reflected in Table 7.4, it appeared
Page 91
that reports (77.9%) and circulars (77.9%) are regularly received electronically, unlike
invoices (18.3%). Table 7.4 below shows the entire response rate with regard to the
format in which various records about SANParks are received electronically.
Table 7.4: Records about SANParks received electronically
Type of record Count Percentage
Minutes 78 75%
Reports 81 77.9%
Policies and Manuals 79 76%
Business plans 69 66.3%
Circulars 81 77.9%
Invoices 19 18.3%
Newsletters 60 57.7%
Brochures 24 23.1%
Furthermore, Table 7.5 shows the response rate with regard to the electronic
dissemination of records in various departments. As reflected in Table 7.5, it can be
concluded that electronic tools play a great role in dissemination of minutes (73.1%) and
reports (71.2%) compared to newsletters (49%). As reflected in Table 7.6 under the
headings Communications and General: Occupational Health, Go Wild.com and Body and
Soul are the only two official electronic newsletters available through the Intranet and via
e-mail at SANParks. Other newsletters such as Lesedi from KNP are only disseminated to
end-users via e-mail.
Page 92
Table 7.5: Records about departments disseminated electronically
Type of record Count Percentage
Minutes 76 73.1%
Reports 74 71.2%
Policies and Manuals 64 61.5%
Business plans 64 61.5%
Circulars 63 60.6%
Newsletters 51 49%
The above results in Tables 7.4 and 7.5 fully support the findings in Figures 7.7 and 7.8
that more records at SANParks are generated and received electronically on a daily basis
than records in other formats. Tables 7.4 and 7.5 clearly demonstrate the fact that some
documents, such as minutes and reports, may be received and disseminated as
attachments via e-mail. Alternatively, they are also accessible via the Intranet or Internet
respectively. For example, it is easy and convenient to retrieve policies and manuals
through Intranet. Table 7.6 illustrates the types of information end-users (employees) at
the SANParks can retrieve from SANParks Intranet.
Table 7.6: Copy of SANParks Intranet front page
DIRECTORATE Minutes of the directorate meetings
Policies
Procedures
Authority delegation
National Parks Act and Regulations
SANParks organisational chart
ADMINISTRATION Human resources tariff documents
Telephone lists (addresses, etc)
Directions to Groenkloof
AVIS
BuyIt
Uniforms
Tips on cost savings at Head Office
COMMUNICATIONS Go Wild. Com
Important events/announcements
CONSERVATION SERVICES Item
Page 93
FINANCE Budgets
Financial month end dates for 2003/2004
Great Plains
Management information
SANParks annual financial statements-year
ending 31 March 2003
SANParks annual financial Statements-
year ending 31 March 2002
FINANCE Financial Year End 2002-2003:
Financial year end instructions
Financial year end schedule
FNB corporate bankers takeover
Short term insurance- First Link
Financial period dates- April 2002 to March
2003
Supply chain policy
Framework for supply chain
FINANCE FORMS Corporate credit card expenditure
statement
Request for new suppliers code
Summary of meals slip
S&T tariffs as from 1 April 1996
S&T advance requisition
Claim for abroad travel and subsistence
costs
Petty cash claim
HUMAN RESOURCES Vacancies
Medical aid
Joint retirement fund
PEOPLE AND CONSERVATION The Boabab
TOURISM DEVELOPMENT AND MARKETING Reservations
RoomSeeker
Wild cards
Work rules
Page 94
GENERAL Joint retirement fund
Corporate forms
Virtual library catalogue search
Disaster management plan
Keeping you in the Loop
Occupational health
Body & Soul
Anti-hijacking awareness
PPP provisions
Website re-engineering
Click here for calender of events
West Coast National Park’s Environmental
Information System
INFORMATION TECHNOLOGY AND SERVICES (AST GROUP) Change Control/Management
Request for IT equipment
User application form
Automatic anti-virus update and reporting
Remote access to SANParks network
(RAS) application form
Request for computer software
Request for Internet access
User application for computer software
form
For any IT-related problems, please call
(012) 657-6580 or 0800 6500 00 to log a
call or complete the form on Service Desk
FEEDBACK/SUGGESTIONS The South African National Parks Internet
Web-page can be found at
http://www.sanparks.org
The goal of the above site as reflected in Table 7.6 is to enable employees to find
information electronically easily. It contains information that end users (employees) might
need, which is available electronically.
With reference to the importance of records either received or disseminated electronically
by end users; three separate questions on the physical location, accessibility and
condition of electronic storage areas and equipment were asked. A large number of
respondents (59.6%) indicated that they stored their electronic records at their offices
using their own computers (63.5%), compared to 10.6% who stored them at the
Information Technology Centre (ITC). Table 7.7 below indicates the response rate with
regard to the physical location of electronic records.
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Table 7.7: Physical location of electronic records storage
While dealing with the above results, it should be noted that the IT function at SANParks
has been outsourced to a private company called the AST Group. The company is
charged with the responsibility of looking after the Intranet (Table 7.6); e-mail
management and any other IT-related functions. As reflected in Table 7.7, end-users
prefer to keep their records in their offices and save them either on disks or on their
personal computers. The danger in this regard is the likelihood of losing those valuable
records either through the introduction of new systems or through a virus scam or in case
the PC is broken.
According to section 13 (2) (b) (ii) of the National Archives and Record Service Act of
South Africa (No 43 of 1996), the National Archivist must determine the conditions subject
to which electronic records systems should be managed. Once end users in an
organisation start to make use of different electronic records management systems to
manage their records as witnessed in Table 7.7, it is against the above section of the Act.
The particular organisation would be accountable for the possible loss of public records.
The majority of the respondents (54%) rated the condition of their storage equipment as
average, compared to 7% who rated it as poor (see Figure 7.9), and 56.8% indicated that
their electronic records storage area was easily accessible as compared to 5.3% who
rated it as difficult to access (see Figure 7.8).
Storage location Count Percentage
Centralized archives 16 15.4%
Office 62 59.6%
ITC 11 10.6%
Other physical locations 4 3.8%
Page 96
57%38%
5% Easily accessible
Relatively easilyaccessibleDifficult to access
Figure 7.9: Accessibility of electronic storage
areas
7%
54%
39% Poor
Average
Good
Figure 7.10: Condition of electronic storage
equipment
7.3.3 Manual Records Management
Having discussed the survey results relating to electronic records, it is time to look into the
findings with regard to manual records. As in the case of electronic records,
communication also plays an important role in the creation and dissemination of manual
records. Without communication, records that have been created may become worthless.
As indicated by Meyer (1996:16) in Chapter 1 section 1.2, in the communication process
the action is initiated by the sender and continues to the receiver. It clearly implies that a
record is created with the intention of reaching the receiver.
With Meyer’s statement in mind, two questions similar to those asked with regard to
electronic records management were also asked with regard to manual records i.e. how
frequently do you receive information about SANParks and disseminate information about
your departments manually? From the survey results, it seems as if the rate of manual
communication within the organisation is reducing and thus affecting the creation and
dissemination of records, e.g. most respondents in this survey, as reflected in Figures
7.10 and 7.11 below, indicated that they either receive (46%) or disseminate (37%)
information manually on a monthly basis compared to those who receive (10%) and
disseminate (10%) information about their departments on a daily basis. In comparison
with the survey results on electronic records, while more end users access and
disseminate information electronically daily (see Figures 7.6 and 7.7), most end-users in
this case receive and disseminate information manually either weekly or monthly (see
Figures 7.10 and 7.11).
Page 97
10%
25%
46%
8%
11%
DailyWeeklyMonthlyAnnuallyNever
Figure 7.11: Manual accessing of records
10%
26%
37%
10%
17%Daily
Weekly
Monthly
Annually
Never
Figure 7.12: Manual dissemination of records
The implication of the above results clearly strengthens the argument raised earlier in
section 6.3.2 of this chapter that owing to a large number of respondents in favour of
electronic means of communication, more records at SANParks are generated and
received electronically than manually. Tables 7.8 and 7.9 below, as compared to Tables
7.4 and 7.5, also emphasize the fact that very few end users at SANParks are either
accessing or disseminating valuable organisational records manually in favour of the
alternative format, i.e. electronic access.
In trying to justify the above results, a question aimed at establishing how various records
are received manually was asked. The survey results indicate that the majority of
respondents (84.6%) replied that they received brochures (84.6%) and invoices (83.7%)
manually compared to 25% of the respondents who received reports manually. Table 7.8
below indicates the response rates with regard to records about SANParks received
manually.
Table 7.8: Records about SANParks received manually
Type of record Count Percentage Minutes 26 25% Reports 32 30.8% Policies and Manuals 31 29.8% Business plans 33 31.7% Circulars 24 23.1% Invoices 87 83.7% Newsletters 62 59.6% Brochures 88 84.6%
Page 98
The above results (Table 7.8) should be compared with Table 7.4 indicating that 75% of
the respondents receive minutes and 77.9% receive circulars electronically and a smaller
number of the respondents receive brochures (23.1%) and invoices (18.3%) electronically.
The implication in this regard might be that very few brochures and invoices are available
electronically at SANParks. End-users are therefore left with no option but to read the
manual format of those records. The assumption in this case might therefore be that, once
brochures are available electronically, very few end-users would make use of manual
publications. Electronic commerce (E-commerce) would also drive more end users to
access invoices electronically in the future. For example, Buyit, retrievable through the
Intranet under Administration, is one of SANParks’ E-commerce strategies (see Table
7.6). It is a system through which end-users (employees) can create and receive orders
electronically.
In relation to dissemination, a question was asked to determine which records about
various departments are disseminated manually. The survey results show that 41.3% of
the respondents indicated that they disseminate newsletters manually compared to 24%
who disseminate minutes manually. Table 7.9 below indicates the entire response rate
with regard to manual dissemination of records about various departments. The survey
results as reflected in Table 7.9 should be compared with Table 7.5 indicating that 73.1%
of the respondents disseminate minutes electronically and 49% disseminate newsletters
electronically. According to Table 7.6, Go Wild.com, and Body and Soul are the only
electronic newsletters retrievable via the Intranet. Other electronic newsletters are
disseminated either via e-mail or in print.
Table 7.9: Records about departments disseminated manually
Type of record Count Percentage
Minutes 25 24%
Reports 29 27.9%
Policies and Manuals 32 30.8%
Business plans 35 33.7%
Circulars 30 28.8%
Newsletters 43 41.3%
Page 99
As in the case of electronic records management, three separate questions about the
physical location, accessibility and condition of manual storage areas and equipments
were asked. A large number of respondents (69.2%) indicated that the above records are
stored in their offices using their own filing cabinets (58.7%). Alternatively, 35.6% of the
respondents indicated that they file their manual records in departmental cabinets. The
implication of the above results (storing records in their offices) might be that most of the
records referred to above are either still active or semi-active. It is therefore convenient for
them to access those records at the time they need them. Furthermore, 65% rated the
condition of their manual record storage equipment as average, compared to 17% who
rated it as poor. While 48% rated the storage area for manual records as relatively easily
accessible, 9% rated it as difficult to access. Figures 7.12 and 7.13 below comparatively
demonstrate the condition of manual storage equipment and the ease of access to manual
storage areas.
43%
48%
9%Easily accessible
Relatively easilyaccessible
Diff icult toaccess
Figure 7.13: Accessibility of manual storage areas
17%
65%
18%
PoorAverageGood
Figure 7.14: Condition of manual storage equipment
The above result (Figures 7.12 and 7.13) should be compared with Figures 7.8 and 7.9.
Although there is not a big difference, it is noted that the condition of manual storage
equipment is rated much higher than its electronic counterpart. On the other hand,
electronic records are much more easily accessible than manual records.
7.3.4 Filing Systems and Procedure Manual
Irrespective of the format in which records are received or disseminated, accessibility of
the storage area becomes easier once the filing system applied is made user-friendly. In
this regard, two separate questions were asked to establish if a filing system exists in
Page 100
each department or whether end users have their own filing systems. The survey results
show that 55% of the respondents indicated that their departments have formal filing
systems, compared to 87% who have a personal filing system. Figures 7.14 and 7.15
show the response rate with regard to the existence of departmental and personal filing
systems.
55%28%
17%
Yes
No
Not sure
Figure 7.15: Existence of departmental filing
system
87%
13%
Yes
No
Figure 7.16: Existence of personal filing
system
The implication of the above results might be that most SANParks employees make use of
their own private filing systems to file public records. The practice might either be due to
the existing departmental filing systems not being user-friendly or new entrants not being
introduced to the official departmental filing system. As reflected on the SANParks Intranet
(Table 7.6), there is no system to familiarize new employees with the official filing system
at SANParks.
Furthermore, participants were requested to rate both the manual and electronic filing
systems in their departments. The majority of the respondents rated both their electronic
(46.2%) and manual (43.2%) records filing systems as average. Figures 7.16 and 7.17
indicate the response rate with regard to the rating of the departmental filing systems.
Page 101
10%
16%
46%
28%Very poor
Poor
Average
Good
Figure 7.17: Rating of electronic filing system
6%
25%
44%
25%
Very poor
Poor
Average
Good
Figure 7.18: Rating of manual filing system
Whether filing systems exist or not, training plays an important role in ensuring better
outcomes in terms of performance. Lack of training often results in poor performance
because end-users spend time struggling to apply a system without any idea of its
operation. A question was therefore asked to establish the extent of training in relation to
filing systems. The survey results show that a large number of respondents (86.9%)
indicated that training in manual filing systems was never offered to them compared to
91% who also indicated that they never received training in electronic filing systems.
Figures 7.18 and 7.19 comparatively indicate the extent of training in both electronic and
manual records filing systems.
9%
91%
Yes No
Figure 7.19: Training in electronic records filing
systems
13%
87%
Yes No
Figure 7.20: Training in manual records filing
systems
In considering the above results, the assumption is that training in the filing of internal
business records is not taken seriously at SANParks. The implication might be that end-
Page 102
users were not trained because they are still new i.e. most of the respondents (31%) have
one to two years experience with SANParks. Alternatively, another factor associated with
the lack of training might be that the current filing systems at SANParks had not been
officially approved by the National Archivist as outlined by section 13 (2)(b)(i) of the
National Archives and Records Service of South Africa Act (No. 43 of 1996 as amended).
It might be possible that the organisation is in the process of developing officially approved
filing systems in which all employees will be trained.
Furthermore, a question on the existence of a filing procedure manual was asked to justify
efforts by SANParks to ensure that its records are filed properly. In this regard, most of the
respondents indicated that a filing procedure manual does not exist in their departments.
Figure 7.21 indicates in detail the response rate with regard to the existence of a filing
procedure manual. It is a worrying factor in terms of end-users’ behaviour. Manuals
normally assist end-users in finding their way with ease. In this case, it seems as if end
users would not find their way to file and retrieve the desired records. It therefore clearly
implies that there is no standard filing procedure. That could be dangerous during
performance appraisals. End-users should be evaluated against the set and agreed
standard. If there is no standard, it becomes difficult to evaluate performance.
Furthermore, both State of Montana. Montana Historical Society (2002:5) and Hounsome
(2001:2), quoted in chapter 2 section 2.5 of this study, indicated lack of records
management policies and procedures as the main cause of poor records management.
21%
54%
25%
Yes
No
Not sure
Figure 7.21: Existence of filing procedure manual
Page 103
7.3.5 Filing Methods and Filing Frequency
Irrespective of the condition of the storage equipment, the manner in which records are
filed dictates the user retrieval level. Once records are filed randomly, it becomes difficult
to retrieve them. Such behaviour is costly to the organisation and undermines service
delivery standards. End-users spend more time looking for records. In chapter 2 section
2.4 of this study, Gross (2002:1) indicated that it does not only costs an organisation more
money, e.g. for purchasing additional filing cabinets, file folders and off-site storage, but
also causes loss of efficiency and staff time when records cannot be located and retrieved
quickly as they are needed.
In this survey, participants were asked to indicate the filing method used to file their
records. Although there were respondents who indicated that they filed both electronic and
manual records randomly or did not file them at all, most the respondents indicated that
they filed manual records (52.9%) and electronic records (34.6%) alphabetically by
subject. Table 7.10 below demonstrates in detail the response rate with regard to the filing
methods used by end users (employees) at SANParks to file both their manual and
electronic records:
Table 7.10: Filing methods
Filing method Count Electronic
Percentage Electronic
Count Manual
PercentageManual
Alphabetically by creator 14 13.5 % 9 8.7 %
Alphabetically by subject 36 34.6 % 55 52.9 %
Numerically by date created 16 15.4 % 18 17.3 %
Alpha-numerically by creator/ subject
and date 19 18.3 % 15 14.4 %
Other filing method 2 1 % 3 2.9 %
Randomly 14 13.5 % 5 4.8%
Not filed at all 1 1.9 %
From Table 7.10 above, it is clear that end-users at SANParks are somehow involved in
the filing of records to the benefit of their organisation. Given the method through which
end-users are filing their records, four separate questions aimed at establishing the
Page 104
frequency through which records are filed were asked. Records involved were internal,
external, managerial and private records. In general, a large number of respondents either
always or usually file records they receive irrespective of origin/creator. In support of the
above statement, Table 7.11 below demonstrates the rate in which end-users file internal
and external records.
Table 7.11: Filing frequency for internal and external records
Filing frequency Count Percentage
Internal records Count
Percentage external records
Always 43 47.3 % 50 52.6%
Usually 30 33 % 29 30.5 %
Sometimes 12 13.2 % 13 13.7 %
Seldom 2 2.2 % 1 1.1%
Never 2 2.2 % 2 2.1 %
From Table 7.11 it is clear that end-users of information (employees) at SANParks always
file records. For example, 47.3% of the respondents compared to 2.2% always file their
internal records. Furthermore, 52.6% of the respondents compared to 2.1% always file
external records.
Table 7.12 indicates the response rate with regard to filing frequency for both managerial
and private records. The survey results show that most of the respondents indicated in
this regard that they always file managerial (51%) and private (49.5%) records.
Table 7.12: Filing frequency for managerial and private records
Filing frequency
Count Percentage
Managerial records Count
Percentage Private records
Always 51 51 % 46 49.5 %
Usually 24 24 % 27 29 %
Sometimes 12 12 % 13 14 %
Seldom 4 4 % 4 4.3 %
Never 5 5 % 2 2.2 %
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This means that although employees are not fully trained in using formal departmental
filing systems, a culture of filing exists. The reason may be that employees either prefer
filing for their own personal reasons or for the benefit of the organisation i.e. corporate
memory.
7.3.6 Retention Schedule
After outlining the manner in which records are stored at SANParks, a question aimed at
establishing the period for which various records are kept was asked. In this regard
participants were asked about the retention schedule of the minutes, reports, invoices,
policies and manuals. From the survey result, it can be concluded that 50% of SANParks
employees prefer keeping their records permanently i.e. a large number of respondents
indicated that they keep their records for more than four years compared to those who
keep records for less than a year. In chapter 2 sub-section 2.3.1 of this study, Wamukoya
(2000:25) indicated that valuable records should be kept permanently for future reference.
Table 7.13 below indicates in detail the response rate with regard to the retention period at
SANParks.
Table 7.13: Retention schedule
Record type PercentageLess than
a year
Percentage1 - 2 years
Percentage 2 - 4 years
Percentage More than 4
years
Minutes 18.1% 21.3% 16% 44.7%
Reports 14.7% 18.9% 14.7% 51.6%
Invoices 22.5% 20.2% 18% 39.3%
Policies and Manuals 8.4% 6.3% 8.4% 76.8%
As reflected in Table 7.13 above, the majority of respondents (76.8%) indicated that they
keep policies and manuals for more than four years compared to 39.3% who keep
invoices for more than four years.
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7.3.7 Usage of Records
As demonstrated by Wiggins (2001:1) in Chapter 3 section 3.3 of this study, records are
created with the intention of reaching a particular group of users. For example, in an
organisational setup employees create, use, communicate, revise and manage records as
the source of information. A question aimed at identifying the category of records users
was asked in order to justify the main reason for keeping records at SANParks. Northwest
Territories (2002:1), quoted in Chapter 2 sub-section 2.3.1.1 of this study, mentioned that
organisations create and keep records so that they can keep track of what they have done
and what was decided. Members of staff (72.1%) and management (71.2%) are the most
frequent users of records. From the results reflected in Table 7.14, it appears that internal
staff members and management are the main users of SANParks records.
Table 7.14 shows in detail the response rate in percentage with regard to the consultation
of records kept. From Table 7.14 it can be concluded that records at SANParks are used
for more than one function, as argued by Cowling (2003:2), quoted in section 2.3 of
chapter 2, i.e. decision-making, problem-solving, research, accountability etc. At
SANParks, 44.2% of the records are used for auditing purposes, i.e. records are kept to
convince the auditors with regard to accountability and management of funds. Failure to
produce those records will leave the auditors with one conclusion i.e. mismanagement of
funds for which the organisation in question should be held accountable. This correlates
with Palmer (2000:61), quoted in sub-section 2.3.1.2 of chapter 2, who indicates that a
good records management system is essential in supporting financial management,
accountability and transparency of the organisation. The University of the State of New
York (1994:8), quoted in sub-section 2.3.1.2 of chapter 2, stated that accurate, reliable,
and trustworthy records are the cornerstones to effective programme for auditing and
accountability.
The fact that 24% of the records are used for research purposes implies that researchers
rely on scientific publications rather than raw data to take their decisions, for example,
published articles and books about SANParks business i.e. conservation. Generally, staff
members don’t consider those scientific publications as records. Alternatively, the 24% of
research reflected in these results comprises scientific reports such census reports,
conference reports etc.
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Table 7.14: Categories of records users
Users category Count Percentage
Auditors 46 44.2%
Researchers 25 24%
Management 74 71.2%
Internal staff members 75 72.1%
None 7 6.7%
Other 2 1.9%
After outlining the use of records at SANParks, a question was asked to determine which
records play a major role in reflecting better performance of various departments. Most
respondents indicated that reports (56.7%) and policies and manuals (51.9%) play a major
role in enabling their departments to perform better compared to 19.2% of the
respondents who indicated newsletters as the most important documents enabling their
departments to perform better. Once again, it is interesting to learn that end- users need
policies and manuals to improve their performance versus the findings in this survey that
an e-mail policy does not seem to be in existence at SANParks.
7.3.8 Disposal Authority and Disaster Recovery Plan
Since organisations can experience problems with unauthorized disposal of records, a
question was asked in this regard to determine the behaviour of end-users with regard to
destroying records. Contrary to section 16 (b) of the National Archives and Records
Service Act (Act 43 of 1996 as amended), almost half of the respondents indicated that
they are allowed to destroy both electronic and manual records (see Figures 7.21 and
7.22). Such behaviour by end-users could be disastrous to SANParks. As indicated by the
National Archives of South Africa (2000:27) in chapter 3 section 3.2 of this study, it is
important for organisations to arrange with the National Archives for the transfer of
inactive records before attempting to do so. Such a step would avoid any possible transfer
problems likely to be experienced during the transfer process. A normal practice as
stipulated in the above act is that only a records manager with approval from the National
Archivist may dispose of the records.
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Based on this result and the one relating to filing systems, procedure manuals, training,
filing methods and retention schedules, it is clear that there is no records manager at
SANParks responsible for proper records management. All staff members, especially
those with experience and at senior level, consider themselves as records managers for
their departments. Figures 7.22 and 7.23 below outline in detail the response with regard
to disposal of records at SANParks.
49%51%Yes
No
Figure 7.22: Disposal of electronic records
42%
58%
Yes
No
Figure 7.23: Disposal of manual records
For the purpose of recovery of records in case of a disaster, a question was asked to
determine whether a disaster recovery plan exists in each of SANParks’s departments or
divisions. It is a matter of concern to learn that 85% of the respondents either indicated
that a disaster recovery plan does not exist or that they are not sure about its existence
(see Figure 7.24).
15%
45%
40%
Yes No Not sure
Figure 7.24: Existence of document disaster recovery plan
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As reflected in Figure 7.23, the existing disaster recovery management plan does not
cover document recovery. It seems as if SANParks is more concerned about protecting
fauna and flora than about maintaining records about them. Organizations such as
SANParks should learn that once a record is lost, the same original record will never be
recovered. The value of the record lies with its originality. In that form, it is more trusted
than the duplicated one. Disasters may take the form of arson, flood, virus attacks etc.
Organizations should always try to plan ahead against any possible disaster.
The fact that almost half of SANParks employees feel that they can dispose of or delete
records (see Figures 7.21 and 7.22) and the lack of a disaster recovery plan (see Figure
7.23) once again indirectly imply that there is no authorized official at SANParks looking
after sound records management.
The above results are briefly summarized in the next section. The summary of the findings
and all the results will assist in terms of recommending the best possible records
management strategy for SANParks in the next chapter.
7.4 SUMMARY OF SURVEY FINDINGS
In consideration of the above survey results, the following findings relevant to information
user behaviour for competitive performance were made:
Role of communication in creation and dissemination of records
The communication system within an organisation dictates the format, the speed and the
number of records likely to be generated, received or disseminated. This is supported by
91.2% of the respondents who indicated that electronic means of communication
contribute most to better performance in their departments. Furthermore, 88.5% of the
respondents indicated that access to e-mail is very important to their daily jobs. Such a
large response in favour of electronic communication clearly demonstrates the power of a
communication system in dictating the format/medium through which records should be
received or disseminated.
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Improved communication with end-users automatically improves their information user
behaviour to ensure better performance. End-users need to be kept informed at all times
about the availability of documents affecting them. Management should stop assuming
that end-users (employees) are aware of existing documents. Such behaviour by top
management affects the performance of employees at operational level. For example, in
this survey it appears that respondents are not familiar with the existence of filing systems,
procedure manuals, an e-mail policy and a disaster recovery plan.
SANParks is shifting from manual to electronic records management
Based on the survey results, it has been successfully discovered that SANParks is
gradually moving from manual to electronic records management. This is evidently
supported by the manner in which technology is being utilized to receive and disseminate
information. Almost everybody at SANParks has access to e-mail (90.4%), Intranet
(84.6%) and Internet (62.5%). Table 7.3 further demonstrates the manner in which e-mail
is used to obtain or disseminate information.
The above finding is supported by Tables 7.4 and 7.5 in comparison with Tables 7.8 and
7.9 which clearly indicate that a high number of records are disseminated and retrieved
electronically and not manually. Figures 7.6 and 7.7 in comparison with Figures 7.10 and
7.11 also indicate the volume of information either received or disseminated electronically
and not manually. The large amount of information available through the SANParks
Intranet also strengthens the fact that more records are available electronically (see Table
7.6).
The fact that SANParks is gradually migrating from manual to electronic records
management affects the information user’s behaviour to achieve competitive performance
either positively or negatively. The level of computer literacy reflected in Figure 7.5 is of
crucial importance in ensuring that end-users can access and utilize electronic records
properly. A high level of computer illiteracy in an electronic environment such as
SANParks is disastrous to an organisation’s competitive survival. In this survey, it appears
that a large number of end-users of information at SANParks are computer literate (see
Figure 7.5). The only problem which may result in negative information user behaviour is
lack of control measures over electronic records such as e-mail.
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Most commonly retrieved and disseminated records
As mentioned in the previous section, the study revealed that more information at
SANParks is received and disseminated electronically than manually. In this regard it was
found that reports and circulars are received electronically by more end-users than any
other records (Table 7.4). Furthermore, more minutes and reports are disseminated
electronically by many end-users than any other records (Table 7.5). It was further
discovered that more records are received and disseminated electronically than manually
on a daily basis (Figures 7.6 and 7.7).
Storage of records
Irrespective of the format, more records at SANParks are stored in offices than in any
other storage areas. While end-users prefer using their PCs to store their electronic
records, office cabinets are used to store manual records. Although there is no huge
difference between electronic and manual records with regard to accessibility of storage
areas and the condition of storage equipment, it is noted that the condition of manual
storage equipment is rated much higher than that of its electronic counterpart (Figures
7.12 and 7.13). On the other hand, electronic records are much more easily accessible
than manual records (Figures 7.8 and 7.9).
With regard to information user behaviour to achieve competitive performance, it can be
argued that end-users are likely to perform better since records are readily available in
their offices. They don’t have to travel a distance to access a desired record, i.e. for them
to retrieve a desired record with ease depends on the effectiveness of their filing method.
If records are filed properly, behaviour in terms of searching would be quicker and more
productive. Random filing would be costly to the organisation because it would take end-
users more time than expected to retrieve a particular record.
Lack of sound records management
Based on the survey results, it was discovered that SANParks as an organisation does not
practice sound records management as preached by Section 13 of the National Archives
and Records Service Act (No 43 of 1996 as amended). There is no consistency with
regard to filing methods (Table 7.10). The existence of departmental and personal filing
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systems in one organisation indirectly implies that there is no officially approved filing
system as outlined by the above act (Figures 7.14 and 7.15).
Another factor associated with lack of sound records management is lack of a designated
official responsible for records management. The manner in which records are destroyed
or deleted clearly tells that there is no officially appointed records manager at SANParks
(Figures 7.20 and 7.21). It is further clear that an e-mail policy (Figure 7.4), filing
procedure manual (Figure 7.19) and disaster recovery plan (Figure 7.22) do not exist at
SANParks. End-users are seen managing records on their own (Table 7.3). There is no
policy or guideline to ensure proper management and effective control of records (Figure
7.4).
In considering information user behaviour for competitive performance, SANParks is
gambling with its corporate memory. Lack of sound records management indirectly
encourages end-users to engage illegal practices regarding records at their disposal. For
example, according to Section 16 (b) of the National Archives and Record Service Act (No
43 of 1996 as amended), it is an offence to destroy public records illegally. The only way
to dispose of records is to obtain disposal authority from the National Archivist.
The lack of a filing procedure manual may affect the behaviour of end-users trying to
retrieve organisational records. Such behaviour is costly to the organisation because end-
users spend much of the organisation’s time searching for records without any idea of
their locality. In order to ensure productivity (competitive performance), organisations
should ensure that a formal filing system and filing procedure manuals exist. Corporate
time would then be used effectively.
Furthermore, it was discovered that SANParks could lose all its entire records if a disaster
should strike. Lack of a disaster recovery plan is seen from the perspective of this study
as a weak point and reflects ignorance in management. The researcher therefore
concluded that SANParks does not view records as one of its most valuable resources.
Voluntary management of records by end-users
It was interesting to discover the extent to which end users are willing to manage their
records versus lack of control measures from top management. For example, while almost
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everybody at SANParks except cleaners has access to e-mail, the organisation itself does
not have control over the retention and storage of records received via e-mail. Employees
(end-users) are left with no option but to use their own initiative in retaining and storing
those records (Table 7.6). In this case, the most dangerous behaviour by an end user is to
destroy or delete a record received via e-mail. Lack of guidance from the organisation
encourages unauthorized disposal of records. Nothing stops employees from behaving in
the way they wish. This type of behaviour is unacceptable and very harmful to the
organisation’s survival and performance. It is therefore concluded that end users at
management level are to be blamed for lack of control over electronic records received via
e-mail (Figure 7.4).
Filing of records
There is no consistency with regard to filing systems and methods throughout the
organisation. Various personal and departmental filing systems exist and are used for
filing public records (Figure 7.4 and 7.5). Although a large number of employees file their
records alphabetically by subject, it was found that more than one filing method is used
throughout the organisation (Table 7.10). As reflected in Figure 7.20, a filing procedure
manual does not exist at all. Irrespective of the format, filing systems at SANParks are
rated as average (Figures 7.16 and 7.17). It was found that very few respondents received
training on filing systems currently used in their departments (Figure 7.18 and 7.19).
Lack of training and a filing procedure manual can hamper information user behaviour in
an organisation. If employees do not have a guideline on how to operate and are not
trained in how to use the filing system, productivity cannot be improved. Before any filing
system can be introduced, all those affected must be trained. Lack of training would result
in poor competitive performance in many fields, for example service delivery. Not knowing
how to use a particular system would result in records being filed randomly i.e. scattered
all over and very difficult to retrieve. The delay in this regard would affect the time the
customer has to wait for service.
Even though training and a filing procedure manual do not exist at SANParks, it is
encouraging to discover positive information on user behaviour to ensure competitive
performance, i.e. irrespective of the office of origin, end-users always file records (Table
7.13 and 7.12) and keep them for more than four years (Table 7.13).
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Unauthorized disposal of records
Irrespective of the format, half of SANParks records are destroyed or deleted illegally
(Figure 7.22 and 7.23). According to section 16(b) of the National Archives and Record
Service of South Africa Act (No 43 of 1996 as amended), it is an offence to destroy public
records illegally. The only way to dispose of records is to obtain the National Archivist’s
approval.
Strategic purpose of records at SANParks
Records at SANParks are used for decision-making, problem-solving, accountability
(auditing), and research (Table 7.14) At SANParks, 44.2% of the records are used for
auditing purposes i.e. records are kept to convince the auditors with regard to
accountability and management of funds. A quarter (24%) of SANPark’s records is used
for research purposes. This clearly implies that researchers at SANParks rely not only on
records (raw data) for their function but rather also on other scientific publications to take
their decisions, for example published articles and books about SANPark’s business i.e.
conservation. Generally, they don’t consider scientific publications as records.
The section below focuses on testing the statistical relationships of significance among the
variables emanating from the survey results. It further aims to establish the extent of the
impact of one variable on the other.
7.5 TESTING FOR STATISTICAL RELATIONSHIP OF SIGNIFICANCE AMONG THE VARIABLES
In order to determine the existence of a statistically significant relationship among the
variables, various tests through two scientific tools were conducted, i.e. the Pearson Chi-
square test and the effect size technique. The Pearson Chi-square test was used to
establish the extent of the relationship among the variables, and the effect size technique
was applied to test the effect of one variable on the other.
The Pearson Chi-square is the most common test for the significance of relationship
between categorical variables. The measure is based on the fact that one can compute
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the expected frequencies in a two-way table (i.e. frequencies that one would expect if
there was no relationship between the variables). Table 7.15 demonstrates the manner in
which the Chi-square test results are interpreted and applied.
Table 7.15: Interpretation of P-values
Scale of measurement P>0.05 P<0.05
Implication Statistical relationship of significance exists
No statistical significant relationship
Hypothesis testing Reject the null hypothesis Ho Cannot reject the null hypothesis
The effect size technique is basically a means of quantifying the efficiency of an
intervention, i.e. how well did an experiment work? The effect size allows the researcher
to go beyond the simplistic black and white mindset to the refined gray-shade approach.
Effect size thus aims to answer the following questions: how can a difference be
interpreted and compared reliably when using a new or revised scale? Effect size aims to
estimate the amount of variation a difference explains. Table 6.16 below demonstrates the
manner in which Rosenthal’s rule of thumb is applied to measure the effect of an
independent variable to the dependent variable.
Table 7.16: Rosenthal’s rule of thumb
Scale 0→0.1 0.1→0.3 0.3→0.5 0.5→1
Effect size No effect Small effect Medium effect Large effect
The section below indicates the statistical significance of relationships among the
variables. The above two scientific statistical tools (Chi-square and Effect size) were
employed to test relationships among variables within the following scope: communication
systems, electronic records management, record filing, and usage of records.
7.5.1 Tests Conducted Regarding Communication Systems
Reporting structure in relation to communication level
Null hypothesis Ho: There is no relationship between the organisation’s reporting
structure and the extent of communication.
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Alternative hypothesis Ha: Organization’s reporting structure and communication level
are related
Table 7.17: Response rate with regard to reporting structure in relation to communication
level
Cross-tabulation
Who is your immediate supervisor?
CE/
DirectorHODs
Senior Manager
Manager / Supervisor
Total
Count 3 4 3 16 26 No -
Small
extent % 11.5% 15.4% 11.5% 61.5% 100.0%
Count 8 8 9 9 34 Moderate
extent % 23.5% 23.5% 26.5% 26.5% 100.0%
Count 9 13 5 9 36
To what extent is
SANPark's
management
communicating
with members of
staff? Large -
Very large
extent % 25.0% 36.1% 13.9% 25.0% 100.0%
Count 20 25 17 34 96 Total
Percent 20.8% 26.0% 17.7% 35.4% 100.0%
Table 7.18: Testing the existence of a relationship between reporting structure and
communication level: Chi-square test and effect size
Chi-square test results Effect size results
Chi-square value Df P-value Cramer’s value
13.325 6 0.038 0.263
In considering the statistical relationship, the null hypothesis, Ho, was rejected
(p=0.038<0.05) and it was concluded that the organisation’s reporting structure and the
communication level are related. Cramer’s Value, a measure of effect size showed that
reporting structure has a small effect on communication (Cramer’s V=0.263) (see Table
7.17).
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Extent of communication in relation to e-mail access
Null hypothesis Ho: Access to e-mail is not associated with the extent of
communication within the organisation.
Alternative hypothesis Ha: Access to e-mail is associated with the extent of
communication within the organisation.
Table 7.19: Response rate with regard to extent of communication in relation to e-mail
access
Cross-tabulation
To what extent is SANParks management communicating with members of staff?
No - limited extent
Moderate extent
Large - very large extent
Total
Count 23 33 37 93 Yes
% 24.7% 35.5% 39.8% 100.0%
Count 5 5 0 10 Access to – Email
No % 50.0% 50.0% .0% 100.0%
Count 28 38 37 103 Total
% 27.2% 36.9% 35.9% 100.0%
Table 7.20: Testing the existence of a relationship between e-mail access and the extent
of communication: Chi-square test and effect size
Chi-square test results Effect size results
Chi-square value Df P-value Cramer’s value
6.615 2 0.037 0.253
The null hypothesis, Ho, of no statistical relationship was rejected (p=0.037<0.05) and it
was concluded that access to e-mail is associated with the extent of communication within
the organisation. The effect size of 0.253 indicates that access to e-mail has a small effect
on communication. In particular 39.8% of respondents who have access to e-mail believe
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that there is a large to very large level of communication in comparison with 0% of those
who do not have access to e-mail (Table 7.19).
Means of communication and the importance of access to e-mail
Null Hypothesis Ho: Importance of e-mail access is not associated with which
means of communication contributes most to better
performance.
Alternative hypothesis Ha: Importance of e-mail access is associated with which means
of communication contributes the most to better performance.
Table 7.21: Response rate with regard to means of communication contributing most to
better performance in relation to the importance of e-mail access
Cross-tabulation
Which one of the following means of communication contributes most to better performance on your department/division?
Electronic
communication Manual
communication Other
Total
Count 84 3 3 90 Very important %t 93.3% 3.3% 3.3% 100.0%
Count 9 3 0 12
How important is email access to your job?
Somewhat important % 75.0% 25.0% .0% 100.0%
Count 93 6 3 102 Total
% 91.2% 5.9% 2.9% 100.0%
Table 7.22: Testing the association of importance of e-mail access with the best means of
communication for better performance: Chi-square test and effect size
Chi-square test results Effect size results
Chi-square value Df P-value Cramer’s value
9.240 2 0.010 0.301
The null hypothesis, Ho, of no relationship is rejected (p=0.01<0.05) and it is concluded
that importance of e-mail access is associated with the means of communication
considered to contribute most to better performance. The effect size of 0.301 indicates
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that importance of e-mail access has a moderate effect on the means of communication
considered to contribute most to better performance. In particular, of those who consider
e-mail access to be very important, only 3.3% believe manual communication contributes
the most where-as those who believe e-mail access is only somewhat important, 25%
believe manual communication contributes the most (Table 7.21).
Frequency with which information is received electronically in relation to communication
level
Null hypothesis Ho: There is no relationship between the extent of communication
within the organisation and the frequency with which
information is received electronically.
Alternative hypothesis Ha: There is a relationship between the extent of communication
within the organisation and the frequency with which
information is received electronically.
Table 7.23: Response rate with regard to frequency with which information is received
in relation to communication level
Cross-tabulation
How frequently do you receive information electronically about
SANParks?
Daily Less often than daily
Total
Count 14 11 25 No - Small extent % 56.0% 44.0% 100.0%
Count 25 9 34 Moderate extent % 73.5% 26.5% 100.0%
Count 33 4 37
To what extent is SANPark's management communicating with members of staff?
Large - Very large extent % 89.2% 10.8% 100.0%
Count 72 24 96 Total
% 75.0% 25.0% 100.0%
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Table 7.24: Testing the effect of communication level on frequency with which information
is received: Chi-square test and effect size
Chi-square test results Effect size results
Chi-square value Df P-value Cramer’s value
8.826 2 0.012 0.303
There is a statistically significant relationship between the two variables (p=0.012<0.05). It
is therefore concluded that there is a relationship between the extent of communication
within the organisation and the frequency with which information is received electronically
(Cramer’s V=0.303). For example, 89.2% of those who believe there is a large to very
large level of communication at SANParks receive electronic information daily (Table
7.23).
Access to e-mail in relation to workstation
Null hypothesis Ho: Work station is not associated with access to e-mail.
Alternative hypothesis Ha: Work station is associated with e-mail access.
Table 7.25: Response rate with regard to e-mail access in relation to work station
Cross-tabulation
Access to e-Email
Yes No Total
Count 27 1 28 Groenkloof
% 96.4% 3.6% 100.0%
Count 59 1 60 Kruger National Park
% 98.3% 1.7% 100.0%
Count 8 8 16
Where are you stationed?
Mapungube / Marakele National Park% 50.0% 50.0% 100.0%
Count 94 10 104 Total
90.4% 9.6% 100.0%
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Table 7.26: Testing the relationship between work station and e-mail access: Chi-square
test and effect size
Chi-square test results Effect size results
Chi-square value Df P-value Cramer’s value
35.564 2 0.000 0.585
The null hypothesis, Ho, is rejected (p=0.000<0.05) and it is concluded that the work
station is associated with access to e-mail. The effect size of 0.585 indicates that
workstation has a large effect on access to e-mails. In this regard, 50% of respondents
from other parks (Marakele and Mapungubwe) have access to e-mail compared to 98.3%
in KNP and 96.4% from Head Office (Table 7.27).
7.5.2 Tests Conducted with regard to Electronic Records Management
E-mail policy in relation e-mail access
Null hypothesis Ho: There is no relationship between e-mail access and e-mail
policy
Alternative hypothesis Ha: There is a relationship between e-mail access and e-mail
policy
Table 7.27: Response rate with regard to existence of e-mail policy in relation to e-mail
access
Cross-tabulation
Is there any existing policy in your department/division governing e-mail storage and retention?
Yes No Not sure
Total
Count 23 40 31 94 Yes
% 24.5% 42.6% 33.0% 100.0%
Count 0 0 10 10
Access to e-mail
No % .0% .0% 100.0% 100.0%
Count 23 40 41 104 Total
% 22.1% 38.5% 39.4% 100.0%
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Table 7.28: Testing the existence of relationship between e-mail access and e-mail
policy: Chi-square test and effect size
Chi-square test results Effect size results
Chi-square value Df P-value Cramer’s value
17.001 2 0.000 0.404
The null hypothesis, Ho, is rejected (p=0.000<0.05) and it is concluded that there is a
relationship between e-mail access and the existence of an e-mail policy in the
organisation. For example, 24.5% of the respondents with e-mail access indicated that
their departments have an e-mail policy. The effect size of 0.404 indicates that access to
e-mails has a large effect on the existence of an e-mail policy (Table 7.27).
Use of folders to organize e-mail in relation to computer literacy
Null hypothesis Ho: Computer literacy is not related to the use of folders to
organize e-mail
Alternative hypothesis Ha: Computer literacy is related to the use of folders to organize
e-mail.
Table 7.29: Response rate with regard to use of folders to organize e-mail in relation to
level of computer literacy
Cross-tabulation
Do you use folders to organize your email?
Yes No
Total
Count 11 9 20 Very poor to average % 55.0% 45.0% 100.0%
Count 30 11 41 Good
% 73.2% 26.8% 100.0%
Count 35 7 42
How do you rate your computer literacy?
Very good to excellent % 83.3% 16.7% 100.0%
Count 76 27 103 Total
% 73.8% 26.2% 100.0%
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Table 7.30: Testing the association of computer literacy with use of folders to organize e-
mails: Chi-square test and effect size
Chi-square test results Effect size results
Chi-square value Df P-value Cramer’s value
5.637 2 0.060 0.234
There is a statistically significant relationship between the two variables (p=0.060<0.05). It
is therefore concluded that the level of computer literacy is related with the use of folders
to organize e-mails (Cramer’s V=0.234). For example, 83.3% of those who believe that
their computer literacy is very good to excellent, organize their e-mails (Table 7.29).
Storing of attached documents received via e-mail in relation to computer literacy
Null hypothesis Ho: Computer literacy is related to the storing of attached
documents received via e-mails
Alternative hypothesis Ha: Computer literacy is not related to the storing of attached
documents received via e-mails
Table 7.31: Response rate with regard to the storing of attached documents received
via e-mails in relation to computer literacy
Cross-tabulation
Do you store documents attached in email on a diskette/hard drive?
Yes No
Total
Count 8 12 20 Very poor to average % 40.0% 60.0% 100.0%
Count 29 12 41 Good
% 70.7% 29.3% 100.0%
Count 36 6 42
How do you rate your computer literacy?
Very good to excellent % 85.7% 14.3% 100.0%
Count 73 30 103 Total
% 70.9% 29.1% 100.0%
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Table 7.32: Testing the existence of relationship between computer literacy and storing of
attached documents: Chi-square test and effect size
Chi-square test results Effect size results
Chi-square value Df P-value Cramer’s value
13.716 2 0.001 0.365
The null hypothesis, Ho, is rejected (p=0.001<0.05) and it is concluded that computer
literacy is related to the storing of documents attached in e-mails on a diskette or the hard
drive of a computer. The effect size of 0.365 indicates that computer literacy has a
moderate effect on the storing of documents received via e-mails. In this regard, 85.7% of
those who rated their computer literacy as very good to excellent, store documents
attached in e-mails on a diskette or their computer’s hard drive (Table 7.31).
Pruning of stored e-mail in relation to computer literacy
Null hypothesis Ho: Computer literacy is not related to the pruning of stored e-
mails.
Alternative hypothesis Ha: Computer literacy is related to the pruning of stored e-mails.
Table 7.33: Response rate with regard to pruning of stored e-mail in relation to computer
literacy
Cross-tabulation
Do you prune your stored email?
Yes No
Total
Count 5 15 20 Very poor to average % 25.0% 75.0% 100.0%
Count 23 18 41 Good
% 56.1% 43.9% 100.0%
Count 33 9 42
How do you rate your computer literacy?
Very good to excellent % 78.6% 21.4% 100.0%
Count 61 42 103 Total
% 59.2% 40.8% 100.0%
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Table 7.34: Testing the association of computer literacy with pruning of stored e-mail:
Chi-square test and effect size
Chi-square test results Effect size results
Chi-square value Df P-value Cramer’s value
16.376 2 0.000 0.399
The null hypothesis, Ho, is rejected (p=0.000<0.05) and it is concluded that computer
literacy is associated with the pruning of stored e-mails in the organisation. The effect size
of 0.399 indicates that computer literacy has a moderate effect on the pruning of stored e-
mails. In this regard, 78.6% of those who rated their computer literacy as very good to
excellent, prune their stored e-mails (Table 7.33).
7.5.3 Tests Conducted with regard to Record Filing
Existence of filing procedure manual in relation to existence of formal departmental filing
system
Null hypothesis Ho: Existence of a formal filing system does not determine the
existence of filing procedure manual in a department.
Alternative hypothesis Ha: Existence of a formal filing system determines the existence
of filing procedure manual in a department.
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Table 7.35: Response rate with regard to existence of filing system and the existence of
filing procedure manual
Cross-tabulation
Does your department/division have a filing procedures manual?
Yes No Not sure
Total
Count 16 24 14 54 Yes
% 29.6% 44.4% 25.9% 100.0%
Count 2 26 1 29 No
% 6.9% 89.7% 3.4% 100.0%
Count 3 5 10 18
Does the department/division have a formal filing system?
Not sure % 16.7% 27.8% 55.6% 100.0%
Count 21 55 25 101 Total
% 20.8% 54.5%
Table 7.36: Testing the impact of the existence of a departmental filing system on the
existence of a filing procedure manual in a department: Chi-square test and
effect size
Chi-square test results Effect size results
Chi-square value Df P-value Cramer’s value
27.061 4 0.000 0.366
The null hypothesis, Ho, is rejected (p=0.000<0.05) and it is concluded that the existence
of a formal filing system in a department/division determines the existence of a filing
procedures manual in that department/division. The effect size of 0.366 indicates that a
formal filing system has a moderate effect on the existence of a filing procedures manual
in a department/division. In particular, only 29.6% of those who indicated that their
department/division has a formal filing system, also indicated that there is a filing
procedures manual in the department/division (Table 7.35).
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Rating of a formal filing system for documents received manually
Null hypothesis Ho: There is no relationship between the existence of a formal
filing system and the rating of a filing system in a
department/division
Alternative hypothesis Ha: There is a relationship between the existence of a formal filing
system and the rating of a filing system in a
department/division
Table 7.37: Response rate with regard to the rating of a departmental filing system in
relation to the existence of formal departmental filing system
Cross-tabulation
How do you rate the filing system in your department/division for manual
documents?
Very poor / Poor Average
Total
Count 31 21 52 Yes
% 59.6% 40.4% 100.0%
Count 24 2 26 No
% 92.3% 7.7% 100.0%
Count 15 1 16
Does the department/division have a formal filing system?
Not sure % 93.8% 6.3% 100.0%
Count 70 24 94 Total
% 74.5% 25.5% 100.0%
Table 7.38: Testing the existence of a relationship between rating of a formal filing
system: Chi-square test and effect size
Chi-square test results Effect size result
Chi-square value Df P-Value Cramer’s value
13.514 4 0.001 0.379
There is a statistically significant relationship between the two variables (p=0.001<0.05). It
is therefore concluded that if a department/division does not have a formal filing system,
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the filing system in the department/division will be rated as very poor or poor. The size
effect of 0.379 indicates that the existence of a formal filing system has a moderate effect
on the rating of a filing system. For example, 92.3% of those who indicated that there is
not formal filing system in their department/division, rated the filing system as very poor
and poor (Table 7.37).
7.5.4 Tests Conducted with regard to use of Records
Use of records by auditors and departments in which employees are working
Null hypothesis Ho: There is no relationship between the departments in which
employees are working and the use of records by auditors
The alternative hypothesis Ha: There is a relationship between the departments in
which employees are working and the use of records by
auditors
Table 7.39: Response rate with regard to the use of records by auditors in relation in
relation to the departments in which employees work
Cross-tabulation
Who consults /refers to your documents?
Not marked Marked
Total
Count 20 30 50 Support services (Inc. Finance, Admin, Tech etc) % 40.0% 60.0% 100.0%
Count 21 11 32 Tourism /Communication /PR % 65.6% 34.4% 100.0%
Count 16 2 18
In which department/division are you working?
Conservation services and people % 88.9% 11.1% 100.0%
Count 57 43 100 Total
% 57.0% 43.0% 100.0%
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Table 7.40: Testing the link between departments in which employees work and the use
of records by auditors: Chi-Square test and effect size
Chi-square test results Effect size result
Chi-square value Df P-value Cramer’s value
14.335 2 0.001 0.276
In considering the statistical relationship, the null hypothesis, Ho, was rejected
(p=0.001<0.05) and it was concluded that the department/division in which employees
work and the use of records by auditors are related. Cramer’s V, a measure of effect size,
showed that the department/division in which employees work has a small effect on the
use of records by auditors (Table 7.39).
7.5.5 Summary
In conclusion, it can be said that:
SANParks’ reporting structure and the communication level are related.
Access to e-mail is associated with measuring the extent of communication at
SANParks.
The importance of e-mail access is associated with determining the means of
communication at SANParks.
There is a relationship between e-mail access and the frequency with which
information is received electronically at SANParks.
Workstations at SANParks are associated with e-mail access.
E-mail access at SANParks is related to the existence of an e-mail policy.
Computer literacy is associated with the use of folders for organizing e-mail at
SANParks.
There is a relationship between computer literacy and storing of attached documents
received via e-mail.
Computer literacy is associated with pruning of stored e-mail.
The existence of a formal departmental filing system determines the existence of a
filing procedure manual.
The existence of a formal departmental filing system affects the rating of the system.
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Departments in which employees work are linked to categories of users of SANParks
records.
7.6 CONCLUSION
Lack of sound records management at SANParks indirectly affects the information user
behaviour of employees to achieve competitive performance. Since employees did not
receive training on the existing filing system, it is not their fault for behaving in a manner
that is costly to SANParks’ performance. If the employees do not have a filing procedure
manual, it is not their fault that the records are filed incorrectly and consequently difficult to
retrieve. If an e-mail policy does not exist, it is not their fault for dealing in any way they
wish with records received via e-mail.
The next chapter intends to recommend the best possible strategies for sound record
management at SANParks. It is only through sound records management that SANParks
can benefit from record end-user behaviour to achieve competitive performance, i.e. lack
of sound records management leads to poor competitive performance in an organisation.
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CHAPTER EIGHT SUMMARY, CONCLUSIONS AND RECOMMENDATIONS
8.1 INTRODUCTION
After the discussion of the results of the empirical survey, the main research question,
namely, whether information user behaviour, especially the use of the business records of
an organisation, can affect the competitiveness of the organisation is addressed in the
light of the discussion of the previous chapters and of the findings of the empirical study.
After summarizing the findings and discussion of previous chapters, a conclusion is drawn
and recommendations are made in terms of effective management of the business
records at SANParks.
8.2 SUMMARY OF THE STUDY
The main objective of this study was to investigate the manner in which records can be
used for competitive advantage in an organisation. Central to this objective is the end-
user’s reaction to the records at his/her disposal i.e. information user behaviour.
Throughout this study, it was argued that the end-user’s behaviour towards records may
affect the competitive performance of an organisation either positively or negatively. The
argument is further strengthened by the assumption that lack of support and control from
top management indirectly contributes to negative information user behaviour. It is
therefore the responsibility of not only end-users themselves to ensure disciplined positive
information user behaviour, but also that of the organisation, e.g. through introduction of
relevant policies and manuals ensuring safe custody and effective utilization of records.
The concepts information user behaviour, records and records management were defined
in Chapter one and the difference between information management and records
management was explained.
Chapter two investigated the nature of records management and further discussed the
role of records management and its statutory existence in an organisation.
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Chapter three considered the questions: “What is the impact of an organisational structure
on a record’s life cycle?” and “What effect do the organisational structure and a record’s
life cycle have on end-user behaviour?” It was concluded that organisations should create
a path through which records move within their structures and that such a path should
ensure that records reach their destinations without any interruption or delay. This implies
that there should be a relationship between a record’s life cycle and the structure of an
organisation.
Chapter four considered the impact of information technology on the strategic role of
records management in an organisation. It reported on the management of electronic
records as well as the advantages and disadvantages of electronic records management.
The chapter concluded with a discussion of end-user behaviour from an electronic records
management perspective.
Chapter five reported on the current status of records management practices at SANParks
as well as the driving forces for records management and the challenges experienced by
SANParks in records management practice.
Chapter six outlined the research methodology adapted in this study. The study employed
Questionnaire as a tool to collect data from the participants. Participants were drawn from
South African National Parks Head Office based in Gauteng as well as Kruger National
Park based in Mpumalanga. Two other smaller parks i.e. Marakele and Mapungubje
National Parks were randomly selected to represent the entire population of smaller parks.
In Chapter seven the results of the empirical survey were discussed. A questionnaire was
sent to 120 participants representing the entire organisational structure of SANParks. It
was found that a lack of sound records management at SANParks indirectly affects the
information user behaviour of employees to achieve competitive performance. There is no
consistency with regard to filing systems and methods throughout the organisation and
irrespective of the format, about half of SANParks’s records are destroyed or deleted
illegally.
The objective of chapter eight is to recommend methods to improve the records
management situation at SANParks. As indicated in the previous chapter, survey results
exposed both strengths and weaknesses of the current status of records management at
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SANParks. The section below aims at outlining the recommendations for managing public
records within the scope of the research findings, statutory framework and internationally
recognised standards.
8.3 RECOMMENDATIONS
Records constitute the most vital resource and are essential for the operation of
organisations. There is no organisation in existence and operational without a flow of
information. Despite the crucial role played by information in an organisation, records
continue to be neglected. Owing to application of the latest communication technologies,
large volumes of records are created and disseminated daily. The proliferation of records
in electronic format therefore poses a unique challenge to organisations to develop and
adopt institutional widely integrated records/IT programmes.
In this study, recommendations are based on findings from the survey results, compliance
with relevant national legislative requirements i.e. the National Archives and Records
Service Act (No. 43 of 1996 as amended) and international standards as adopted by
Standards South Africa from the International Standards Organization (ISO) i.e. South
African National Standards (SANS) 15489. The SANS 15489 and National Archives and
Records Service Act (No. 43 of 1996) serve as the main national requirements against
which governmental bodies can measure their compliance with sound records
management practices.
8.3.1 Recommendations in the context of Empirical Survey Findings
In the previous chapter of this study (section 6.4), several findings against which
recommendations are to be made were identified. Table 8.2 outlines the
recommendations against specific findings:
Table 8.1: Recommendations on specific research findings
FINDINGS RECOMMENDATIONS
The communication system in an organisation (also at SANParks) dictates the manner in which
SANParks should strive to develop and apply the latest and most relevant records management tools parallel to current communication systems. For example, the fact that electronic
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FINDINGS RECOMMENDATIONS
records should be created and disseminated.
means of communication are generally used for information dissemination indirectly drives SANParks towards committing itself to an EDRMS. In support of the above recommendation, Ngulube (2004:1) clearly indicated that the way information is handled has been changed by information and communication technologies (ICTs). SANParks cannot afford to ignore the pace at which technology is moving. It must therefore avoid a leap-frog approach, i.e. jumping to solutions without the basics (Nassimbeni, 1998:157). The most important basic requirement for SANParks at this stage is to ensure the existence of an approved filing system on which EDRMS would be based. Failure by SANParks to cope with the pace at which communication systems are changing could be disastrous for records management and information user behaviour. The organisation should try to drive the communication system and not vice versa.
Records management at SANParks is shifting from manual to electronic format.
In a situation where more records are received and disseminated electronically, EDRMS has become a must and not a choice. It will assist in controlling and managing the pace at which records are generated electronically. The traditional method of records management at SANParks should be modified to incorporate the latest technique, e.g. scanning or electronically indexing the most valuable paper-based records. Such an initiative would dramatically improve accessibility to older manual records. End-users prefer user-friendly systems. Their behaviour is affected negatively by the distance between their offices and record centers. Modifying the manual records to electronic format can contribute a lot in changing the negative behaviour of end-users, since records would be easily retrievable from their office desks.
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FINDINGS RECOMMENDATIONS
Electronic records at SANParks are stored in PCs
Given the pace at which technology is changing, storing of electronic records should be future driven, not immediate-oriented. SANParks should therefore consider encouraging employees to store recorded information on an approved EDRMS. Such a system would protect the organisation from the possible loss of valuable records in an unpredictable situation. Plans for migrating records from one form of software/hardware to another as a means of ensuring continued access to and authenticity of records should be adequate to handle the crisis. Failure to deviate from the PC approach to the Shared workstation approach would result in a daily loss of valuable records owing to either systems failure or obsolete hardware and software. For example, it is very easy for a PC to be attacked by a virus.
No sound records management practice at SANParks.
SANParks should appoint a records manager who is charged with the responsibility of ensuring sound records management. According to Ngulube (2004:2), lack of proper records management may compromise service delivery, accountability, good governance and justice. Poor records management not only hinders the implementation of governmental reform, but also hampers the development of society as a whole. Poorly managed records undermine accountability and society’s ability to be innovative. In this regard, for SANParks employees to be innovative and ready for competitive performance, sound records management is of the utmost importance. Section 13 of the National Archives and Records Service South Africa Act (No 43 of 1996) outlines the requirement for sound records management by governmental bodies in detail.
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FINDINGS RECOMMENDATIONS
Records at SANParks are used for strategic purposes such as accountability/auditing, decision-making/problem-solving and research/study.
In view of the strategic application of records for SANParks business activity, it is advisable for SANParks to ensure that the records management function is represented at senior management level in the organisational structure. Without records management, fraud cannot be proven, meaningful audits cannot be carried out and actions are not open for review (Mnjama, 2004:3). Lack of records management is directly linked to the persistence of corruption and fraud. SANParks’s management should be made aware of the value of records for the organisation’s survival. Like any other organisational assets, records should be handled with care and respect.
Lack of adequate records management policies, procedure manuals, disaster recovery plan (DRP).
Strict control measures and guidelines through which information end-users’ behaviour can be supervised and improved should be developed. While policies should address access as well as the type of recorded information to be retained as public records, procedure manuals should support the existing policies by outlining step-by-step procedures for managing and maintaining public records. The DRP should in turn address the safety and recovery of public records. According to Mnjama (2004:8), a DRP is needed to protect records that are vital to the continuing operation of the organisation in a time of crisis. It is therefore recommended that SANParks’s policy should clearly indicate the type of documents received via e-mail to be regarded as public records. According to the National Archives of South Africa (2000:31), not all e-mail constitutes records. In support of this recommendation, Ngulube (2004:6) has indicated that organisations have a fragmented approach to electronic records; they do not have a clear understanding of the nature of electronic records, and the electronic information to be captured as records in order to document the business processes. DRP is one of the sound preservation plans. Many policies governing records management in organisations not necessarily formally written documents (Ngulube, 2004:8). Most organisations in South Africa do not have written policies other than the framework given by the Promotion of Access to
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FINDINGS RECOMMENDATIONS
Information Act (PAIA) (No 2 of 2000) and the National Archives and Record Service Act (No 43 of 1996 as amended). See appendix C for the SANParks PAIA manual.
No consistency with regard to filing
Since it is a single organisation, a uniform filing system and method should be applied in all constituents of SANParks. Personal and departmental filing systems and methods should be discouraged in favour of a centralized filing system and method. In support of the above recommendation, Wakumoya (1999:11) observe that a lack of consistency in the filing system and method results in backlogs of records accumulated and congested in repository centres. Records are dumped randomly or rudimentary tools are used for retrieving them so that they can be easily accessible to users.
Training is not taken seriously e.g. filing system training
In order to implement a records management program successfully, relevant records management training and workshops should be conducted through SANParks. Among others, employees should be introduced to an approved filing system and method. As indicated by Ngulube (2004:7), organisations should avoid a leapfrog approach with regard to training. Relevant training should be offered before employees are expected to use the system.
Access In order to improve accessibility of records, finding aids should be developed so that end-users would find it easy to retrieve the required information held in various records. Mazakina (1999:74) observes that the biggest barriers and obstacles to accessing information contained in records is not due to access conditions and regulations preventing and limiting access, but simply to the poor state in which records are kept, absence of systems for their proper management, improper storage and lack of finding aids to access them. Lack of finding aids ultimately affects access to information. In support of the above scholar, Ngulube (2002:576) further indicated that the absence of finding aids is one of the indicators that access to records is limited or impossible. Efficient access to the recorded information which users require can be secured when the records are appropriately
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FINDINGS RECOMMENDATIONS
inventoried, arranged and classified.
No disposal and retention schedules
The organisation should have a systematic approach to managing records from creation to ultimate disposal (Ngulube, 2004:2). Appraisal of records is key to formulating retention and disposal schedules. Records should be allocated schedules for retention and disposal. According to Mnjama (2004:6), many organisations either fail to destroy records which are no longer needed to support day-to-day business operations or they are forced to take disposal decisions on an ad hoc basis without observing any specific disposal criteria. Records, irrespective of formats, can not be kept forever because of the cost of storage and maintenance over time. Owing to the increasing volume of records stored in the archive repository, retrieval becomes slower and more cumbersome (Ngulube, 2004:9).
8.3.2 Recommendations within the Statutory Framework
All government departments are obliged by legislation to provide for the proper care of
documents. They are obliged to ensure, in cooperation with NARS that documents are
preserved as official governmental records. Among others, the legislation, which requires
sound records management practice, includes the following:
• National Archives and Records Services Act (No. 43 of 1996 as amended)
• Promotion of Access to Information Act (No. 2 of 2000)
• Promotion of Administrative Justice Act (No. 3 of 2000)
• Public Finance Management Act (No. 1 of 1999)
• Electronic Communications and Transactions Act (No. 25 of 2002)
The South African Archives and Record Services legislation as well as PAIA legislation
requires that governmental bodies establish and maintain records management
programmes in conformity with standards and codes of best practice approved by the
NARS. Other legislation exists to support sound records management as outlined by PAIA
(Act no. 2 of 2000) and National Archives and Records Service of South Africa Act (No. 43
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of 1996 as amended). Table 8.3 below outlines recommendations in the context of the
legal framework for records management in South Africa.
Table 8.2: Recommendations in compliance with specific legislation
RELEVANT LEGISLATION COMPLIANCE RECOMMENDATIONS
National Archives and Record Services of South Africa Act (+No 43 of 1996)
No Establishment of records management division
Appointment of a professionally qualified records
manager
Development of the policies, procedure manuals,
filing plan, retention and disposal schedules
Promotion of Access to
Information Act (No 2 of
2000)
Yes Head of the organisation i.e. CEO should be
appointed as SANParks’s information officer (see
appendix C for existing SANParks’ information
officer).
In order to avoid unnecessary delay with requests
for information, all directors and park managers
should be appointed as deputy information
officers.
Copies of the PAIA manual should be made
available in each office in custody of the records
(see appendix C).
All members of staff must be made aware of the
existence and implications of PAIA.
Promotion of Administrative
Justice Act (No. 3 of 2000)
No All administrative officers must be made aware of
the act and its implications for public records.
Public Finance
Management Act (No. 1 of
1999)
Yes Utilize and save records as true evidence of the
organisation’s expenditure and income.
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RELEVANT LEGISLATION COMPLIANCE RECOMMENDATIONS
Electronic Communications and Transactions Act (No. 25 of 2002)
No Manage electronic records resulting from
electronic means of communication as records
Development and implementation of electronic
mail policy
8.3.3 Recommendations in context of International Standards
The use of standards ensures that procedures and products offered will meet certain
requirements, and that these procedures and products will remain consistent over time.
Standards for records management are an exception rather than a norm in most
organisations. If organisations need to be fully confident about managing their records,
they need to ensure that their practices and procedures conform to established
international standards adopted in that country.
In South Africa, the South African National Standard (SANS) 15489 was developed in
2004 based on the 2001 International Standard Organization (ISO) on information and
documentation (records management). In this regard, it is advisable for all organisations in
South Africa to develop records management programmes in the framework of the SANS
15489. The standard should serve as a guideline for records management requirements,
policies and responsibilities, monitoring and auditing, training, design and implementation,
processing and control creation, classification, scheduling, maintenance, accessibility and
preservation of recorded information. Organizations should therefore review their records
management programme regularly to align this with amendments made by SANS 15489.
As reflected above, standards lead to standardization of processes for the benefit of all
users. It provides the following in an organisation:
The basis for consistency and efficiency in organisations
A benchmark against which performance could be assessed
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According to SANS 15489, a records management programme should be supported by a
number of requirements. Table 8.3 below outlines recommendations against each
requirement as identified by SANS 15489-1:2004.
Table 8.3: Recommendations in compliance with SANS 15489
SANS 15489 COMPLIANCE RECOMMENDATIONS
Retention schedule
No In consultation with the legal section and other relevant stakeholders of the organisation, SANParks should outline the retention schedule of all records created or received in the process of its business activity. The decision should be based on an assessment of the regulatory environment, business and accountability requirements and the risk. The rights and interests of all stakeholders should be considered when determining how long records should be maintained. Sub-clause 8.1 of SANS 15489-1: 2004 indicates that implementation strategies for compliant records management systems should include a retention schedule for records, which have continuing value, in keeping with the regulatory environment.
Policy statement
No SANParks should develop a records management programme and ensure that it is supported by the policy approved by the NARS. In support of this recommendation, sub-clause 6.2 of SANS 15489-1: 2004 mentions that the objective of the policy should be the creation and management of authentic, reliable and useable records capable of supporting business functions and activities for as long as they are required. Organizations should ensure that the policy is widely communicated and implemented throughout the organisation. The policy should be adopted and endorsed at the highest decision-making level and promulgated throughout the organisation. Policies should be reviewed regularly to ensure that they reflect current business needs. Furthermore, sub-clause 7.2.2 of SANS 15489-1: 2004 highlights that organisations should implement and document policies and procedures that control the creation, receipt, transmission, maintenance and disposition of records to ensure that creators of records are authorized and identified and that records are protected against unauthorized addition, deletion,
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SANS 15489 COMPLIANCE RECOMMENDATIONS
alteration, use and concealment. According to sub-clause 7.2.4 of SANS 15489-1:2004, records management policies and procedures should specify what additions or annotations may be made to a record after it has been created, under what circumstances additions or annotations may be authorized, and who is authorized to make them. Any authorized annotation, addition or deletion in a record should be explicitly indicated and traceable. Finally, sub-clause 9.6 of SANS 15489-1: 2004 indicates that organisations should have policies and guidelines for converting or migrating records from one records system to another. It is therefore advisable for SANParks to ensure that records management policy is in place before attempting to implement the programme.
Strategic planning
No SANParks should develop a long and short term records management strategic plan for funding a records management programme. Clause 8.1 of SANS 15489-1:2004 indicates that records management strategies should be documented in a strategic plan, such as an information management strategic plan, which should be incorporated into an organisation’s wide planning documentation. It is therefore advisable for SANParks to identify a relevant directorate through which a records management strategic plan can be presented to the highest decision-making body of the organisation. As a support programme, it would be convenient for the records management division to fall under the Corporate Support Services Department.
Records management responsibilities
No Ensure that records management functions are coordinated by the records manager of the records management division. In support of the above recommendation, SANS 15489-1: 2004, sub-clause 6.3 sets out that records management responsibilities and authorities should be defined and assigned, and promulgated throughout the organisation so that where a specific need to create and capture records is identified, it should be clear who is responsible for taking the necessary action. Designations of the responsible individuals may be assigned by law.
Training No Regular training in records management functions should be
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SANS 15489 COMPLIANCE RECOMMENDATIONS
conducted. All new members of staff should be introduced to the system of managing records at SANParks. Clause 11 of SANS 15489-1:2004 indicates that an organisation seeking to conform with SANS 15489-1 should establish a continuing programme of records training. The training programme can be designed and established in cooperation with external organisations.
Registration of records
Yes SANParks should improve the current system of managing records. An EDRMS is highly recommended to increase the retrieval rate of records. Sub-clause 9.4 of SANS 15489-1: 2004 indicates that the primary function of registration is to provide evidence that a record has been created or captured in a records system, and an additional benefit is that it facilitates retrieval.
Storage and handling
Yes Although SANParks is currently storing records in a decentralized manner i.e. various offices and store rooms, it is recommended that inactive records should be stored in a centralized area. Furthermore, the acquisition of relevant equipment such as steel cabinets or shelves, and an air conditioner to control humidity, should be considered. Sub-clause 9.6 of SANS 15489-1: 2004 indicates that records should be stored on media that ensure their usability, reliability, authenticity and preservation for as long as they are needed. Records require storage conditions and handling processes that take into account their specific physical and chemical properties. Records of continuing value, irrespective of format, require higher quality storage and handling to preserve them for as long as that value exists. Storage conditions and handling processes should be designed to protect records from unauthorized access, loss or destruction, and from theft or disaster.
In conclusion, the records management function should form part of performance
appraisal evaluation. All members of staff should be evaluated in terms of their record
keeping skills. Such an initiative by SANParks would indirectly encourage members of
staff to take record keeping seriously. According to Millar (1997:7) and Palmer (2000:62),
well-managed records confirm the work of employees. In all accountability forums, records
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are consulted as proof of activity by senior managers or anyone inquiring into a decision
taken on the performance of an employee.
8.4 RECOMMENDATIONS FOR FUTURE RESEARCH
The purpose of this study was to create an overview of information user behaviour with
regard to records management for competitive advantage that could be used as a
template with minor adjustments by organisations entering the records management field,
including SANParks, to develop sound records management to achieve a competitive
advantage. Future research could possibly cover the following areas:
E-government electronic records management initiatives
Best practices in the storage and accessibility of records
Training and skills audit on record keeping and management to effect sound records
management.
Role of records management in good governance.
Role of records management in performance appraisals of employees.
Managing records across Africa.
Best practices in records classification and filing.
8.5 CONCLUSIONS
The study revealed that owing to lack of a sound records management practice at
SANParks, competitive performance of information end-users is jeopardized. Even though
information is considered the most vital resource for the future survival of SANParks, i.e.
for research, auditing and decision-making, records as the main source of information are
neglected and managed voluntarily by end-users themselves. There are no control
measures for ensuring care and safe custody of records.
Based on the above statement, it is concluded that records at SANParks are not counted
among other valuable resources such as human resources, fauna and flora, buildings,
furniture etc. No disciplinary action can be taken in case of damage or loss of records.
End-users enjoy full control of records in their possession. Records belong to individuals
and not to the organisation, contrary to the concept of public records. The implication is
that the organisation is currently losing many records either through resignation of
Page 145
personnel, natural causes and negligence. For example, since they consider records in
their possession as theirs, employees disappear with records when they retire or resign.
There is no existing records management policy protecting records against this type of
behaviour.
Furthermore, the study revealed that the current means of communication dictates the
manner in which records are managed. Since electronic means of communication are
used most often, records management at SANParks is drastically shifting from manual to
electronic. It can therefore be concluded that more records are created, received and
disseminated electronically than manually. Even though there is no sign of sound records
management at SANParks, a large volume of electronic records is produced daily. The
most affected unit in this whole system is the end-user, who does not have an idea of
what to do with the large bulk of records accumulating every day. In order to create space
in their PCs, they are therefore left with only one choice i.e. destroying or deleting some of
the records. It can therefore reliably be concluded that records at SANParks are disposed
of illegally. No formal procedure is followed to destroy the records. There is no retention
and disposal schedule.
Finally, it was revealed that training is not taken seriously at SANParks. Although various
filing systems exist either on personal or departmental level, very few individuals were
trained or introduced to existing filing systems. New staff members are not introduced to
the departmental filing system and are left with no option but to develop and rely on their
own filing system. It can therefore be concluded that an officially recognised filing system
does not exist and training is not taken seriously at all.
Page 146
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Page 157
APPENDIX A SANParks RECORDS MANAGEMENT SURVEY ON
INFORMATION USER BEHAVIOUR QUESTIONNAIRE
Kindly complete the following short questionnaire regarding the value of records
management in your organisation and the behaviour of end users towards records.
Answer each question by crossing (X) the block corresponding to your answer.
For the purpose of this study, the following concepts are defined as follows:
• Electronically refers to any communication process via the computer’s software
such as e-mail, Intranet etc
• Manually refers to any communication via print media such as paper
Please do not enter your name on the questionnaire. It remains anonymous. It should not
take you more than 15 minutes to complete. Completed questionnaires will be physically
collected by the researcher within five days. For any enquiries relating to this
questionnaire, please do not hesitate to contact the researcher (Moss Makhura) at 082
908 2674.
Mark (X) the option relevant to you
Gender?
Male 1
Female 2
How old are you?
Below 20 years of age 1
20 to 30 years of age 2
31 to 40 years of age 3
Above 40 years of age 4
Page 158
What is your highest academic qualification?
Below standard 10 (Grade 12) 1
Standard 10 (Grade 12) 2
Short course certificate (Post school) 3
Diploma (Post school) 4
Degree (Undergraduate) 5
Degree (Postgraduate) 6
Other (Please specify) 7
Where are you stationed? (Mark one option only)
Groenkloof (Head Office) 1
Kruger National Park 2
Mapungube National Park 3
Marakele National Park 4
In which department/division are you working? (Mark one option only)
Finance 1
Administration 2
Human resources 3
Tourism 4
Technical services 5
Scientific services 6
Conservation services 7
People and conservation 8
Communication/Public relations 9
Knowledge resource 10
How many full years have you been working for SANParks?
0, i.e. less than a year 1
1-2 years 2
3-4 years 3
5-10 years 4
More than 10 years 5
Page 159
What is your current job grading/post level?
AL AU BL BU CL CU DL DU EL EU FL FU
1 2 3 4 5 6 7 8 9 10 11 12
Who is your immediate supervisor?
Chief Executive (CE) 1
Director 2
Head of department 3
Senior Manager 4
Manager 5
Supervisor 6
Other: Please specify
7
How do you rate your computer literacy?
Very poor Poor Average Good Very good Excellent
1 2 3 4 5 6
Do you have access to each of the following? (Mark all applicable)
Yes No
E-Mail 1 2
Intranet 1 2
Internet 1 2
How important is access to electronic mail (e-mail) to your job?
Very important Somewhat important Not important at all
1 2 3
Is there any existing policy in your department/division governing e-mail storage and
retention?
Yes No Not sure
1 2 3
Page 160
Please answer the following questions relating to the management of electronic mail (e-
mail).
Yes No
Do you receive e-mail? 1 2
Do you send e-mail? 1 2
Do you forward e-mail to colleagues? 1 2
Do you use folders to organize your e-mail? 1 2
Do you receive attached documents via e-mail? 1 2
Do you store documents attached in e-mail on a diskette/
hard drive?
1 2
Do you prune your stored e-mail? 1 2
In your opinion, to what extent is SANPark’s management communicating with members
of staff?
No extent 1
Limited extent 2
Moderate extent 3
Large extent 4
Very large extent 5
How frequently do you receive information about SANParks in each of the following
formats?
Daily Weekly Monthly Annually Never
Electronically (Soft copy) 1 2 3 4 5
Manually (Hard copy) 1 2 3 4 5
How frequently do you disseminate information about your department/division in each of
the following formats?
Daily Weekly Monthly Annually Never
Electronically (Soft copy) 1 2 3 4 5
Manually (Hard copy) 1 2 3 4 5
Page 161
In which of the following formats do you receive each of the following documents about
SANParks? (Mark all applicable)
Electronically Manually
Minutes 1 2
Reports 1 2
Policies and manuals 1 2
Business plan 1 2
Circulars 1 2
Invoices 1 2
Newsletters 1 2
Brochures 1 2
In which of the following formats do you disseminate each of the following documents
about your department/division? (Mark all applicable)
Electronically Manually
Minutes 1 2
Reports 1 2
Business plan 1 2
Policies and Manuals 1 2
Circulars 1 2
Newsletters 1 2
For how long do you keep each of the following types of documents?
Less than a
year
1-2
years
2-4
years
More than 4
years
Minutes
Reports
Invoices
Policies and
Manuals
Page 162
In which physical location(s) do you store each of the following types of documents? (Mark
all applicable)
Centralized
archives
My
office
Information
Technology centre
Other
(Please
specify)
Electronic
documents
Manual
documents
How accessible is the storage area for each of the following types of documents?
Easily
accessible
Relatively easily
accessible
Difficult
to access
Electronic documents 1 2 3
Manual documents 1 2 3
How do you rate the condition of the storage equipment for each of the following types of
documentation?
Poor Average Good
Electronic 1 2 3
Manual 1 2 3
Does your department/division have a formal filing system?
Yes No Not sure
1 2 3
Does your department/division have a filing procedures manual?
Yes No Not sure
1 2 3
Page 163
How do you rate the filing system in your department/division for documents in each of the
following formats?
Very Poor Poor Average Good
Electronic format 1 2 3 4
Manual format 1 2 3 4
Do you have a personal filing system?
If yes, please answer the following questions. If no, proceed to question 33
Did you receive any training relating to the filing system currently used in your
department/division for documentation in each of the following formats?
Yes No
Electronic format 1 2
Manual format 1 2
Which of the following filing methods do you use to file each of the following types of
documents? (Mark all applicable)
Alp
habe
tical
ly b
y cr
eato
r
Alp
habe
tical
ly b
y su
bjec
t
Num
eric
ally
by
date
crea
ted
Alp
ha-n
umer
ical
ly b
y
crea
tor/
subj
ect a
nd d
ate
Ran
dom
ly
Do
not f
ile
Oth
er (P
leas
e sp
ecify
)
Electronic documents?
Manual documents?
Yes 1
No 2
Page 164
Where do you file each of the following types of documents? (Mark all applicable)
Ow
n fil
ing
cabi
net
Dep
artm
enta
l ca
bine
t
Ow
n co
mpu
ter
IT c
entre
Aud
io/V
isua
l ce
ntre
Not
file
d at
all
Oth
er (P
leas
e sp
ecify
)
Manual documents?
Electronic documents?
How often do you file documents created while performing business transactions with
SANParks?
Always Usually Sometimes Seldom Never Not Applicable
1 2 3 4 5 6
How often do you file documents resulting from external correspondence related to your
work?
Always Usually Sometimes Seldom Never Not Applicable
1 2 3 4 5 6
How often do you file documents generated by other people you conduct business with?
Always Usually Sometimes Seldom Never Not Applicable
1 2 3 4 5 6
How often do you file documents used for decision-making or problem-solving affecting
other organisations?
Always Usually Sometimes Seldom Never Not Applicable
1 2 3 4 5 6
How often do you consult/refer to documents previously sent to you or disseminated by
you for decision-making/problem-solving purposes?
Regularly Sometimes Seldom Never Not Applicable
1 2 3 4 5
Page 165
Which of the following people consult/refer to your documents? (Mark all applicable)
Auditors 1
Researchers 2
Management 3
Internal staff members 4
None 5
Other (Please specify) 6
Which one of the following documents about SANParks contributes most to better
performance in your department/division?
Minutes
Reports
Circulars
Newsletters
Policies and manuals
Other (Please specify)
Which one of the following means of communication contributes most to better
performance in your department/division?
Electronic communication
Manual communication
Other (Please specify)
Are you allowed to dispose of/destroy each of the following types of documents in your
job?
Yes No
Electronic documents 1 2
Manual documents 1 2
Does your department/division have any document disaster recovery plan?
Yes No Not sure
Page 166
What are your recommendations on improving the conduct of employees in relation to
documents/ records at their disposal?
Thank you very much for your time
Page 167
APPENDIX B NATURE CONSERVATION (KRUGER NATIONAL PARK) FILING
PLAN TABLE OF CONTENTS: FILE LISTS
NK/1 FAUNA AND FLORA
NK/2 BOUNDARIES AND NEIGHBOURING COMMUNITIES
NK/3 NEW PARKS/NATIONAL PARKS
NK/4 VISITS BY BOARD MEMBERS AND DIGNITARIES
NK/5 LEGISLATION: NATIONAL PARKS ACT AND REGULATIONS
NK/6 KNP MANAGEMENT/DIRECTORATE/BOARD MEETINGS
NK/7 HONORARY RANGERS
NK/8 PERSONNEL MATTERS
NK/9 SOCIAL ECOLOGY
NK/10 BUILDINGS
NK/11 FINANCES
NK/12 ROADS
NK/13 EXTERNAL ORGANISATIONS
NK/14 ENTRANCE GATES AND BOUNDARIES
NK/15 PERMITS
NK/16 CONGRESSES AND CONFERENCES
NK/17 MARKETING, PUBLICITY AND FILMS
NK/18 WATER FOR GAME
NK/19 WATER DOMESTIC
NK/20 TRANSPORT AND ENGINES
NK/21 INSURANCE AND LICENSES
NK/22 ELECTRICITY/GAS/PARAFFIN
NK/23 TRANSGRESSIONS AND COMPLAINTS
NK/24 MEMORIALS AND MONUMENTS
NK/25 MEDICAL
NK/26 PETS
NK/27 NATURE CONSERVATION MEETINGS
NK/28 REPORTS
NK/29 RADIO, TV AND COMMUNICATION SYSTEMS
Page 168
NK/30 MINING AFFAIRS AND PROSPECTING
NK/31 JOB APPLICATIONS
NK/32 CIRCULARS
NK/33 FIREARMS AND AMMUNITION
NK/34 FLIGHT SECTION
NK/35 EQUIPMENT AND STOCK CONTROL
NK/36 PUBLICATIONS
NK/37 INTERPRETIVE SERVICE
NK/38 FREE ACCOMMODATION
NK/39 KNP EXECUTIVE COMMITTEE AND PLANNING MEETINGS
NK/40 COMPUTERS
NK/41 TRAILS
NK/42 PLANNING
NK/43 MEMBERSHIP OF ORGANISATIONS
NK/44 TOURISM GENERAL
NK/45 SECURITY
NK/46 POLLUTION CONTROL
NK/47 RESEARCH COMMITTEE
NK/48 TECHNICAL SERVICES
NK/49 TRAFFIC SECTION
NK/50 WILDLIFE MANAGEMENT
NK/51 DIRECTOR
NK/52 TPCs
NK/53 ALIEN PLANTS
RESEARCH A GENERAL
B PHYSICAL AND CHEMICAL ASPECTS OF THE ECOSYSTEM
C SOIL
D FAUNA
E FLORA
F MANAGEMENT AND MANIPULATION OF THE ECOSYSTEM
Page 169
FILE PLAN Main entry
Main description File No. Description
NK/1 Fauna & Flora
NK/1/1 Donation and sales of live animals (excluding elephant, buffalo and rhino)
NK/1/2 Donation and sales of buffalo and rhino
NK/1/3 Donation and sale of dead animals/ animal products/trophies
NK/1/4 Sales of elephant (Tenders/Tender documents)
NK/1/5 Donation and sale of predators
NK/1/6 Culling of animals – General (GPU & Meat Inspectors)
NK/1/7 Re-introduction of animals
NK/1/8 Ivory and rhino horn
NK/1/9 Donation and sales of oxpeckers
NK/1/10 Request - removal of trees from personnel Gardens
NK/1/11 Utilisation of renewable natural resources (sand, stone, reeds, tree stumps, etc)
NK/1/12
Donation and sales of botanical products (Traditional healers)
NK/1/13 Game capture meetings (minutes, agendas, reports)
NK/1/14 Game translocation within the KNP
NK/1/15 Firewood
NK/1/16 Problem animals (See NK/50/4)
NK/2 Boundaries and neighbouring communities
NK/2/1 Neighbouring communities
NK/2/2 Riparian owners - Klein Letaba, Crocodile, Sabie River and Croc. River Environmental Group
NK/2/3 Associated private nature reserves (Timbavati, Umbabat, Klaserie and Joint Management Committee)
NK/2/4 Sabi Sand Private Nature Reserve
NK/2/5 Njala Committee
NK/2/6 Maintenance of eastern and western boundaries
NK/2/7 Northern Province Conservation (Manyeleti)
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NK/2/8 Mpumalanga Parks Board (Mtethomusha Game Reserve)
NK/2/8/1 Mpumalanga Environmental Conservation
NK/2/8/2 Conservation Co-ordination Forum (CCF)
NK/2/9 Exchange and acquisition of land (Land claims/disputes) Daannel/Mdluli
NL/2/9/1 Save the Sand (consolidation of Lowveld forests)
NK/2/10 Problem animals neighbouring areas
NK/2/11 Establishing of environmental Conservation and tourism area along the KNP boundaries (TSB/Mbaula/ Bolt/Selati-Olifants Management Forum)
NK/2/12 Kempiana (Wildlife College: see NK/13/28)
NK/2/13 Ngala
NK/2/14 Buffer zones (Mariyetta)
NK/2/15 Mozambique (Gaza Safaris) and Refugees
NK/2/16 Working Group for Law Enforcement with Mozambique
NK/2/17 Zimbabwe/Limpopo
NK/2/18 Transfrontier Conservation Area
NK/2/19 Trilateral Liaison Committee (SA, Mozambique and Swaziland)
NK/2/20 Belfast Development
NK/2/21 Makuleke
NK/3 New parks / National parks
NK/3/1 New national parks – memoranda
NK/3/2 Contract national parks (Mthethomusha)
NK/3/3 National parks in South Africa
NK/3/4 National parks outside South Africa
NK/3/5 Biosphere reserves
NK/4 Visits by board members and dignitaries
NK/4/1 General
NK/4/2 Board members
NK/4/3 Visits and inspections
NK/4/4 Visits VIPs
NK/4/5 Official Visitors
Page 171
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NK/5 Legislation: National Parks Act and Regulations
NK/5/1 National Parks Act and Regulations
NK/5/2 Recommendations to amendments (Parks Act)
NK/5/3 Pending cases and legal opinions
NK/5/4 Court cases and correspondence - Local magistrate court
NK/5/5 Code of conduct
NK/5/6 Recommendation to amendments - Code of conduct
NK/5/7 Code of conduct for contractors
NK/5/8 Labour Law/Conditions of Employment Act
NK/5/9 Indemnity, legislation and regulation
NK/5/10 Occupational Health and Safety Act
NK/5/11 Environmental legislation
NK/5/12 Employment Equity Act
NK/5/13 Promotion of Administrative Justice Act, 2000
NK/5/14 Protected Areas Bill
NK/6 KNP: Management / Directorate / Board meetings
NK/6/1 Agenda and minutes KNP management meetings
NK/6/2 Agenda and minutes directorate meetings
NK/6/3 Agenda and minutes board meetings
NK/7 Honorary rangers
NK/7/1 Honorary ranger meetings: agendas and minutes
NK/7/2 Reports, Newsletters
NK/7/3 Honorary Ranger projects
NK/8 Personnel matters
NK/8/0 Confidential (see personal files)
NK/8/1 Organograms
NK/8/2 Permanent personnel (Photos in the hall)
NK/8/3 Temporary personnel
NK/8/4 Diploma students (night drives)
NK/8/5 Resignations
NK/8/6 Recruitment of staff
NK/8/7 Personnel statistics
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NK/8/8 Transfers, appointments and promotions
NK/8/9 Leave records/rules
NK/8/10 Salary structures
NK/8/11 Job descriptions (Patterson)/grading committee
NK/8/12 Merit assessments (MBO)
NK/8/13 Official uniforms
NK/8/14 Insurance
NK/8/15 Pension funds/Provident fund
NK/8/15/1 Emergency Fund
NK/8/16 Income taxes
NK/8/17 Medical services/dentist/doctor/Discovery Health
NK/8/18 ID documents
NK/8/19 Overtime
NK/8/20 Training/training opportunities/training reports
NK/8/21 Bursaries/student loans/emergency funds
NK/8/22 Enquiries/request from personnel
NK/8/23 Boarding schools (Skukuza and Malopeni)
NK/8/24 Boarding schools (High schools)
NK/8/25 Transport of school children/staff
NK/8/26 Injury on duty
NK/8/27 Allocation of houses (personnel housing)
NK/8/28 Establishment table and personnel budget
NK/8/29 Occupational Health and Safety
NK/8/30 Pensioners/ex-employees
NK/8/31 Civil protection (fire fighting etc)
NK/8/32 Awards: bravery (Kruger cross), long service awards, achievement bonuses
NK/8/33 Grievance procedures and cases (In Dr Venter’s office)
NK/8/34 Conditions of employment, contracts, rations, leave
NK/8/35 RDP projects
NK/8/36 CLUB 20
NK/8/37 Liaison committees
NK/8/38 Transformation Task Group
Page 173
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NK/8/39 Affirmative Action Committee
NK/8/40 Human Resources Committee: agendas and minutes
NK/8/41 Squatters
NK/8/42 Skukuza Community Society
NK/8/42/1 Tennis club
NK/8/42/2 Cricket club
NK/8/42/3 Rugby club
NK/8/42/4 Golf club
NK/8/42/5 Bowls club
NK/8/42/6 Equestrian club (horse riding club)
NK/8/42/7 Marathon club
NK/8/42/9 Angling club
NK/8/42/10 Karate cub
NK/8/42/11 Soccer club
NK/8/42/12 Health club
NK/8/42/13 Other clubs (Satara, Letaba, etc)
NK/8/43 Visits to other organisations/ reserves/parks - national and international
NK/8/44 Labour Unions
NK/8/45 Disciplinary hearings (in Dr Venter’s office)
NK/8/46 Overseas trips
NK/9 Social ecology
NK/9/1 General
NK/9/2 Phalaborwa forum
NK/9/3 Hlanganani forum
NK/9/4 Hoxane forum
NK/9/5 Lubambiswano forum
NK/10 Buildings
NK/10/1 Personnel housing (N.G. parsonage
NK/10/2 Official buildings (Ranger posts, 'carports')
NK/10/3 Rest camps
NK/10/4 Airport
NK/10/5 Guest houses and family cottages – Private camps
Page 174
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NK/10/6 Cost estimate (construction) (see NK/11/21)
NK/10/7 Viewing platforms/bird hides (see NK/42/7)
NK/11 Finances
NK/11/1 Budgets - capital
NK/11/2 Budgets - administrative
NK/11/3 Budgets - amendments/instructions
NK/11/4 Budgets - working documents
NK/11/5 Financial reports
NK/11/6 Auditor reports
NK/11/7 Donations (also see NK/18/8 - water for game)
NK/11/8 Potential donors of facilities in the KNP
NK/11/9 Accounts and claims
NK/11/10 S & T
NK/11/11 Acquisitions and quotations
NK/11/12 Debtors
NK/11/13 Petty cash
NK/11/14 Guarantees
NK/11/15 Financial authorisation
NK/11/16 Trust fund - national parks
NK/11/17 Telephone and fax accounts (including cell phones)
NK/11/18 Avis accounts
NK/11/19 Insurance matters
NK/11/20 Funds generation project (article 21 companies)
NK/11/21 Costing estimates (see NK/10/6) costing estimates (see NK/10/6)
NK/11/22 Feasibility studies
NK/11/23 Contracts and agreements
NK/11/24 Financial directives and policies
NK/11/25 Finances - monthly reports
NK/11/26 Finances - unfreezing of posts
NK/11/27 Finances - management committee (Agenda & minutes)
NK/11/28 Finances – minutes of division meetings
NK/11/29 Outsourcing of activities / BPII
Page 175
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NK/12 Roads
NK/12/1 Tourist roads, lookout points and gravel pits
NK/12/2 Firebreak roads
NK/12/3 SANDF subsidised roads
NK/12/4 Notice boards and signposts
NK/12/5 Roads in rest camps and personnel Quarters
NK/13 External organisations
NK/13/1 Department of animal health
NK/13/2 Customs and excise duty
NK/13/3 Dept. transport (meteorological), civil aviation
NK/13/4 SANDF
NK/13/5 Kruger National Park unit
NK/13/6 Transnet
NK/13/7 Airports - comair, SA express, KMIA (see NK/34/6)
NK/13/8 Post office & Telkom
NK/13/9 Educational institutions (Department of education) schools, technicons, universities
NK/13/10 Foreign affairs (Visa and entrance reservation lists)
NK/13/11 Mining (Phalaborwa mining Co & FOSKOR) (see NK/30/4) Teba)
NK/13/12 Map studio and other maps
NK/13/13 Department of water affairs
NK/13/14 Department of tourism (SATOUR) (Dept of Env. Affairs and Tourism)
NK/13/15 Avis (and other car hire companies)
NK/13/16 A.A. of South Africa (Emergency Road services KNP)
NK/13/17 Natal Parks Board, and other provincial environmental conservation departments (see NK/2/7 and NK/2/8)
NK/13/18 Zoos and botanical gardens
NK/13/19 Department Health and Welfare
NK/13/20 Wildlife Protection Society
NK/13/21 Game Rangers Association of Africa
NK/13/22 Local Transitional Council
NK/13/23 Dutch Reformed Church and other church
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denominations
NK/13/24 Department of Manpower
NK/13/25 SAPS General/Department of Justice
NK/13/26 Volkskas Bank (ABSA)
NK/13/26/1 First National Bank
NK/13/27 Travel agencies (courier services etc.)
NK/13/28 NGOs (Wildlife college - WWF) Non government organisations
NK/13/29 Hunting associations, game farmers etc.
NK/13/30 Hotels, public resorts etc. (FEDHASA, safari lodges, SATA, Aventura)
NK/13/31 SABC
NK/13/32 TOTAL
NK/13/33 VODACOM
NK/13/34 MTN
NK/14 Entrance gates & boundaries
NK/14/1 Entrance gates - general
NK/14/2 Gate closing times
NK/14/3 Boundaries and fencing, land surveys etc.
NK/14/4 Ranger section boundaries
NK/14 Permits
NK/15/1 "Koedoekoppe" (new requests, SADF)
NK/15/2 Motorcycle permits
NK/15/3 Open vehicle permits (Mafisa/Pretoriuskop)
NK/15/4 Standing free entry permits (reps. etc.)
NK/15/5 Standing free entry permits (Sabie Sand, Sabie Park and Lisbon)
NK/15/6 Standing pension permits
NK/15/7 Standing taxi permits
NK/15/8 Standing goods sold in personnel living quarters permits
NK/15/9 Permit to visit closed areas in the Park
NK/15/10 After hours driving (late permits)
NK/15/11 Permission to exceed the speed limit
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NK/15/12 Fishing permits
NK/15/13 Toulon permits
NK/15/14 Children - standing permits after hours
NK/15/15 Permits Shangoni - western boundary
NK/15/16 Veterinary services permits
NK/16 Congress and conferences
NK/16/1 Congresses
NK/16/2 Conferences
NK/16/3 Strategic adaptive management (SAM)
NK/16/4 Workshops
NK/17 Marketing, publicity and films
NK/17/1 Press and press releases (also in Magazines)/response to newspaper articles
NK/17/2 Film, TV and radio groups
NK/17/2/1 SANHU
NK/17/3 Liaison and marketing groups
NK/17/4 Radio safari
NK/17/5 Marketing projects
NK/17/6 My Acre of Africa
NK/18 Water for game
NK/18/1 General
NK/18/2 Drilling programme and groundwater
NK/18/3 Windmills and other installations, pumps, engines, solar energy,
NK/18/4 Earth dams
NK/18/5 Concrete dams and weirs/fishways
NK/18/6 Reservoirs and drinking troughs
NK/18/8 Donations (water for game see NK/11/7)
NK/19 Water domestic
NK/19/1 Water management committee
NK/19/2 Rest camps
NK/19/3 Staff villages
NK/19/4 Ranger posts
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NK/20 Transport and engines
NK/20/1 General correspondence and tariffs
NK/20/2 Accident committee
NK/20/3 Motorcycles
NK/20/4 Official travel - comair
NK/20/5 Fuel, transport and engines
NK/20/6 Private vehicles - personnel
NK/20/7 Transport of animals
NK/20/8 Subsidised vehicles
NK/20/9 Bicycles
NK/21 Insurance and licences
NK/21/1 General
NK/22 Electricity/Gas/Paraffin
NK/22/1 General
NK/22/2 Eskom and powerlines
NK/22/3 Power supply - remote ranger posts
NK/22/4 Alternative power supplies
NK/23 Transgressions and complaints
NK/23/1 Transgressions by personnel and guests of personnel
NK/23/2 Transgressions by tourists (public)
NK/23/3 Complaints from personnel
NK/23/4 Complaints from tourists (public)
NK/23/5 Letters from the public (general)
NK/24 Memorials, monuments and place names
NK/24/1 General
NK/24/2 Place names
NK/25 Medical
NK/25/1 General
NK/25/2 Malaria
NK/25/3 Health Service (industrial nurses)
NK/25/4 Research
NK/25/5 Dental services (Medunsa)
NK/25/6 SA Medial Services (SANDF)
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NK/26 Pets
NK/26/1 General
NK/26/2 Dogs
NK/26/3 Horses
NK/27 Nature conservation meeting
NK/27/1 Standing committee for conservation Services (agendas and minutes)
NK/27/2 Rangers' meetings (agenda and minutes) (Twanana Minutes)
NK/27/3 Conservation services management committee meetings (agendas and minutes)
NK/27/4 Annual general meetings (agendas and minutes)
NK/27/5 Wilderness management committee
NK/28 Reports
NK/28/1 Annual reports
NK/28/2 Monthly, quarterly and six monthly Reports, management information
NK/28/3 Veterinary reports
NK/28/4 Other reports
NK/29 Radio/ TV and Communications
NK/29/1 General
NK/29/2 Short wave radio
NK/29/3 BHF sets
NK/29/4 Radio and TV licenses (see NK/21/1)
NK/30 Mining affairs and prospecting
NK/30/1 General - search for treasures
NK/30/2 Coal mining (Tsikondeni)
NK/30/3 Madimbo corridor
NK/30/4 Phalaborwa mining company and FOSKOR (see NK/13/11)
NK/31 Job applications
NK/31/1 General
NK/31/2 Temporary workers and students
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NK/32 Circulars
NK/32/1 To Nature conservation and research personnel
NK/32/2 To all personnel
NK/32/3 Circulars received from all other divisions
NK/32/4 Circulars to heads of divisions
NK/33 Firearms and ammunition
NK/33/1 General
NK/33/2 Weapon safe
NK/33/3 Stock control
NK/33/4 Instrument maker
NK/34 Flight section
NK/34/1 General
NK/34/2 Landing fees
NK/34/3 Work outside the KNP
NK/34/4 Complaints and transgressions
NK/34/5 Microlites
NK/34/6 Landings strips and helipads
NK/35 Equipment and stock control
NK/35/1 General and stock take
NK/35/2 Obsolete Items (written off)
NK/35/3 Quotations and enquiries
NK/35/4 Stock control
NK/35/5 Annual auction
NK/36 Publications
NK/36/1 Timbila
NK/36/2 Guide brochures
NK/36/3 Koedoe
NK/36/4 Trompetter
NK/36/5 Publications on KNP - tourist maps (Jacana education)
NK/36/6 Publications on other national parks
NK/36/7 Kiewiet
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NK/37 Interpretative services
NK/37/1 General
NK/37/2 Induction courses
NK/37/3 Training of tour guides
NK/37/4 Information planning meeting
NK/37/6 Courier cervices, ecology courses and bush camps
NK/37/7 Information programmes
NK/37/8 Bush drives/day excursions
NK/37/9 Night drives/bush braais
NK/37/10 Stevenson Hamilton Library
NK/37/11 Elephant exhibition hall (at Letaba)
NK/37/12 Berg-en-Dal environmental conservation Centre
NK/37/13 Albasini/Masorini
NK/37/14 Thulamela
NK/37/15 IMBEWU
NK/37/16 Nursery
NK/37/17 Quality assurance/evaluation
NK/38 Free accommodation
NK/38/1 Students/project holders and other visitors
NK/39 KNP Executive committee and planning meetings
NK/39/1 KNP Executive Committee – agenda
NK/39/2 KNP Executive Committee – minutes
NK/39/3 KNP Executive Committee - general documentation
NK/40 Computers
NK/40/1 General
NK/40/2 Software
NK/40/3 Hardware
NK/40/4 Cybertrackers
NK/41 Trails
NK/41/1 General
NK/41/2 Letters of praise, criticism and enquiries
NK/41/3 Planning
NK/41/4 Training
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NK/41/5 Annual reports (diaries)
NK/41/6 Budgets
NK/41/7 Tariffs
NK/41/8 Minutes and agendas of meetings
NK/41/9 Problems with dangerous animals and other management problems
NK/41/10 Primitive wilderness trails
NK/41/11 Sponsoring of trails camps
NK/41/12 Maintenance
NK/41/13 Circulars
NK/41/14 4 x 4 Trails (Lebombo Overland Eco Trail)
NK/41/15 Day walks
NK/41/16 4 x 4 Adventure Routes
NK42 Planning
NK/42/1 Long term planning
NK/42/2 Master plan
NK/42/3 Submissions of amendments to the master plan
NK/42/4 Approved changes to master plan
NK/42/5 Zoning of the Kruger National Park
NK/42/5/1 Concessions (General)
NK/42/5/2 Lwakahle concession
NK/42/5/3 Mpanamana concession
NK/42/5/4 Jock of the bushveld concession
NK/42/5/5 Jakkalsbessie concession
NK/42/5/6 Nwanetsi concession
NK/42/5/7 Mluwati concession
NK/42/5/8 Letaba concession
NK/42/5/9 Mutlumuvi concession
NK/42/6 Development plan
NK/42/6/1 Berg-en-Dal
NK/42/6/2 Crocodile bridge
NK/42/6/3 Lower Sabie
NK/42/6/4 Pretoriuskop
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NK/42/6/5 Skukuza
NK/42/6/6 Tshokwane
NK/42/6/7 Nwanetsi
NK/42/6/8 Orpen (Kingfisherspruit)
NK/42/6/9 Satara
NK/42/6/10 Olifants
NK/42/6/11 Phalaborwa
NK/42/6/12 Letaba
NK/42/6/13 Mopani
NK/42/6/14 Shingwedzi
NK/42/6/15 Vlakteplaas
NK/42/6/16 Punda Maria
NK/42/6/17 Pafuri
NK/42/6/18 Biyamiti
NK/42/6/19 Jakkalsbessie
NK/42/6/20 Talamati
NK/42/6/21 Shimuwini
NK/42/6/22 Boulders
NK/42/6/23 Bateleur
NK/42/6/24 Sirheni
NK/42/6/25 Malelane Camp
NK/42/6/26 Jock Camp
NK/42/6/27 Nwanetsi Camp
NK/42/6/28 Roodewal Camp
NK/42/6/29 Balule
NK/42/6/30 Tambotie Tent Camp
NK/42/6/31 Picnic spots
NK/42/6/32 Tented safaris
NK/42/7 Other new facilities (Bird hides see NK/10/7)
NK/42/8 Integrated Environmental Management (EIAs) - General
NK/42/8/1 EIA - Internal KNP development
NK/42/8/2 EIA - External development
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NK/43 Membership of organisations
NK/43/1 Board
NK/43/2 Individual personnel
NK/44 Tourism development and marketing general
NK/44/1 Rest camp grounds and fences
NK/44/2 Monthly tourism statistics (bed occupancy, tariffs, shop, restaurant)
NK/44/4 Minutes rest camp managers meeting and shop managers)
NK/44/5 Questionnaires
NK/44/6 Tourism: reports/trade accounts/rest camps/restaurants
NK/44/7 General
NK/45 Security
NK/45/1 General
NK/45/2 Fire fighting
NK/45/3 Security control
NK/45/4 NOSA regulations, evaluations etc.
NK/45/5 Training - security guards
NK/45/6 Area Protection Committee (APC - Secret) (file locked up)
NK/45/7 Privatisation of security
NK/46 Pollution control
NK/46/1 Reports
NK/46/3 Sewage dams and water quality
NK/46/4 Solid waste management
NK/46/5 Air pollution/noise pollution
NK/46/6 Hazardous chemicals (risk management)
NK/47 Research committee
NK/47/1 Agendas and minutes
NK48 Technical services
NK/48/1 Agendas and minutes technical services meetings
NK/48/2 Agendas and minutes co-ordinating committee
NK/48/3 General
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NK/48/4 Constructions
NK/48/5 Maintenance
NK/48/6 Electricity
NK/48/7 Transport depot
NK/48/8 Technical services: monthly reports
NK/49 Traffic section
NK/49/1 Letters of praise and criticism
NK/49/2 Management - training, instructions
NK/49/3 Rules and regulations (fine lists)
NK/49/4 Correspondence magistrate and other traffic departments
NK/49/5 Exceeding speed limits tourists
NK/49/6 Exceeding speed limits personnel - final warning lists
NK/49/7 Admission of guilt
NK/49/8 Illegal after hours travel
NK/50 Wildlife management
NK/50/1 General
NK/50/2 Management Policies (fire programmes)
NK/50/3 Anti-poaching (In Dr Venter’s office)
NK/50/3/1 Payment of informers (In Dr Venter’s office)
NK/50/4 Problem animals - general
NK/50/5 Environmental management - training of outside organisations
NK/50/6
Ex gratia payments (In Dr Venter’s office)
NK/50/7 Soil erosion
NK/50/8 Exclosures
NK/51 Director
NK/51/1 Social functions (centenary celebrations)
NK/51/2 Speeches
NK/51/3 Director’s meetings (agendas and minutes)
NK/52 TPCs
NK/52/1 General
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NK/52/2 Unintended fires
NK/52/3 Silt concentration in Olifants river
NK/52/4 Directional loss of rocky habitats in the Sabie river
NK/52/5 Rare animals
NK/52/6 Azolla filiculoides
NK/52/7 Chromolaena odorata (triffid weed)
NK/52/8 Oreochromis niloticus (Nile tilapia)
NK/52/9 Agave sisalana (Sisal)
NK/52/10 Helianthus annuus (sunflower) and Nicandra physaloides (apple of peru)
NK/52/11 Tithonia diversifolia (mexican sunflower)
NK/52/12 River water quality
NK/52/13 Varroa mite
NK/52/14 Acridotheres tristis (Indian myna)
NK/52/15 Hypophtalmichtys molitrix (silver carp)
NK/52/16 Arundo donax (giant reed)
NK/52/17 Cardiospermum halicacabum (balloon vine)
NK/52/18 River flow in KNP
NK/52/19 Aplexa marmorata: Physa acuta; Lymnaea columella
NK/52/20 Colocasia esculenta (L.) Schott
NK/52/21 Parthenium hysterophorus
NK/52/22 Eichhornia crassipes (water hyacinth)
NK/52/23 Austrocylindropuntia cylindrica
NK/52/24 Tarebia granifera
NK/52/25 Opuntia stricta
NK/52/26 Bryophyllum delagoense
NK/52/27 Harrisia martini
NK/53 Alien plants
NK/53/1 Alien Plants (previously NK/46/2)
NK/53/2 Working for Water: General
NK/53/3 Working for Water: Poverty Relief Project
NK/53/4 Working for Water: Royal Netherlands Project
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NK/54 Game processing unit
NK/54/1 General
NK/54/2 Management policies
NK/54/3 Finances
NK/54/4 Veterinary services
NK/54/5 South African Bureau of Standards (SABS)
NK/54/6 Research projects
NK/54/7 Abattoir legislation and regulations
NK/54/8 Factories Act
NK/54/9 OSH Act
NK/54/10 Animal Diseases and Parasites Act
NK/54/11 Other legislation
NK/54/12 Fresh meat production (venison)
NK/54/13 Fresh meat production (beef)
NK/54/14 Biltong production
NK/54/15 Canned meat production
NK/54/16 Hides and skins production
NK/54/17 Carcass meal production
NK/54/18 Ivory production
NK/54/19 Horns and trophies production
NK/54/20 Sales and tenders - canned meat
NK/54/21 Sales and tenders - carcass meal
NK/54/22 Sales and tenders - ivory
NK/54/23 Sales and tenders - by-products
Page 188
RESEARCH
Main entry
Main description
File No. Description
A General A/1 Historical Information KNP A/1/1 Trust Articles of J Stevenson-Hamilton A/1/1 Place Names - translations A/2 Tourism as ecological factor A/3 Reports and correspondence re conferences, symposia,
etc. A/3/1 Wildlife utilisation forum A/4 Visits from other scientists and other A/5 Visits of personnel to other institutions A/6 Correspondence with reference to publications A/7 Correspondence-projects A/7/1 Ecosystem-project A/7/2 Statistical modulating A/7/3 Ecological fire research A/7/4 Reports A/7/5 ICSU - IGBP A/8 Requests for reprinting A/9 SARCCUS Sub-committee (+ MUNC) A/9/2 Advisory committee botanical A/9/3 Task Group Savannah Dynamics A/10 Scientific apparatus, building material etc. correspondence A/11 Stevenson-Hamilton (literature etc.) A/12 Museum / general A/13 Funds expenditure research A/14 Visiting researchers/project holders A/14/1 OTS A/14/2 Andrew W Mellon Foundation A/15 Bursaries and awards A/16 NAKOR (RAMSAR) A/17 MANAGEMENT COUNCIL SNI A/18 IUCN - (also see SP/12 - series) A/18(a) Environment council A/18(b) Species survival commission A/18(c) CITES A/18(d) IUCN: Commission on National Parks and Protected areas A/19 General enquiries A/20 Infoterra A/20/1 GIS (Geographic information systems). A/21 Scientific liaison A/22 General A/23 Registered projects - national parks
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File No. Description
A/24 Land Ecosystem Newsletter A/25 Survival A/26 Research committee A/27 Environmental auditing A/27/1 Environmental economics A/28 Environmental impact studies A/29 Research: philosophy and goals A/30 Biodiversity B Physical and chemical aspects of the ecosystem B/0 Atmosphere (quality, analyses, air pollution etc.) B/1 Climate (rainfall, temperature) B/1/1 Quality of rainfall B/2 Topography B/3 Archaeology B/3/1 Palaeontology B/4 Geology B/5 Water (distribution, quality - analysis) B/5/1 Water research B/6 Soil (classification, quality - analysis) B/7 Aerial photography B/8 Rivers and River systems B/8/1/1 Limpopo/Luvhumbu- general B/8/2/1 Shingwedzi system - general B/8/3/1 Letaba - general B/8/3/2 Greater Letaba Head Irrigation Council B/8/4/1 Olifants - general B/8/4/2 Olifants/Sand pumping sheme B/8/4/3 Olifants River Forum B/8/4/4 Phalaborwa Barrage Silt Work Group B/8/4/5 Olifants River Water Management Committee B/8/5/1 Nwanedzi/Nwaswitsontso - General B/8/6/1 Sabi - general B/8/6/2 Sabi River Working Group B/8/6/3 Hoxane Head Irrigation Council B/8/7/1 Crocodile River - General B/8/7/2 Crocodile Head Irrigation Council B/8/8/1 KNP Rivers Research Programme - General B/8/8/2 Executive and Management Committees B/8/8/3 Logistics B/8/9 River management B/8/9/1 Rivers - general B/8/9/2 Quality - general B/8/9/3 Flow - general
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C Soil use c/ Conditions in areas and tendencies (NP and other) D Fauna D/1/1 Elephant D/1/1(a) Ivory D/1/2 Rhinoceros D/1/2/1 WWF Rhino Project D/1/3 Hippopotamus D/1/4 Buffalo D/1/5 Zebra D/1/6 Wildebeest D/1/7 Impala D/1/8 Kudu D/1/9 Roan D/1/10 Sable D/1/11 Tsessebe D/1/12 Steenbuck D/1/13 Lion D/1/14 Leopard D/1/15 Hyena D/1/16 Wild dog D/1/17 Baboon D/1/18 Reedbuck D/1/19 Vervet monkey D/1/20 Other D/1/21 Eland D/1/22 Cheetah D/2 Enquiries from outside institutions - general D/3 Requests for zoological material D/4 Geographic data D/4/1 Distribution of animals (KNP) D/4/2 Distribution of animals (other regions) D/4/3 Migration and seasonal movements D/4/4 Threatened species (rare types managements) D/5 Survey classification, identification (naming) etc. D/5/1 Insects, butterflies D/5/2 Invertebrates (other than insects) D/5/3 Fish D/5/4 Amphibians D/5/5 Reptiles D/5/5/1 Reptile forms D/5/6 Birds D/5/7 Mammals D/5/8 Exotic animals
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D/6 Numbers and density of animals D/6/1 General D/6/2 Census methods D/6/3 Census results D/7 Age and sex definition D/7/1 Age definition (methods) D/7/2 Sex definition (criteria and characteristics) D/8 Reproduction D/8/1 General D/9 Morphology D/9/0 General D/9/1 Growth curves D/9/2 Weights D/9/3 Measurements D/10 Population dynamics D/10/1 Group composition D/1O/2 Sexual interaction in game populations D/10/3 Life expectancy of animals D/10/4 Growth tempo and influencing factors D/10/5 Animal reproduction, energy flow and biomass D/10/6 Simulation Models D/11 Animal behaviour D/11/1 Animal behaviour D/12 Animal Physiology D/12/1 Influence of the environment D/12/2 Physiological measurements (methods etc.) D/13 Feeding D/13/1 Habitat preferences D/13/2 Food preferences and intake D/13/3 Feeding requirements re. milk D/13/4 Water: requirements and habits D/13/5 Mineral requirements and deficiencies D/14 Competition between animals D/14/1 Prey/predator relationships D/14/2 Man as predator D/14/3 Competition in species D/14/4 Competition between herbivores D/14/5 Deaths general (carcass reports) D/15 Utilisation of game D/15/1 Game farming D/15/2 Animal products and marketing D/15/3 Game culling D/16 Animal diseases D/16/1 General
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D/16/2 Bacteriological and micrological (fungal) diseases D/16/3 Anthrax D/16/3/1 Reports to rangers D/16/4 Virus diseases D/16/5 Protozoological diseases D/16/6 External parasites D/16/7 Internal parasites D/16/8 Poisons D/16/9 Pathological results D/16/10 Bovine tuberculosis D/16/10/1 BTB study group D/16/11 Foot-and-mouth disease D/17 Capture, transport and marking of game D/17/1 Tranquillisers immobilisation D/17/2 Prescriptions D/17/3 Transport D/17/4 Marking methods D/17/5 Telemetry and other finding apparatus and methods D/17/6 Permits (import permits) - legal aspects D/17/7 Instrument maker D/17/8 Capture and marking of Birds D/17/9 Mechanical capture methods D/17/10 Legal aspects D/17/11 Game capture equipment D/17/12 Game capture: general D/18 Veterinary services D/18/1 General D/18/2 World Association of Wildlife Veterinarian (WAWV) D19 Animal Use and Care Committee D/20 Parks Development Fund D/20/1 Rhino sales D/20/2 Elephant sales D/20/3 Buffalo sales E FLORA E/1 Enquiries from outside institutions - general E/2 Requests for botanical material E/3 Geographic data E/3/1 Distribution of plants and plant communities (KNP) E/3/2 Distribution of plants and plant communities (other regions) E/3/3 Endangered species E/3/4 Factors that influence the spread of plants E/4 Classification and Identification (naming) E/4/1 General E/4/2 Names of wood types
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E/5 Primary production E/5/1 Carrying capacity E/5/2 Chemical composition E/6 Survey methods E/7 Phonology (flowering times etc.) E/8 Monitor areas (tendencies) E/9 Plant diseases E/10 Invasive plants E/11 Determination of plant ages E/12 Veld condition F Management and manipulation of the ecosystem F/1/1 Game control (general) F/1/2 Reports and quotas (KNP) F/1/3 Predator control F/1/4 Control reports F/2 Managing of plants with chemical, biological and mechanical
methods F/3 Veld fires F/3/1 Research F/3/2 Controlled fires F/3/3 Accidental fires F/3/4 Veld fire ecology. National research programme F/4 Grazing Management with water licks and veld fires F/5 Control and influence of insects, rodents (locust control) F/6 Erosion F/7 Pollution F/8 Game in captivity F/9 Research ecosystems conservation
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APPENDIX C
SANParks PAIA MANUAL
Prepared in terms of section 14 of
The Promotion of Access to Information Act, 2000 (Act 2 of 2000)
for
SOUTH AFRICAN NATIONAL PARKS (SANParks)
TABLE OF CONTENTS Page
Particulars in terms of section14
The functions and structure of SANParks [Section 14(1)(a)]
Functions of SANParks
A schematic diagram of the structure of SANParks
The structure of SANParks
Board of SANParks
Contact details [Section 14(1)(b)]
Information officer
Deputy information officer
The section 10 Guide on how to use the Act [Section 14(1)(c)]
Access to the records held by SANParks [Section 14(1)(d)]
Automatic disclosures [Section 14(1)(e)]
Records that may be requested [Section 14(1)(d)]
The request procedures
Services available [Section 14(1)(f)]
Nature of services
How to gain access to these services
Arrangement allowing for public participation in the formulation of policy and the
exercising of the powers of SANParks [Section 14(1)(g)]
Remedies available if the provisions of this Act are not complied with [Section 14(1)(h)]
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Other information as prescribed in terms of the Act [Section 14(1)(i)]
Updating of the manual [Section 14(2)]
Availability of the manual [Section 14(3)]
Exemption by the Minister of Justice and Constitutional Development from any provision
of this Section for a determined period [Section 14(5)]
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PARTICULARS IN TERMS OF SECTION 14
The functions and structure of South African National Parks (SANParks) [Section 14(1)(a)]
The function of SANParks
The function of SANParks as prescribed by section 12 of the National Parks Act, 1976
(Act 57 of 1976) is to control, manage and maintain the national parks of South Africa and
to utilize its revenues for that purpose.
A schematic diagram of the structure of SANParks
Revision date 09/09/04
Exec DirCorporateServices
Exec DirConservation
Services
Exec Dir Tourism
Dev/Tourism
Exec DirKNP
Exec DirParks
HeadHuman
Resources
Exec DirPeople &
Conservation
HeadCorporateComms
COO Executive ManCE’s office
PA
BoardSecretary Audit
CE
SANParksBoard
Minister
AdminProcurement& BEEFinance Legal
SANParksOrganogram
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The structure of SANParks
SANParks consists of a Head Office that is situated in Groenkloof, Pretoria and 20
national parks. Details of the various national parks are available on the SANParks
website www.sanparks.org and at central reservations.
The Board of SANParks is made up of 18 members including the Chairperson. All
members have been appointed for a 3-year term subject to enactment of the Protected
Areas Bill.
Board of SANParks as at August 2004
The South African National Park’s Board is the highest decision-making body of
SANParks and is appointed by the Minister of Environmental Affairs and Tourism.
Members of the Board
Dr Tanya Abrahamse
Ms Charmaine Phillida Klein
Mr Bernard Mnakwazo Kwaaiman
Ms Vuyokazi Mbelani
Mr Mduduzi Too-Good Mchunu
Mr Mogomotsi Edward Mokgatle
Mr Gabriel Molefe Mokgoko
Mr Meshack Siboshwa Nkosi
Ms Phindile Nzimande
Dr Zarina Patel
Mr John Samuel
Mr Zakhele Johannes Sithole
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Mr Thamsanqa Sokutu
Prof Willem van Riet
Ms Sheila Vrahimis
Prof W F van Riet
Mr Clive Walker
(2 vacant positions)
SANParks Executive Management as at August 2004
The Board performs its functions through the various departments headed by the Chief
Executive, Dr. D Mabunda. The Executive Directors and Heads of Departments handle
the day-to-day management of the organisation.
Dr David Mabunda Chief Executive
Sydney Soundy Chief Operating Officer
Pauline van der Spuy Executive Manager to the CE
Dr Isidore Bandile Mkhize Executive Director: Kruger National Park
Aniel Soma Chief Financial Officer (CFO)
Glenn Phillips Executive Director: Tourism Development and
Marketing
Paul Daphne Executive Director: Parks
Hector Magome Executive Director: Conservation Services
Dr Razeena Wagiet Executive Director: People & Conservation
Josias Chabani Head: Human Resources
Wanda Mkutshulwa Head: Corporate Communications
Contact details [Section 14(1)(b)]
Information officer:
Mr A Soma
Tel: (012) 426-5000
Fax: (012) 343-8460
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Deputy information officer:
Ms P van der Spuy
Tel: (012) 426-5000
Fax: (012) 426 5403
General information:
Address:
SANParks
643 Leyds Street
Muckleneuk
PRETORIA
Postal address:
SANParks
P O Box 787
PRETORIA, 0001
SOUTH AFRICA
Telephone: (012) 426-5000
Fax: (012) 343-0155
Website: www.sanparks.org
Pretoria central reservations:
Tel: (012) 428-9111
Fax: (012) 343-0905
The section 10 Guide on how to use the Act [Section 14(1)(c)]
The guide will be available from the South African Human Rights Commission by not later
than August 2003
Access to the records held by SANParks [Section 14(1)(d)]
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Automatic disclosures [Section 14(1)(e)]
A notice in terms of section 15(2) describes the categories of record of SANParks that are
available without a person having to request access in terms of the Act. No notice in
terms of section 15(2) has been issued to date.
Voluntary disclosures:
SANParks publications
1. “Kiewiet” – internal staff newsletter
2. “Koedoe” – Scientific Journal
3. Annual Report.
4. Brochures on national parks and facilities –obtainable from reservations.
i. Records that may be requested [Section 14(1)(d)]
Description of the subjects of records held by SANParks:
• Records required in terms of the National Parks Act and the Regulations published
in terms of that Act
• Records in terms of other legislation applicable to SANParks
• Services offered by SANParks
• Clients of SANParks
• Research conducted
• Annual Reports
• Operational reports
• Records of meetings
• Policies
• Employment records and other related records
• asset register
• Financial records
• Strategic and management plans
• Records of workshops and conferences attended
• Papers presented
• Archive material
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Description of the categories of records held by SANParks:
• Confidential
• Personal
• Commercial
• Financial
• Statutory
• Legal
• Historical
ii. The request procedures
A requester must be given access to a record of a public body if the requester complies
with the following:
• The requester complies with all the procedural requirements of the Act relating to
the request for access to that record; and Access to that record is not refused on
any ground of refusal mentioned in the Act.
Nature of the request:
• A requester must use the form that has been printed in the Government Gazette
[Govt. Notice R187- 15 February 2002 Form A].
• The requester must also indicate if the request is for a copy of the record or if the
requester wants to come in and look at the record at the offices of the public body.
Alternatively if the record is not a document it can then be viewed in the requested
form, where possible [s 29(2)].
• If a person asks for access in a particular form then the requester should get
access in the manner that has been asked for. This is unless doing so would
interfere unreasonably with the running of the public body concerned, or damage
the record, or infringe a copyright not owned by the state. If for practical reasons
access cannot be given in the required form but in an alternate matter, then the fee
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must be calculated according to the way that the requester first asked for it [s 29(3)
and (4)].
• If, in addition to a written reply to their request for the record, the requester wants to
be told about the decision in any other way, e.g. telephone, this must be indicated
[s 18(2)(e)].
• If a requester is asking for the information on behalf of somebody else, the capacity
in which the request is being made should be indicated [s 18(2)(f)].
• If a requester is unable to read or write, or has a disability, then they can make the
request for the record orally. The information officer must then fill in the form on
behalf of such a requester and give them a copy [s 18(3)].
There are two types of fees required to be paid in terms of the Act, being the request fee
and the access fee s22:
A requester who seeks access to a record containing personal information about that
requester is not required to pay the request fee. Every other requester, who is not a
personal requester, must pay the required request fee:
• The information officer must notify the requester (other than a personal requester)
by notice, requiring the requester to pay the prescribed fee (if any) before further
processing the request.
• The request fee payable to public bodies is R35. The requester may lodge an
internal appeal, where appropriate, or an application to the court against the tender
or payment of the request fee.
• After the information officer has made a decision on the request the requester must
be notified of such a decision in the way in which the requester wanted to be
notified in.
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• If the request is granted then a further access fee must be paid for the search,
preparation, reproduction and for any time that has exceeded the prescribed hours
to search and prepare the record for disclosure.
B. Services available [Section 14(1)(f)]
i. Nature of services
SANParks provides accommodation and day visit services in national parks to members
of the public.
ii. How to gain access to these services
To gain access to the services of SANParks use can be made of the central reservation
service at:
Pretoria central reservations:
Tel: (012) 428-9111
Fax: (012) 343-0905
Day visits can generally be arranged at the entrance gates to national parks. In peak and
other times limitations are placed on the number of day visitors allowed into national parks
and prospective visitors are urged to make prior reservations to avoid disappointment.
Further details can also be found on the SANParks Website at: www.sanparks.org
The Chief Executive of SANParks: Dr. D Mabunda
Address:
SANParks
643 Leyds Street
Muckleneuk
PRETORIA
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Postal address:
SANParks
P O Box 787
PRETORIA, 0001
SOUTH AFRICA
Telephone: (012) 426-5000
Fax: (012) 343-0155
C. Arrangements allowing for public involvement in the formulation of policy and the
exercise of power [Section 14(1)(g)]
At SANParks, such arrangements for public involvement would include:
• Nomination of members of the Board - in terms of the National Parks Act
members of the public can nominate persons for appointment to the Board and be
so nominated..
• Public participation in terms of environmental laws - the public may participate in all
environmental impact assessment processes SANParks is required to undertake by
law.
D. The remedies available if the provisions of this Act are not complied with [Section
14(1)(h)]
SANParks does not have an internal appeal procedure. The courts will have to be
approached in such instance. This would apply to any situation in which the requester
wishes to appeal a decision made by the information officer.
E. Other information as prescribed in terms of the Act [Section 14(1)(i)]
There is currently no information available from the Minister in terms of section 92 to be
placed here.
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F. Updating of the manual [Section 14(2)]
SANParks must, if necessary, update and publish its manual referred to in subsection (1)
of section 14, at intervals of not more than a year.
G. Availability of the manual [Section 14(3)]
Regulation 187 of 15 February 2002 prescribes in section 4(1) that the manual of a public
body must be made available in the following manner:
A copy of the manual in each of the three official languages used will be available at every
place of legal deposit as defined in section 6 of the Legal Deposits Act, 1997, the
SANParks Head Office and at the office of the Head of each National Park.
• The manual is to be published in three of the official languages in the Gazette.
• The manual will be made available on the SANParks website.
H. Exemption by the Minister from any provision of this section for a determined period
[Section 14(5)]
For security, administrative of financial reasons, the Minister may, on request or of his or her
own accord by notice in the Gazette, exempt any public body or category of public bodies
from any provision of this section for such period as the Minister thinks fit. No such
exemption applies to SANParks.
