research topics on records management

Exploring the Challenges Facing Archives and Records Management Professionals in Africa: Historical Influences, Current Developments and Opportunities

• First Online: 12 November 2019

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• Shadrack Katuu 17  

Part of the book series: Heritage Studies ((HEST))

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This chapter explores the growth and development of the archives and records management (ARM) profession in Africa, as well as some of the modern challenges the profession faces. The chapter demonstrates the impact of Africa’s colonial history on the immediate post-colonial developments within the ARM profession, particularly in the paths taken in education and training. The chapter explores a sample of the global engagement efforts by African professionals through the work of the International Records Management Trust as well as research carried through the InterPARES Research Project. The chapter discusses survey data from one of the InterPARES research studies and demonstrates complexities that ARM professionals continue to face in the continent.

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Katuu, S. (2020). Exploring the Challenges Facing Archives and Records Management Professionals in Africa: Historical Influences, Current Developments and Opportunities. In: Edmondson, R., Jordan, L., Prodan, A.C. (eds) The UNESCO Memory of the World Programme. Heritage Studies. Springer, Cham. https://doi.org/10.1007/978-3-030-18441-4_19

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Records Management

• Introduction
• Roles & Responsibilities
• University Records Schedules
• Managing Records
• University Archives and Records Management
• Access University Records

Ask an Archivist!

Contact Special Collections and University Archives with questions about records management, electronic records, web archiving, digital preservation, and searching and using archival records.

What are records?

How does records management work, guide to records management.

This guide is for campus departments to become familiar with records management practices in order to self-assess and implement them, and for the general public to learn about records management requirements at the University of Maryland, College Park.

• Records management facilitates transparency for public office-holders, including elected representatives and employees of public agencies.
• It is a legal obligation that serves accountability and supports historical documentation .
• Records management is also a way to get organized and conduct activities effectively.

Managing Records offers general records management guidance that may be useful to any organization, from student organizations to unions to community groups.

Records are any documentation that an organization creates or receives in the course of its operations.

• Records include documentary material in every form.
• Exceptions include physical artifacts, transitory material (such as informal notes, extra copies, drafts, reference material), and non-business communication.

University records are records created or received by employees of the University of Maryland in connection with the transaction of its business.

The University of Maryland is a public institution, so university records are public records .

• The Annotated Code of Maryland, General Provisions Article, §4–101 , defines a public record as “the original or any copy of any documentary material that (i) is made by a unit or an instrumentality of the State or of a political subdivision or received by the unit or instrumentality in connection with the transaction of public business; and (ii) is in any form.”

Active records refer to records in current use for an organization to perform its ongoing, day-to-day operations.

Inactive records are records that are no longer in current use.

Vital or essential records are records that, in the event of disaster:

• Are necessary for emergency response
• Are necessary to resume or continue operations
• Protect the health, safety, property, and rights of constituents
• Would require massive resources to reconstruct

In the event of extensive disaster or disruption of services, records that document the history of communities and families may also be essential for recovery. (Source: Intergovernmental Preparedness for Essential Records (IPER) Project )

Archival records are records that a repository (such as a library or archives) preserves because an archivist, records manager, or other custodian determines that they have enduring value or offer “evidence of the functions and responsibilities of their creator.” (Source: Society of American Archivists, Dictionary of Archives Terminology )

• Examples in a university context include continuing value to the creating organization and value for teaching and learning.

Records management involves analysis , retention , and disposition of records in order to:

• Fulfill legal responsibilities of the university
• Help campus units work effectively and for the benefit of the campus community
• Document university programs, activities, impact, and historical legacy

Records analysis is how campus units, records managers, and archivists identify important functions of the university and its constituent units. Understanding how the university works tells us which records document those activities. For more about records analysis, see Records self-assessment .

The office of record is the unit responsible for retaining and disposing of specific types of university records.

Records retention is the period of time that an office of record must maintain a type of record before disposing of it. Retention lasts from the time a record is created until a specific condition or milestone has been met, for example:

• a predetermined period of time has passed
• a project is complete
• a contract expires
• department no longer refers to a record regularly
• an employee or student leaves the department

Rarely, a group of records is designated for permanent retention. The University of Maryland Records Schedule specifies retention periods and conditions for campus records.

Records disposition is the set of actions a unit must take when the retention period has expired for a set of records (i.e. the specific condition has been met). Common types of disposition include:

• destroying (shredding paper or erasing electronic media)
• transferring to University Archives
• incorporating the records into another type of file

University records schedules specify the disposition of different types of university records. Campus units disposing of records must submit a Certificate of Records Disposal .

The Maryland State Archives defines a records retention and disposition schedule as “an official document created by a government agency and approved by the State Archivist. A retention schedule lists every type of record that the agency generates and gives the agency authority to transfer permanent records and destroy non-permanent records at specified times.” (Source: Maryland State Archives, Records Officer Guidance )

Groups of records that share a function and retention requirements are called records series .

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AN ASSESSMENT OF THE EFFECTIVENESS OF RECORDS MANAGEMENT PRACTICES IN THE DEPARTMENT OF PHYSICAL WORKS PLANNING AND ESTATES AT NUST

The study sought to assess the extent to which records management practices were aiding the effectiveness and efficiency of the NUST Department of Works. The aims and objectives were to establish strategies used to manage records in the NUST Department of Physical Planning Works and Estates and to explore methods used to preserve and conserve the department’s vital records just to mention a few. It was the assumption of the study that there is a near total collapse of records management systems at the NUST Department of Physical Planning and Works and that study was significant because the findings were going to be used by records students undertaking records management studies. The literature review maintains that an effective records management program anchor on a written records management policies, standards and procedures. The researcher used a case study research design where a single department of NUST was chosen for this study. The population of the research comprised of all NUST Department of Physical Planning staff members of which a sample of ten (10) people were elected through a stratified random sampling procedure To gather information the following research tools were used: observation, interviews and questionnaire. The results indicated that; the department have never appraised or disposed its records ever since its establishment, records had already filled up the strong room which is no longer accessible and some of the records are staffed in boxes and some piled on the floors. It was recommended that the department adopts a records management policy, train its staff on simple records management standards, adopts a records preservation plan, revive the records office and to appraise and dispose records systematically.

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This study correlated the records management strategies of the administrative staff at Laguna State Polytechnic University with their professional performance. The descriptive quantitative research involved 59 administrative staff through the researcher-made survey questionnaire distributed through Google forms. The results of the study proved that there is a significant difference in the records management strategies when grouped according to age, gender, job tenure, and job position in the department. However, there was no significant difference among the professional performances when grouped according to age, gender, job tenure, and job position in the department. The study also confirmed that records management strategies have a positive significant relation to professional performance. The findings can help improve the university policies, procedures, and strategies in managing records. Therefore, it is recommended to provide training programs and improving implementation of e...

International journal of information Information Studies

murtala aminu , Salisu Aliero

Records are a vital asset in ensuring that the institution is governed effectively and efficiently, and is accountable to its staff, students and the community that it serves. The major purpose of this study was to assess record management of the registry department of Kebbistate University of science and technology Aliero. To be able to achieve this objective, research questions were formulated and answers obtained, which centered on records creation, record management policy, challenges facing records management. There view of related literature revealed that there is need for records to be properly managed and in doing so there is need for good records management policy that clearly spells out the various programs required for effective records management. Survey research method was used involving questionnaire, and observation. The findings revealed that the registry department of the University still has a long way to go with respect today records management. The study recommended provision for adequate, modern, safe and functional storage facilities, sufficient and regular funding, recruitment of trained personnel, on the job training for existing staff, computerization of all units records, and uninterrupted power supply to all parts of the unit as a means of ensuring proper records management.

Mercia Katjiveri

Records management is crucial to all organizations including universities. Unless records are managed efficiently, it is not possible to conduct business effectively, and to account for what has happened in the past or to make good decisions about the future. The University of Namibia (UNAM) records management project reported in this article was carried out on the notion that records need to be systematically and continuously managed throughout their life-cycle in an integrated manner. The management of institutional records throughout their life cycle is necessary in order to support strategic business objectives of the university and to preserve corporate memory. The project was an attempt to formalize record-keeping at the university in accordance with international archival standards. Starting with information gathering, the project followed some stages which included the legal and regulatory framework, resources and staffing. The investigation also covered vital functions of the university including finance, human

International journal for innovation education and research

ANGELA EWHONNE NWAOMAH, PhD

Deedenwii B A R I T U R E Neele

STEPHEN OMOLO

The aim of this study was to carry out an assessment of record keeping practices at Moi University dispensary and to suggest solutions to record keeping which will improve health care provision. Study objectives were; to identify records management practices and strategies undertaken in the University dispensary; to find out the professional knowledge and skills of the staff responsible for managing records at the dispensary and to identify the challenges associated with the records management at the dispensary and suggest possible solutions. The research was a case study and qualitative in nature. Observation, document analysis and interview schedules were utilized as instruments for collecting data. Purposive sampling technique was used to select 3 records managers, and 5 records clerks as the study participants. The key findings of the study included; the health unit has not drafted a records management policy; lack of adequate facilities and supplies to records management; poor records management disposal practices for both paper and e-records; lack of awareness on the importance of records and records management among non-records management staff, and; inadequate adoption of ICTs in its records management. The study concluded that both paper and electronic records are managed at the Health unit are faced with challenges. The study proposed the following recommendations: development and putting in use of records management policies, standards, guidelines and procedures; automation of the records management functions at the Health unit; rolling out of records management awareness programs for non-records management staff; and provision of training programs for records management personnel.

Interdisciplinary Social Studies

Andi Rasyid Pananrangi

Background: In the process of presenting information so that leaders can make decisions and plan policies, there must be good systems and work procedures in the archives sector. An institution, be it a state or private institution, will not be able to provide good, complete and accurate information data, if the institution does not have good and regular archive management. Aim: Unveiling and analyzing the performance of archival management services of the Polewali Mandar’s District Department of Public Works and Spatial Planning Office and the obstacles encountered in optimizing service performance carried out by the archives section of the Polewali Mandar’s Department of Public Works and Spatial Planning Office. Method: This study used a qualitative descriptive approach. Data collection techniques were observation at the Polewali Mandar’s Department of Public Works and Spatial Planning, interviews with staff at the department, and documentation (Online and offline). Data analysis w...

Edmond Mulindwa

This study was about Management Active Records in Butambala District Local Government. The study was conducted basing on the main objectives which include; to identify the types of records created and received by Butambala District Local Government, to identify the use of records to the District Local Government, to find out the filing system used when managing the active-records of Butambala District Local Government and finally to identify challenges faced when managing active-records and recommend possible measures to address to these challenges for improvement of inactive-records management in Butambala District Local Government. The researcher reviewed the existing literature related to the topic and primary data was also collected to answer the study objectives. The study unveiled the different types of records created and received by Butambala District Local Government including financial records, administrative records, legal records, personnel records, and research reports. The filing system used when managing the active-records in BDLG were also discovered which included Numeric Filing System, Alphabetic Filing System, Geographical Filing System and Alphanumeric Filing System. All the weaknesses and strength of these systems were also properly articulated. The challenges that are crippling the smooth management of active records in this district were also identified. These challenges include limited storage space, misfiling of records, and theft of sensitive records by corrupt officers and absence of records management profession. The solutions suggested to solve these challenges include; proper shelving, employing qualified personnel, use of both automated and manual records management system, periodic auditing and Providing records security. Questionnaires, observation and interview were very paramount data collection methods used in the study to achieve the research objectives. Data was captured into the Computer using excel processor and then imported into a Scientific Package for Social Scientists (SPSS) to provide logical frequencies and associations. Finally, the study suggested a range of recommendations to improve the active records management. These include but not limited to employing records management professionals, adequate funding of the records departments, and provision of the adequate space to the records storage.

ALWI M O H D YUNUS

There is a growing awareness of the need to manage organization’s records has led to need for professionally trained records personnel. The avalanche of records resulting from the rapid economic growth and industrial development has aggravated such need as well as the increasing number of new departments and agencies. Such scenario, if not handled appropriately will lead to a chaotic condition which may results in disaster. This is due to the fact that poor records management would result in inefficiency and the loss of the memory of the activities vis a history of the nation. With the development of electronic technologies, the problems have been compounded with the creation of records in the electronic forms, which requires a more sophisticated management and preservation. The k-economy emphasizes on knowledge, the bulk of which resides in the records of institution. These call for the well management of records by a team of qualified personnel. The above problems call for well-trained records managers and training programmes like that of the Faculty of Information Management in UiTM. It would be interesting to see how this training programme is instituted in light of the wide application of ICT in the creation of records, and amidst the growth and diversity of knowledge in organizations. In the final analysis, well-trained records managers and archivists are required to ensure the success of the administrative machinery. This has been another great challenge in the training programme in compliance with the need for the new breeds of information and knowledge workers.

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Records Management Journal

ISSN : 0956-5698

Article publication date: 28 June 2018

Issue publication date: 6 August 2018

This study aims to find out how the e-records management subject has been researched and tackled by researchers in the Eastern and Southern African Regional Branch of the International Council on Archives (ESARBICA).

Design/methodology/approach

This research paper applied a bibliometric survey, where a quantitative survey of the literature pertaining to the study of e-records management in the ESARBICA region, covering the period from 2000 to 2016, was conducted applying bibliometric methods. The survey aimed at providing descriptive data that cast a spotlight on the features and development of the e-records management base literature in the ESARBICA region.

The research data display a lamentable outlook in the contribution to the electronic records management body of knowledge from the ESARBICA region. Few research articles from professionals in the records and archives management are being published. These figures call for increased investments in electronic records management research by institutions in ESARBICA, as management of electronic content has become the centre of political and socio-economic development. Follow-up studies need to be done to counter limitations placed on this research paper. The findings show that there is under production of research publications in the ESARBICA region. The region only contributed 2 per cent of the total world output in the period under review and in the study of electronic records management from journals indexed by Scopus.

Research limitations/implications

A bibliometric study places researchers at the mercy of analysing incomplete information due to limitations of resources. The variance in use of terminology (key words) by authors in published research articles may entail some being left out in an analysis of articles the same subject matter. As much as due diligence was placed on using Boolean search methods to counter such limitations they are unavoidable. An interpretation of bibliometric or citation analysis research is subjective as some analysts may label results incomplete or unreliable; hence, this paper finds itself in the same predicament. Inability to access the Thompson Reuters Web of Science database left the authors with Scopus as the only option, as Google Scholar was overlooked due to difficulties of having to rely on third-party software for analysing its indexed content that are mostly inaccurate and or ambiguous.

Practical implications

The findings of this study help uncover areas in e-records management, which have been researched over the years, and identify the prominent e-records management researchers in the ESARBICA region.

Originality/value

A number of bibliometric studies have been conducted; however, none has been conducted to establish e-records management research trends in the ESRABICA region.

• Records management
• Researchers
• Electronic records management
• Bibliometric

Chigariro, D. and Khumalo, N.B. (2018), "Electronic records management research in ESARBICA: a bibliometric study", Records Management Journal , Vol. 28 No. 2, pp. 159-174. https://doi.org/10.1108/RMJ-12-2016-0045

Emerald Publishing Limited

Copyright © 2018, Dickson Chigariro and Njabulo Bruce Khumalo.

Published by Emerald Publishing Limited. This article is published under the Creative Commons Attribution (CC BY 4.0) licence. Anyone may reproduce, distribute, translate and create derivative works of this article (for both commercial and non-commercial purposes), subject to full attribution to the original publication and authors. The full terms of this licence may be seen at http://creativecommons.org/licences/by/4.0/legalcode

Introduction

Electronic records management has become a game changer in the records and archives management field. Traditional records and archives management work procedures, work methods, theories and principles have been questioned and new schools of thought, paradigms and philosophies birthed. Researchers and scholars in the records and archives management field have also pursued research on e-records management and such research has been varied and been different. Research interests and output show the developments within a country and or region and thus an analysis of such research output in the Eastern and Southern African Regional Branch of the International Council on Archives (ESARBICA) region goes a long way in reflecting on its advances. Wamukoya and Mutula (2005a , 2005b , p. 72) highlighted that the management of e-records is acknowledged by both governments and records management professionals as a global problem. The research seeks to investigate into problems being faced by communities and thus, e-records management research in the ESARBICA region apprises of what problems have been identified and investigated by researchers in the region. Kemoni (2009) highlighted that from South Africa, most countries in the ESARBICA region face various problems in managing e-records and to enhance the management of e-records in the region, there is need for governments and directors of National Archives within the ESARBICA region to implement the recommendations proposed by various records and archives management researchers/scholars and practitioners. As countries in the ESARBICA region seek to develop e-records management, there is a need for capacity building which will ultimately be informed by research findings and recommendations. The International Records ManagemenTrust (IRMT) (2004) pointed out that as e-government services are delivered using new Information and Communication Technologys, the intended benefits will be compromised unless the issue of capacity building is addressed.

An analysis of research trends in e-records management in the ESARBICA region will show the problems facing the region in this subject area. Furthermore, such an analysis is important in showing which research areas are over/under-researched. Technology is dynamic and ever-changing, and thus, research trends can show whether researchers and scholars are investigating pertinent issues which are in line with developments in technology. Research also has the capacity to show whether there is sufficient capacity and training to articulate e-records issues. Kalusopa (2011) noted that there is no well-articulated guidance and input to policymakers and planners from records and information managers, and national archivists in the ESARBICA . Furthermore, Katuu (2004) indicated that various individual countries seem to be struggling with the same issues in e-records management, in their local environments, but little seems to be done in terms of regional or international consultation or cooperation to avoid reinventing the wheel. This is all happening at a time when many records managers in sub-Saharan African do not have the necessary professional capability to deal with electronic records and weak institutional capacity and the absence of comprehensive records management policies, guidelines and practical standards has aggravated the situation ( Ngulube and Tafor , 2006a, 2006b , p. 58).

Research is triggered by problems faced by communities and the quest to solve these problems. Records management in general and e-records management in particular, in the ESARBICA region, is severely under resourced resulting in inadequate capacity and skill gaps ( Mulaudzi et al. , 2012 ). The preservation of electronic records created by knowledge workers is of great risk if standards for the creation, management and preservation of electronic records are not available in the organisation ( Millar, 2004 , p. 9). Furthermore, the nature of these records adds an extra level of complexity to the activity of record keeping, ensuring that appropriate, authentic and reliable records are created and captured whilst their integrity is maintained ( McLeod et al. , 2004 ).

E-records management research in the ESARBICA region

Some scholars have commented on the level of research in Africa generally and the ESARBICA region. Kemoni (2009 , p. 196) noted that few studies had been conducted on the uses of computers in electronic records management in the region. Kalusopa (2011) recommended the need for the ESARBICA region to step up research on the management of electronic records through collaborative efforts. Keakopa (2010 , p. 67) in a critical appraisal of the management of electronic records in the ESARBICA highlighted the persistent “limitations of research conducted in the region in providing appropriate solutions for the management of this new format of records”. The problem is that a lot of writers on records and archives management in Africa have revealed a terrible state of records and archives underdevelopment on the continent, but very few have carried an in-depth study or discussion on the impacts of information technology on electronic records ( Asogwa, 2012 ).

Digital best practices have been identified as other research areas and avenues which need to be pursued in the ESARBICA region. There is need for quick action if the loss of ESARBICA’s electronic memory is to be averted and governments and research councils should initiate and support research into digital best practices as the developed world has done ( Ngulube and Tafor , 2006a, 2006b ). Furthermore, reports produced by national archival institutions in the region will show the areas of interest in the records and archives management in the region. Ngulube and Tafor (2006a , 2006b , p. 69) highlighted that in the ESARBICA region, electronic records management did not feature prominently in the annual reports of most archival institutions in the ESARBICA region. Ngulube and Tafor (2006a , 2006b , p. 69) further highlighted that the tendency of the reports has been to concentrate on automation initiatives while ignoring the implications of digital formats for staff competencies needed to manage them, and long-term access to, and availability, of the digital heritage.

Strategies need to be put in place to map the way forward for e-records management in the region. Without strategies in complex environments, governments will invest in e-records management systems which will fail to meet the reasons for which they were created for as records and archives management personnel and national archival institutions will deal with such records in a haphazard and clumsy way. Kalusopa (2011 , p. 117) highlighted that although most countries in ESARBICA have attempted to put in place some programmes to manage records in general, there are no known clear strategies initiated either to manage electronic records or have e-records readiness assessments rigorously carried out.

E-records management research gaps in the ESARBICA region

Some scholars have also identified e-records management research gaps in the region ( Mnjama and Wamukoya, 2007 ; International Records ManagemenTrust (IRMT), 2004; Kemoni, 2009 ; Kamutula, 2010 ; Mazikana, 1998 ). Research into e-records readiness of countries has been noted as a weak point in e-records management research. The International Records ManagemenTrust (IRMT), (2004) noted that governments should conduct high-level assessments of key areas of e-records readiness in relation to other aspects of e-government, and determine whether or not the records and information management infrastructure is capable of supporting e-government initiatives [International Records ManagemenTrust (IRMT), 2004]. The lack of studies focusing on the e-records readiness in the region was identified by Mnjama and Wamukoya (2007) . E-records readiness assessments will go a long way in assisting organisations to be informed of existing challenges, risks and strengths, as well as potential opportunities in as far as e-records management is concerned ( Mnjama and Wamukoya, 2007 ).

E-government has been a hot subject globally and it has cast the spotlight on e-records. Kemoni (2009) noted that further research should be conducted to establish the current state of electronic records management within the framework of e-government and public service delivery initiatives within the ESARBICA member states. Glower et al. (2006) highlighted that Freedom of Information (FOI) rights have been a major driving force in enabling the development of electronic documents and records management systems and sustainable solutions for the long-term storage and preservation of digital records. Thus, more research is also required to establish how the current state of electronic records management will affect the proposed FOI legislation initiatives in ESARBICA member states ( Kemoni, 2009 ).

Researchers in the region need to also investigate skills gaps in e-records management as Kamutula (2010) asserted that unlike paper-based records, many archivists and records managers are not conversant enough with issues concerning the creation, preservation, security, access and dissemination of e-records. Furthermore, archival institutions and archivists have also missed opportunities arising in e-records management as Mazikana (1998) lamented that there is a missed opportunity by the archival community in Africa in the management of electronic records.

Researchers are key as their research findings paint a picture of how things are being done, how they are supposed to be done and why they must be done in a way they are being done. Policymakers and other decision makers have to be informed by research and thus the weaknesses of archival legislation in the ESARBICA region, especially in e-records management, points to yet another area which needs thorough research and recommendations. Mnjama and Wamukoya (2007) further highlighted that the laws, policies and procures that are necessary for successful implementation of an e-records programme that supports e-government must be critically examined.

Purpose of the study

This study sought to find out how the e-records management subject has been researched and tackled by researchers in the ESARBICA. Furthermore, this study sought to reflect on e-records management research trends and areas of focus in the ESRABICA region.

Objectives of the study

to determine the level of e-records management research output in the ESARBICA region;

to identify the prominent researchers on e-records management in the ESARBICA region; and

to determine research designs (empirical, conceptual studies, literature reviews and case studies) applied by highly cited e-records management researchers in the ESARBICA region.

Limitations

A bibliometric study places researchers at the mercy of analysing incomplete information due to limitations of resources. The variance in use of terminology (key words) by authors in published documents may entail some being left out in analysis within the same subject matter. As much as due diligence was placed on using Boolean search methods to counter such limitations they are unavoidable. An interpretation of bibliometric or citation analysis research is subjective as some analysts may label results incomplete or trustworthiness; hence, this paper finds itself in the same predicament. Inability to access the Thompson Reuters Web of Science database left the authors with Scopus as the only option, as Google Scholar was overlooked due to the difficulties of having to rely on third-party software for analysing its indexed content that are mostly inaccurate and or ambiguous.

Scope of the study

This study covered e-records management studies in the ESARBICA region. According to the International Council on Archives (2008) , ESARBICA is one of the regional branches of the ICA, which aims to further the aims of ICA and strengthen co-operation within the eastern and southern African region. The ESARBICA’s mission is the advancement of archives through regional cooperation ( ESARBICA) (2005) . ESARBICA is responsible for carrying out the policy and programmes of ICA in the region, where these are relevant to ESARBICA members. ESARBICA is made up of 12 countries, namely Botswana, Kenya, Lesotho, Malawi, Mozambique, Namibia, South Africa, Swaziland, Tanzania, Zambia, Zimbabwe and Zanzibar ( ESARBICA, 2005 ).

Research methodology

This study used bibliometric and citation analysis techniques to analyse the publications and research designs applied in electronic records management research in the ESARBICA region. Bibliometric analysis is a common technique used for quantitative analysis of literature. To explore research outputs over given time, access to relevant data is obtainable from reputable databases. Data for this study were produced from Scopus. The Scopus database was searched to retrieve the indexed research output on electronic records management publications between 2000 and 2016. Scopus is hosted by Elsevier and is one of the largest databases of peer-reviewed literature; scientific journals, books and conference proceedings. The database provides different searching and browsing options that offer the ability to measure research outputs by affiliation, author, country, etc., which were used in this study ( Archambault, et al. , 2009 , p. 1322). Only primary articles listed in the Scopus database were considered for the study. Secondary documents were sifted through to identify materials not indexed in the Scopus database but authored by authors from the ESARBICA region. Secondary documents are documents not available in Scopus database, but are extracted from reference lists in Scopus documents. The data contain many inaccuracies and a single article may be referenced differently and wrongly in different articles, thus, it may be presented as different articles. This limitation of secondary data called for thorough manual analysis for their inclusion in the research data. ESARBICA is a multilingual region with English and Portuguese being the dominant languages used by authors. The search was inclusive of all languages. The research study included and analysed only published journal articles, conference papers, book chapters, thesis and reviews.

The key words “electronic records management”, “electronic records” and “digital records” were used to perform searches in the title field of articles in Scopus. The data were analysed both manually and using the Scopus inbuilt data analysis tools. The tools offer the researcher option to analyse data on citation count, affiliation, country and subject and document type. The retrieved data on articles were exported in a comma-separated value file and were downloaded for manual analysis.

Subsequent sections present and discuss findings of the study under different headings.

Scopus research results

The researchers used “electronic records management”, “electronic records” and “digital records” as search phrases to retrieve data from the Scopus database. The search query used was “electronic records management” OR “electronic records” OR “digital records” with the search limited to the title, indexed keywords and abstract fields of the indexed documents across all subject areas of the database. A total of 2,979 documents’ results of various authors from across the world, ranging from 2000 to 2016 were retrieved; with 60 documents from ESARBICA countries ( Figure 1 ). A total of 417 documents were from undefined countries. After manual analysis of the 417 documents from the undefined countries, an article was identified by an author affiliated to the University of South Africa, which added the tally of retrieved documents under the used search query to 48 documents. A citation count analysis was done on the retrieved information to identify the productivity and the total citations received on the articles that indicate their impact, prestige or influence ( Chadegani, et al. , 2013 , p. 18). The citation analysis was to identify the stand-out articles that have been referenced more by other authors and to analyse their research design in the field of electronic records management. Understanding the context and relationship of the ESARBICA research output to the world output, on the subject matter under study a pictorial presentation of world publication data is imperative. This assists in understanding the impact of ESARBICA region research dynamics as compared to the global dynamics. The vice versa is also valid. Figure 1 presents a graphical representation of the amount of research publications produced over for the period from 2000 to 2016. The chart depicts that the peak periods of publishing were from 2013 to 2016 when huge volumes of documents were produced.

The data show a steady increase in the number of articles produced annually worldwide on the subject of electronic records management for the periods 2000- 2004, which were 474 articles, 663 for 2004 to 2008 and 1,018 for 2008-2012 with the period 2012-2016 producing 1,331 documents.

Publication count in ESARBICA region

This section presents and discusses data on the documents count of published materials by authors from the ESARBICA region. The chart shows the number of articles published annually, with 2014 and 2016 having the highest number of articles published over the 16-year period. As depicted in Figure 2 , the research output from the ESARBICA region has been lamentably constant for the period of the early 2000-2011, with a steep increase from 2012 to 2016. Although the comparisons in scientific output in specific subject areas are difficult due to a number of factors that include scarcity of resources, the number of core researchers in electronic records management and engagement in longitudinal studies that limit the publication capabilities of researchers over time, the figures are less impressive. The smaller numbers of publications maybe due to the Scopus database not indexing research repositories and journals of most countries in the ESARBICA region.

Publication country per country in ESARBICA region

ESARBICA region is composed of 12 countries that have different e-records management publication count. To better analyse the contributions of the region in building the body of knowledge in electronic records management, an analysis of individual member country publishing count is essential. Figure 3 is a graphical representation of the retrieved documents by country published and indexed by Scopus.

South Africa has the leading figures in producing publications in the ESARBICA region, 29 publications, followed by Kenya with 10, Botswana and Namibia following distantly with 8 and 4 publications, respectively. The results pose a worrying and bleak picture in terms of the academic outputs from the professionals and scholars in electronic records management.

Published document types in ESARBICA region, 2000-2016

Figure 4 below presents the different document types that constituted the total 60 indexed documents retrieved from the Scopus database published from ESARBICA region. Academic published articles and conference papers contributed the huge volumes of materials indexed in the database. Different permutations can be derived from the data that may be related to low funding for the professionals interested in the subject matter to undertake more research and publish materials. For the period under review, the data show that on average, two research articles were being published every year in the region.

Leading researchers in the subject area

A number of researchers in the ESARBICA have made significant contributions to the electronic records management body of knowledge. In as much as the contribution is proportional, they have made significant strides to stimulate and drive academic and professional discourse in electronic records management. The research findings show that Katuu, S; Kemoni, H; Ngulube, P; Ngoepe, M; Mujama, N; Wamukoya, N; Nengomasha, CT; Keakopa, S; and Mostert-Phipps are the leading producers of documents that are indexed by the Scopus database in the ESARBICA region. Not only are their publications many, but have also been highly cited Table I presents the authors’ names, titles of articles, year of publication, source title and the journal in which the articles were published; cited by indicates the number of times the articles have been referenced or acknowledged by other authors and the document type identifies the form of the authored documents. Only articles with the highest citation index were included in Table I , with 12 citations being the highest citation count when data were being analysed during authorship of this paper. The least cited paper to be included in the table had a citation count of five, which was the average high of the articles published in the region under the review period.

Analysis of research designs of articles with the high citation index

Citation implies the relationship between a part or whole of the cited document and a part of the whole of the citing documents ( Smith, 1981 , p. 83).A high citation index for an article is believed to be underlined by assumptions that include citation of a document implying use of that document by the citing author for reasons that may include paying homage to pioneers, correcting or criticising previous work, authenticating data or classes of fats, substantiating claims, citation of a document reflecting the merit of that document, author, journal, etc. ( Garfield, 1965 , p. 85). The articles presented below all have high citation indexes as compared to other articles that have been included in this research study.

Table I presents a synopsis of the highly cited publications in the region. The table shows an equal use of both literature review and empirical research methods as main source of information and data for the research publications that have been highly cited in the region. There is need to improve and increase on empirical-based research methods that are evidence based, as these will entail that studies can be empirically inspectable and confirmable.

Wamukoya and Mutula (2005a , 2005b ) conducted a study titled “E-records management and governance in East and Southern Africa”. The study sought to review the status of e-records management in east and southern Africa and it examined the e-records readiness in institutions with statutory responsibility for records and the implications of e-records management for governance. The problem under study was that the region faces major challenges with regard to the management of records and archives due to historical, political, cultural, managerial and technological factors. The study also highlighted that the statutory institutions with responsibility for archives in the east and southern African region fall short of the e-readiness standards of the IRMT benchmarks. The study also highlighted that the general e-readiness assessments that have been undertaken by SADC E-readiness Task Force in 2002 revealed that staff competencies, skills and tools needed to manage e-business processes and e-information in a shared work environment have not been adequately developed in many public sector organizations in east and southern African region. The study also highlighted that among the records and information managers and national archivists, there was insufficient capacity and training to articulate e-records issues and provide guidance and input to policymakers and planners.

The study highlighted that at policy level, senior officials and legislators are often unaware of the requirement to manage electronic records over time. At the planning and operational level, systems designers and IT specialists tend to focus primarily on current information needs resulting in inadequate attention being paid to long-term preservation requirements [International Records ManagemenTrust (IRMT), 2003]. There were no systematic strategies, that being implemented for making the transition from paper-based systems to electronic means where this is possible. The study carried out by Mutiti (2001) also highlighted that in the east and southern African region, limited progress had been made in the area of managing electronic records created by public institutions. The study also highlighted that most countries had no specific legal or administrative framework within which to operate an electronic records management programme, and had neither begun to address the broader issues involved nor did their staff have the skills to do so. Similarly, the national archives were not playing a role in the introduction of electronic government, and electronic records issues were not being addressed systematically. Furthermore, problems facing the east and Southern African region included lack of digitization projects; general lack of prioritization of automation functions and services; lack of standards, practices and procedures for the management of electronic records; records creating agencies tended to overlook long-term preservation of electronic records; electronic records were being created in public institutions and some were being mismanaged and lost; and inability to determine appropriate hardware and software.

Kemoni in 2009 conducted a review of empirical studies titled “Management of electronic records Review of empirical studies from the Eastern, Southern Africa Regional Branch of the International Council on Archives (ESARBICA) region”. The purpose of the paper was to present empirical research findings regarding the management of electronic records in selected ESARBICA member countries. The paper also presented background information about ESARBICA and the state of electronic records management in the region. The paper presented challenges posed by electronic records as reported in the literature and the capacity-building initiatives and guidelines developed by archival institutions, professional organizations and universities for effective management of electronic records. It proposed suggestions for further research. The paper was based on a review of literature on electronic records and empirical studies dealing with management of electronic records in the ESARBICA region. The findings of the study indicated that most countries in the ESARBICA region lacked capacity and faced numerous challenges in managing electronic records. These relate to lack of policy and legislation, standardization, authenticity, capacity building, physical infrastructure and lack of awareness among recordkeeping professionals and government authorities on electronic records management issues, data, security of data, lack of computer skills on the part of registry staff and users and lack of electronic records policy. The empirical research findings reported in the paper revealed that apart from South Africa, most countries in the ESARBICA region face various problems in managing electronic records. To enhance the management of electronic records in the ESARBICA region, there was need for governments and directors of National Archives within the ESARBICA region to implement the recommendations proposed by various records and archives management researchers/scholars and practitioners.

Wamukoya and Mutula in 2005 conducted a study titled “Capacity-building requirements for e-records management. The case in East and Southern Africa”. The study aimed at examining capacity-building requirements for e-records management in east and southern Africa. The study pointed to the fact that e-records management problems and challenges include, but are not limited to, lack of skills and competencies, inadequate resources, lack of awareness among government authorities and records professionals, fragility of media and the need for specialized storage. The study was a literature review in general and desk research based on professional consultation and the experiences of the authors within the region. The findings of the study generally indicated that there was a dearth of e-records management skills and inadequate capacity in the ESARBICA member countries. The study also established that within ESARBICA, staff competencies, skills and tools needed to manage records in general and e-records, in particular, had not been adequately developed in many public sector organizations. The study also highlighted that at policy level, senior officials and legislators are often unaware of the requirement to manage electronic records over time so that the evidence base of government will be secure and accessible when needed by authorized users. Wamukoya and Mutula (2005a , 2005b ) also established that records management in general and e-records management in particular in the ESARBICA region was severely under resourced resulting in inadequate capacity and skill gaps. The study was limited to ESARBICA member countries, whereas it would have been more inclusive if all the countries of east and southern Africa were involved. The researchers therefore recommended that more research was therefore needed to cover the rest of the region.

Ngulube and Tafor (2006a , 2006b ) conducted a study titled “The Management of Public Records and Archives in the Member Countries of ESARBICA”. The aim of the study was to investigate the challenges faced by national archival institutions in the ESARBICA, and depending on the results of the survey, recommend a programme of action to improve the management of public records and archives in the region. This article discussed the findings of a cross-sectional study conducted between 2004 and 2005 to determine the extent to which archival institutions within ESARBICA managed public records and archives. Data for the research were obtained through interviews, content analysis of documents and self-administered questionnaires that were mailed to the 13 member states that comprised ESARBICA. These countries included Angola, Botswana, Kenya, Lesotho, Malawi, Mozambique, Namibia, Tanzania, South Africa, Swaziland, Zambia, Zanzibar and Zimbabwe. The findings of the study reflected that national archives within ESARBICA had limited resources for records management functions. Furthermore, the study noted that records management processes were neither governed by standards nor guided by a professional code of ethics. The study findings also showed that records management staff were not adequately trained, electronic records were in danger of being lost due to benign neglect and legislation that mandated archival institutions to manage records through their life-cycle was not comprehensive in certain instances. The study also established that strategies used for public programming activities were rather limited and not clearly targeted at some archival institutions.

Asogwa in 2012 conducted a study titled “The challenge of managing electronic records in developing countries Implications for records managers in sub-Saharan Africa”. The paper highlighted that electronic records management was new to most records officers and archivists in contemporary sub-Saharan Africa. The study also highlighted that e-records management transformed the traditional mode of recordkeeping and brought with it some constraints which records managers had to contend with if they were to remain relevant in the information society. The purpose of the study was therefore to examine the background of the problems brought about by e-records management, as well as the strategies for e-records management in Africa. The study reviewed relevant literature on archives development in Africa, electronic records, information technology and records management. The findings of the study pointed to the fact that the major problems of e-records management in Africa were administrative and the technically induced challenge and the benefits of managing hybrid records in Africa could only be realized if appropriate infrastructures, workable legislation and regulatory frameworks, adequate finance and competent ICT personnel are available. The study findings also highlighted that in the electronic age, records managers in Africa were facing challenges such as working in a digital environment, with new tools and different work approach. The study lamented that experience and training of archivists and records managers in the sub-Saharan Africa were at most inadequate to face the challenges, which included weak legislation, absence of organizational frameworks, inadequate ICT skills and competencies, colonial legacy, corruption and political instability, inter alia. The study recommended that the most important step to curtail these changes is for record managers in developing countries to get more closely involved with the other professionals in electronic information ventures.

Katuu (2012) conducted a study titled “Enterprise Content Management Implementation: An Overview of Phases, Standards and Best Practice Guidelines.” The study highlighted that discussions on the application systems used to manage digital records and other digital content have often used different terminology, frequently interchangeably, with little regard to nuanced differences. Katuu also illumined that a number of standards and best practice guidelines have been developed in different countries to address the challenges of assessing and implementing these applications. While it may look like a lot of resources are available to records professionals as they tackle the challenges of implementing software applications, there is need to clarify terminology and identify implementation phases, as well as the appropriate standards and best practice guidelines. The study reviewed literature and suggested a definitional clarity and connectedness of different terms used for enterprise content management (ECM) applications. The literature review identified the various phases of implementation of ECM applications and it offered an overview of standards and best practice guidelines. The study also assessed the connection between phases of implementation in relation to standards and best practice guidelines, providing a gap analysis while also suggesting ways of addressing the variance. The financial resources and human effort invested in the implementation process of ECMs, however, do not always bear fruit and there have been a considerable number of projects that have failed.

The findings of the study demonstrated that, at a practical level, records professionals were getting assistance in the areas of greatest weakness, which was the post-installation phase. The study recommended that there was a need for a more detailed crosswalk of the standards and best practice guidelines. Katuu highlighted that scholars had conducted crosswalks on different kinds of metadata standards, but were yet to be conducted with ECM implementation. The study also highlighted the need to conduct empirical research on how standards and best practice guidelines have been used for purposes of ECM implementation because these will reveal, in greater detail, where the weaknesses exist.

Nengomasha (2009) also conducted a PhD study titled “A study of electronic records management in the Namibian Public Service in the context of e-government”. The study aimed at answering the research question: “How can the electronic records environment be strengthened to support e-government in Namibia?” The study applied existing records management models, and attempted to establish whether or not the Public Service of Namibia has the capacity to create, manage, share and use electronic records to support e-government. This capacity is referred to as e-records readiness. The study was a multi-case study of seven Ministries, two Local Authorities and two Regional Councils. The methodology used was a qualitative approach which made use of interviews, document search and observation to collect data. The data were analysed manually using content analysis and presented in descriptive narrative with some illustrative tables and figures. The study findings showed that e-government in the Public Service of Namibia were in the initial phase of implementation, and led to an increase in the creation of electronic records.

The study further highlighted that the status of records management in the Public Service of Namibia was very poor. Nengomasha highlighted that there was lack of understanding of what records were and the importance of records management; inadequate legal and regulatory environment; failure to follow laid down procedures and standards; absence of a records management disaster plan, including digital preservation strategy; and inadequate resources, which included the lack of staff and skills to manage records in general and in particular, electronic records. The study also highlighted that the Public Service of Namibia’s score of 55 out of 120 in an e-records readiness assessment carried out as part of the study, signified high risk, which meant that government’s e- records were at risk of misuse and loss. The study concluded that Namibia’s e-government initiatives were not supported by a strong records management programme.

The study recommended among other things, an integrated records management programme for the Public Service of Namibia to promote records management awareness, determine resource requirements, review the legal and regulatory framework, review records management standards and procedures, implement an electronic records management system and ensure the sustainability of the programme through staff training and regular monitoring and evaluation. The study also recommended the adoption of ECM, and further investigation into the electronic information systems running in the Public Service and the possibilities for their integration with an electronic records management system, which the Office of the Prime Minister planned to roll out to the entire Public Service.

Conclusions and recommendations

The research data display a lamentable outlook in the contribution to the electronic records management body of knowledge from the ESARBICA region. Few research papers from professionals in the records and archives management are being published in scholarly journals. These figures call for increased investments in electronic records management research by institutions in ESARBICA, as management of electronic content has become the centre of political and socio-economic development. Follow-up studies need to be done to counter limitations placed on this research paper. The study findings show that there is under production of research publications in the ESARBICA region. The region only contributed 2 per cent of the total world output in the period under review and in the study of electronic records management from journals indexed by Scopus. These may be due to a number of factors that will need to be researched further to understand the correlation between research outputs, funding, number of practicing academics and the information management schools in institutions of learning in this region. The researchers, therefore, recommend the promotion of empirical studies on e-records management research in the ESARBICA region. Such studies can go a long way in analysing e-records management systems which have been implemented by different governments and organisations. Results from such studies can go a long way in providing valuable lessons for other countries and organisations in the region, which are yet to implement e-records management systems. Furthermore, researchers also recommend that conferences and journal publications be dedicated to the presentation and publication of e-records management research findings in the ESARBICA region.

World publication count 2000-2016

Documents published in the ESARBICA region 2000-2016

Publications count per country

Document types of research output in the ESARBICA region between 2000 and 2016

Highly cited articles

Source: Scopus database (2016)

Archambault , É. , Campbell , D. , Gingras , Y. and Larivière , V. ( 2009 ), “ Comparing bibliometric statistics obtained from the web of science and Scopus ”, Journal of the American Society for Information Science and Technology , Vol. 60 No. 7 , pp. 1320 - 1326 .

Asogwa , B.E. ( 2012 ), “ The challenge of managing electronic records in developing countries implications for records managers in Sub-Saharan Africa ”, Records Management Journal , Vol. 22 No. 3 , pp. 198 - 211 .

Chadegani , A.A. , Hadi , S. , Melor , Y.M. , Farhadi , H. , Fooladi , M. , Farhadi , M. and Ale Ebrahim , N. ( 2013 ), “ A comparison between two main academic literature collections: web of science and Scopus databases ”, Asian Social Science , Vol. 9 No. 5 , pp. 18 - 26 .

Eastern and Southern Africa Regional Branch of the International Council on Archives (ESARBICA) ( 2005 ), “ About ESARBICA ”, available at: www.geocities.com/esarbica/?

Garfield , E. ( 1965 ), “ Can citation indexing be automated? ”, in Stevens , M.E , Gouliano , V.E. and Heilprin , L.B. (Eds), Statistical Association Methods for Mechanised Documentation , Bureau of standards , Washington, DC , pp. 189 - 192 .

Glower , M. , Holsen , S. and MacDonald , C. ( 2006 ), “ Freedom of information: history, experience and records and information management implications in the USA, Canada and the United Kingdom ”, Archives and Records Management Association International Educational Foundation , Pittsburgh .

International Council on Archives ( 2008 ), Regional Branches , International Council on Archives , Paris .

International Records Management Trust ( 2004 ), The e-Records Readiness Tool , International Records Management Trust , London .

Kalusopa , T. ( 2011 ), “ Developing an e-records readiness framework for labour organisation in Botswana ”, University of South Africa , Pretoria .

Kamutula , G.A. ( 2010 ), “ E-government and e-records: challenges and prospects for African records managers and archivists ”, ESARBICA Journal: Journal of the Eastern and Southern Africa Regional Branch of the International Council on Archives , Vol. 29 No. 1 , pp. 147 - 163 .

Katuu , S. ( 2012 ), “ Enterprise content management implementation: an overview of phases, standards and best practice guidelines ”, Bilgi Dünyasi , Vol. 13 No. 2 , pp. 457 - 476 .

Katuu , S. ( 2004 ), “ Report on an investigation of electronic records in the commonwealth ”.

Keakopa , S.M. ( 2006 ), “ The management of electronic records in Botswana, Namibia and South Africa: opportunities and challenges ”, Unpublished PhD thesis , University College London , London .

Keakopa , S.M. ( 2010 ), “ Overview of archival and records management developments in the ESARBICA region ”, The Journal of the Australian Society of Archivists , Vol. 1 No. 1 , pp. 51 - 77 .

Kemoni , H.N. ( 2009 ), “ Management of electronic records review of empirical studies from the Eastern, Southern Africa regional branch of the international council on archives (ESARBICA) region ”, Records Management Journal , Vol. 19 No. 3 , pp. 190 - 203 .

Kemoni , H.N. and Wamukoya , J. ( 2000 ), “ Preparing for the management of electronic records at Moi University, Kenya: a case study ”, African Journal of Library, Archives and Information Science , Vol. 10 No. 2 , pp. 125 - 138 .

McLeod , J. , Hare , C. and Johare , R. ( 2004 ), “ Education and training for records management in the electronic environment – the (re)search for an appropriate model ”, Information Research , Vol. 9 No. 3 .

Mazikana , P. ( 1998 ), “ Records management training in sub Saharan Africa ”, Records Management Journal , Vol. 8 No. 3 , pp. 77 - 83 .

Millar , L. ( 2004 ), “ Authenticity of electronic records: a report prepared for UNESCO and the international council of archives ”, Paris .

Mnjama , N. and Wamukoya , J. ( 2007 ), “ E-government and records management: an assessment tool for e-records readiness in government ”, The Electronic Library , Vol. 25 No. 3 , pp. 274 - 284 .

Mulaudzi , F. , Wamundila , S. , Mtanga , N. and Hamooya , C. ( 2012 ), “ The role of records managers in the digital age: the Zambian experience ”, Presented at SCECSAL XXth Conference hosted by KLA on 4th-8 June 2012 venue LAICO REGENCY Hotel Nairobi , Nairobi .

Mutiti , N. ( 2001 ), “ The challenges of managing electronic records in the ESARBICA region ”, ESARBICA Journal , Vol. 20 No. 3 , pp. 57 - 61 .

Nengomasha , C.T. ( 2009 ), “ A study of electronic records management in the Namibian Public Service in the context of e-government ”, PhD thesis , University of Namibia .

Ngulube , P. and Tafor , V. ( 2006a ), “ The management of public records and archives in the member countries of ESARBICA ”, Journal of the Society of Archivists , Vol. 27 No. 1 , pp. 57 - 83 .

Ngulube , P. and Tafor , V.F. ( 2006b ), “ An overview of the management of public records and archives in the member countries of the East and Southern Africa Regional Branch of the International Council on Archives (ESARBICA) ”, Journal of the Society of Archivists , Vol. 27 No. 1 , pp. 58 - 83 .

Smith , L.C. ( 1981 ), “ Citation analysis ”, Library Trends , ed bibliometrics , Vol. 30 No. 1 , pp. 83 - 106 .

Wamukoya , J. and Mutula , S.M. ( 2005a ), “ Capacity-building requirements for e-records management: the case in East and Southern Africa ”, Records Management Journal , Vol. 15 No. 2 , pp. 71 - 79 .

Wamukoya , J. and Mutula , S.M. ( 2005b ), “ E-records management and governance in East and Southern Africa ”, Malaysian Journal of Library & Information Science , Vol. 10 No. 2 , pp. 67 - 83 .

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Diploma in Records and Information Management

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Federal Records Management

Records Management Guidance for Federal Employees

All federal employees create and manage records as an integral part of their responsibilities to perform their agency mission. Federal records have value by protecting the rights and interests of the public, holding officials accountable for their actions, and documenting our nation's history. Also, good records management helps your agency operate more effectively and efficiently. The federal records you create belong to your agency.

What are federal records?

The statutory definition of federal records is: 

 All recorded information, regardless of form or characteristics, made or received by a Federal agency under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its  legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the United States Government or because of the informational value of data in them.

Many factors contribute to the determination that “recorded information” qualifies as a federal record. If the answer to any of the following questions is "yes," the item is a federal record.

• Did the agency require the creation or submission of the information?
• Do regulations or laws require the creation and maintenance of the information?
• Was the information used to conduct agency business or accomplish its mission?
• Does the item contain unique information explaining agency policies and decisions?
• Was the information distributed to other persons, offices, or agencies for approval or clearance?
• Is the information covered by an item in an agency records schedule or general records schedule?

Federal records exist in many formats. Almost anything you use to conduct your agency’s mission can be a federal record. Federal records are not just paper documents. The tools and solutions used by federal employees to collaborate, communicate, share files, and store information can contain federal records. As technology evolves, so does the nature of what can be a federal record.

How do federal employees create and manage federal records?

As a federal employee, you need to consider how to create adequate and proper documentation of your work. For example, if you attend meetings where decisions are made, issues are resolved, or policy is established, you should ensure records are created that document those discussions. Additionally, documenting the actions taken as part of your work is important to protect the interests of federal employees, the government, and the public ( 44 U.S.C. 3101 ).

Your work unit should have a set of instructions on how to manage the records that you and your organization create. For example, you may have file plans indicating how records and information should be organized and stored electronically in agency systems, and how long files must be kept. You may have workflows where you are required to save specific emails to case files as part of a business process.

How long should federal employees keep federal records? 

Records schedules determine how long federal records are kept. There are two types of records schedules: General Records Schedules (GRS) for records common to most agencies, and agency records schedules for records specific to an agency. Records schedules are approved by NARA and are mandatory. Some records schedules authorize the destruction of federal records soon after creation, while other records schedules require agencies to eventually send the federal records to NARA to become part of the U.S. National Archives. Most records fall somewhere in the middle, being kept for a certain number of years by your agency.

Federal employees must follow the disposition instructions in records schedules along with agency policies and practices for records destruction. If you have questions about creating, managing, or destroying federal records, you should contact your agency records officer. NARA maintains a list of designated agency records officers on our website. 

What records management training is available for federal employees?

You must complete the records management training provided by your agency, which includes the mandatory annual refresher training required by NARA . Ideally, when you start your federal service, you will receive an entrance briefing on your agency’s records management program, policies, and practices. NARA also provides online records management training that may help you understand what questions to ask about records management at your agency.

How do federal employees manage electronic messages?

The Federal Records Act states that “the term ‘electronic messages’ means electronic mail and other electronic messaging systems that are used for purposes of communicating between individuals.” Electronic messages include email, social media messages, chat/instant messages, texts, and voice messages.

Federal employees should use agency accounts for electronic messages – including texts, chats, and emails – when conducting agency business. Personal and non-official accounts should only be used to conduct agency business in exceptional circumstances. If you create or receive a federal record in a personal or nonofficial email or e-messaging account, the law states (44 U.S.C. 2911) that you must:

• Copy an official electronic messaging account of the officer or employee in the original creation or transmission of the record; or
• Forward a complete copy of the record to an official electronic messaging account of the officer or employee not later than 20 days after the original creation or transmission of the record.

Most likely, your agency is using the Capstone approach to manage emails and messages “behind the scenes.” For most agencies, all email is kept for at least 7 years for non-Capstone officials. Capstone officials' emails are permanent and will eventually be transferred to NARA as part of our nation’s history. 

NARA provides additional resources on the management of email and electronic messages on our website.

How do federal employees handle social media accounts? 

Federal employees that use social media accounts in the conduct of agency business are creating federal records. Social media applications may also include messaging features that are subject to the rules on electronic messaging mentioned above. 

In general, agency business should be conducted using agency-owned and managed social media accounts, as with any type of agency business. NARA provides high level guidance to agencies on how to manage their social media records guidance in NARA Bulletin 2014-02 . 

If your agency does not have an automated social media capture tool in place or the social media platform you are using does not support automated records management, you should work with your Agency Records Officer to determine what manual steps may be necessary for the capture and management of federal records. 

How do federal employees manage personal files?

Personal files are documentary materials belonging to an individual that are not used to conduct agency business. Personal files are excluded from the definition of federal records and are not owned by the government ( 36 CFR 1220.18 ). In other words, these are your records, not federal records.

Traditionally, personal files have included:

• Business or professional files created before entering government service
• Reference files, for example, professional association journals or library materials
• Copies of documents from your official personnel file that you maintain for your personal use
• Personal correspondence, emails, and other materials not related to agency business
• Personal contacts

Employees should distinguish their personal files from federal records. If personal files and federal records are not managed separately, then personal materials may end up in federal records management systems or fall under federal information and records management policies and procedures. For example, personal emails may be captured under the agency’s Capstone approach or personal correspondence may become part of a FOIA case. This distinction is important because federal records must not be removed from agency custody. 

Employees should consult the agency records management staff, legal counsel, or other designated officials to help determine whether files are personal or federal records.

How do employees manage records as they prepare to leave their position?

Federal employees cannot take records with them when they leave. However, they may be able to take some copies of federal records as well as their personal materials. Any copies of federal records must not contain classified or sensitive information, but be completely releasable to the public. 

When a federal employee leaves, the records they created must be retained according to the disposition instructions in records schedules. Federal employees should be sure federal records and information are organized and available to their work unit so that records management policies and practices can continue to be carried out. 

Most federal agencies have records management exit briefings to help staff determine what actions to take with their records or personal files when preparing to leave. Federal employees should reach out to their agency records officer if they have any questions or concerns about records management and their departure.

Updated: April 17, 2024

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Manikas, Konstantinos. "Records Management and Electronic Records Management Opportunities and Limitations : A case study in Greek companies." Thesis, Linnéuniversitetet, Institutionen för informatik (IK), 2015. http://urn.kb.se/resolve?urn=urn:nbn:se:lnu:diva-45536.

Kwatsha, Ntombizandile. "Factors affecting the implementation of an electronic document and records management system." Thesis, Stellenbosch : University of Stellenbosch, 2010. http://hdl.handle.net/10019.1/5152.

Wilson, Welma. "Document management system in owner companies during project execution / W. Wilson." Thesis, North-West University, 2010. http://hdl.handle.net/10394/4146.

Johansson, Martin, and Simon Konstantinovic. "Dokumenthantering inom företag." Thesis, Tekniska Högskolan, Högskolan i Jönköping, JTH, Data- och elektroteknik, 2015. http://urn.kb.se/resolve?urn=urn:nbn:se:hj:diva-27980.

Lales, Efstratios. "The effects of introducing the Electronic Document and Record Management Information System “Irida” in the public sector of Greece. A case study." Thesis, Linnéuniversitetet, Institutionen för informatik (IK), 2021. http://urn.kb.se/resolve?urn=urn:nbn:se:lnu:diva-105648.

Kandur, Hamza. "The management of electronic records." Thesis, University College London (University of London), 1992. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.281917.

Wong, Wai Lin. "Cross-context transfer of electronic title documents." Thesis, University of Macau, 2011. http://umaclib3.umac.mo/record=b2492830.

Mohamud, Koshin. "Electronic health records in Trinidad and Tobago." Thesis, Saint Mary's University of Minnesota, 2015. http://pqdtopen.proquest.com/#viewpdf?dispub=3739555.

Hay-Gibson, Naomi V. "Risk and records management : investigating risk and risk management in the context of records and information management in the electronic environment." Thesis, Northumbria University, 2011. http://nrl.northumbria.ac.uk/3308/.

Sonico, Eric A. "Implementation and utilization of electronic medical records| An analysis." Thesis, California State University, Long Beach, 2013. http://pqdtopen.proquest.com/#viewpdf?dispub=1522655.

This master's thesis will present a literature review and analysis ofthe implementation and use of Electronic Medical Records (EMR). The literature review will discuss reasons that support implementation of EMRs, factors that are necessary for successful implementation and barriers that impede implementation. Also, real-world examples of implementation for medical billing in healthcare organizations will be discussed, as well as the disparity in implementation rates between larger and smaller healthcare organizations.

The analysis portion of this thesis will include data from the 2009 National Ambulatory Medical Survey (NAMCS) EMR Supplement and, through the application of the Chi-Square statistical test using SPSS, will assess whether size of the medical practice in terms of number of physicians is significantly associated with EMR implementation and functionality, the latter of which includes clinical reminders and prescription ordering. It will be shown that physician size is indeed significantly associated with implementation and functionality.

Lindqvist, Maria. "Keeping or Discarding Records : A Comparison and a Practical Use of Standards for Electronic Records Management." Thesis, Linköpings universitet, Institutionen för datavetenskap, 2012. http://urn.kb.se/resolve?urn=urn:nbn:se:liu:diva-79290.

Becker, M. Y. W. Y. "CASSANDRA : flexible trust management and its application to electronic health records." Thesis, University of Cambridge, 2005. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.596509.

Warren, Richard Alton. "Exploring Strategies for Successful Implementation of Electronic Health Records." ScholarWorks, 2017. https://scholarworks.waldenu.edu/dissertations/4261.

Adeyeye, Adebisi. "Health care professionals' perceptions of the use of electronic medical records." Thesis, University of Phoenix, 2016. http://pqdtopen.proquest.com/#viewpdf?dispub=10011612.

Chen, Su. "Document layout analysis using recursive morphological transforms /." Thesis, Connect to this title online; UW restricted, 1995. http://hdl.handle.net/1773/5869.

Bevilacqua, Gabriel Moore Forell. "Bancos de dados e informatização de arquivos: pressupostos teóricos e aplicações técnicas." Universidade de São Paulo, 2010. http://www.teses.usp.br/teses/disponiveis/8/8138/tde-26042010-162134/.

Wenzel, Virginia. "Use of electronic health records to aid in pediatric obesity diagnosis." Thesis, Weill Medical College of Cornell University, 2015. http://pqdtopen.proquest.com/#viewpdf?dispub=1601009.

Background: Obesity has recently been classified by the American Medical Association (AMA) as a disease which, if unrecognized and unaddressed in childhood, causes multiple medical and psychological complications that can impact both personal and population health. Unprecedented funding is being invested in electronic health records to improve quality, safety, and delivery of healthcare and reduce healthcare costs. Scant literature has evaluated the use of aids in the electronic health record (EHR) to identify obesity.

Objectives: The purpose of this study was to determine to what extent the tools available in an EHR for automatic Body Mass Index (BMI) calculation based on height and weight documentation are used by pediatricians to correctly identify obesity in children. Secondary objectives were to evaluate quality of data input (discrete vs. free text) and see if there is any variation in rates of identification among patients of different socio-demographic characteristics and trainees of different levels.

Methods: We conducted a retrospective chart review for patients aged 2–18 years seen for a well-child visit at New York Presbyterian Hospital between January 2011 and January 2014, where it is standard practice at these visits to take height and weight measurements. The EHR automatically populates these values onto growth curves, converting them into BMI with percentiles. Standardized definitions from the Centers for Disease Control and Prevention (CDC) 2010 were used to qualify overweight and obese based on BMI. We determined the percentage of patients who were overweight or obese (based on CDC percentiles) that had the diagnosis identified by the pediatrician, and then assessed the quality of data input. We assessed laboratory follow up and referrals for all patients, and assessed for demographic differences among patients properly and not properly documented by providers as obese or overweight.

Results: We reviewed 700 charts in total. Inclusion criteria were all of the patients who had a BMI between 85–95% (these were grouped as overweight) and a BMI over 95% (obese). 209 patients were overweight or obese and therefore eligible for inclusion. Of the 209 clinically overweight/obese children, 72.2% had some form of documentation of this diagnosis, although the diagnosis was documented more often in the obese vs. overweight child. The diagnosis was most often captured electronically in the free text progress note. Over half of clinically overweight/obese children aged ≥8 years did not receive follow-up standard laboratory testing, and only about one-quarter of clinically overweight/obese children had documented in-office nutrition guidance. Diagnosis of overweight was higher in females, but it was almost twice as likely that an obese male would be documented as such. Results showed no identification variation based on age or race/ethnicity. There was no difference in recognition of obesity/overweight based on postgraduate year (PGY) or nurse practitioner (NP) status.

Conclusion: Despite its importance as a public health priority for children, automatic calculation of BMI by use of an EHR led to documentation by a provider as a child being overweight/obese only three quarters of the time. This study suggests that despite increasing focus on using EHRs to improve individual and population health, including for obesity, clinical decision support remains underutilized.

Tourille, Julien. "Extracting Clinical Event Timelines : Temporal Information Extraction and Coreference Resolution in Electronic Health Records." Thesis, Université Paris-Saclay (ComUE), 2018. http://www.theses.fr/2018SACLS603/document.

Chipfumbu, Colletor Tendeukai. "Engendering the meaningful use of electronic medical records: a South African perspective." Thesis, Nelson Mandela Metropolitan University, 2016. http://hdl.handle.net/10948/18420.

Johare, Rusnah. "Education and training in electronic records management (ERM): The need for partnership building." School of Communication & Information, Nanyang Technological University, 2006. http://hdl.handle.net/10150/106014.

Johare, Rusnah. "The development of a model for education and training in electronic records management." Thesis, Northumbria University, 2006. http://nrl.northumbria.ac.uk/2868/.

Thomas, Maurice A. "Evaluating Electronic Health Records Interoperability Symbiotic Relationship to Information Management Governance Security Risks." Thesis, Northcentral University, 2019. http://pqdtopen.proquest.com/#viewpdf?dispub=13808526.

A major initiative in the U.S. healthcare care industry is to establish a nationwide health information network securing the sharing of information between all involved U.S. healthcare stakeholders. However, implementing an interoperability solution is a massive, complex, and enduring effort with significant challenges such as inconsistent technology and data standards, as well as complex privacy and security issues. The purpose of this qualitative, case study is to examine the impacts of interoperability initiatives involving the U.S. government and to provide an understanding of the information governance and security risk as standards that are vendor-neutral and trustworthy. This qualitative case study was conducted using federal participants who are health information management (HIM) and health information technology (HIT) professionals working in the Washington DC metropolitan area. The participants' interview data revealed nine major themes; patient identification matching, payment claims and auditing, information sharing, data stewardship, regulatory compliance, technology enhancements, training and certification, standards optimization, and value-based care. The implication of the study's themes showed interoperability is beneficial to the healthcare industry, but there is a greater need for technology and data standardization, information governance, data stewardship, and a greater understanding of federal and state data privacy and security laws. Future recommendation for practices discussed; policy and regulatory adjustments to enhance auditing and compliance, establish a healthcare data ecosystem to improve data and information governance, and technology alternatives such as master data management and white space data. Recommendation for further research included expanding the sample population to compare other federal organizations or the United Kingdom's HIT interoperability project initiative.

Wong, Sze-nga, and 王絲雅. "The impact of electronic health record on diabetes management : a systematic review." Thesis, The University of Hong Kong (Pokfulam, Hong Kong), 2013. http://hdl.handle.net/10722/193850.

Ashfaq, Awais. "Predicting clinical outcomes via machine learning on electronic health records." Licentiate thesis, Högskolan i Halmstad, CAISR Centrum för tillämpade intelligenta system (IS-lab), 2019. http://urn.kb.se/resolve?urn=urn:nbn:se:hh:diva-39309.

Baron, Karen. "Incorporating Personal Health Records into the Disease Management of Rural Heart Failure Patients." NSUWorks, 2012. http://nsuworks.nova.edu/gscis_etd/85.

Drill, Valerie Gerene. "A Multisite Hospital's Transition to an Interoperable Electronic Health Records System." ScholarWorks, 2016. https://scholarworks.waldenu.edu/dissertations/3293.

Keakopa, Segomotso Masegonyana. "The management of electronic records in Botswana, Namibia and South Africa : opportunities and challenges." Thesis, University College London (University of London), 2007. http://discovery.ucl.ac.uk/1445627/.

Munetsi, Ndakasharwa. "Investigation into the state of digital records management in the provincial government of Eastern Cape: a case study of the office of the premier." Thesis, University of Fort Hare, 2011. http://hdl.handle.net/10353/496.

Perumal, Palani. "Business model and strategy analysis for radiologists to use electronic health records (EHR)." Thesis, Massachusetts Institute of Technology, 2012. http://hdl.handle.net/1721.1/76928.

Swanson, Abby Jo. "Electronic Medical Records in Acute Care Hospitals: Correlates, Efficiency, and Quality." VCU Scholars Compass, 2006. https://scholarscompass.vcu.edu/etd/871.

Eller, James D. "Correlation of electronic health records use and reduced prevalence of diabetes co-morbidities." Thesis, University of Phoenix, 2013. http://pqdtopen.proquest.com/#viewpdf?dispub=3570767.

The general problem is Native American tribes have high prevalence rates of diabetes. The specific problem is the failure of IHS sites to adopt EHR may cause health care providers to miss critical opportunities to improve screening and triage processes that result in quality improvement. The purpose of the quantitative correlational study was to explore a possible correlation between electronic health record use and reductions in diabetes co-morbidities. The study involved examining over 10 years of ex post facto data, with over one million patient encounters, from the Resource and Patient Management System database. Electronic health records containing key components such as clinical decision support with clinical reminders, evidence-based guidelines, template-driven protocols, and algorithmic modeling changes clinical provider behavior resulting in quality improvement. The study identifies the theoretical constructs from over 50 years of literature that converge to support quality improvement using electronic health records. Quality improvement theory and the unified theory of acceptance and use of technology were examined to explore relationships between process changes and behavioral modification. Results revealed a significant positive correlation between total blood pressure control screenings and the diagnosis of hypertension for fiscal years 2005 – 2009 r (4) = .947, p = .007. A significant positive correlation also existed between blood pressure control screenings with values >130/80 and diagnosis of hypertension for fiscal years 2005 – 2009 r (4) = .909, p = .016. The study concludes with a rejection of the posited null hypotheses, revealing a statistically significant correlation between use of a comprehensive electronic health record and health care quality improvement.

Odom, Stephen A. "Electronic health records| Overcoming obstacles to improve acceptance and utilization for mental health clinicians." Thesis, Capella University, 2017. http://pqdtopen.proquest.com/#viewpdf?dispub=10257030.

The dynamics and progress of the integration of the electronic health record (EHR) into health-care disciplines have been described and examined using theories related to technology adoption. Previous studies have examined health-care clinician resistance to the EHR in primary care, hospital, and urgent care medical settings, but few studies have been completed that pertain specifically to behavioral health-care clinicians. The study purpose was to examine the relationships that may exist between behavioral health-care clinician perceptions of usefulness and ease of use and demographic variables on adoption of the EHR. Regression analyses were performed to test the relationship between behavioral health-care clinician personal characteristics, their perceived ease of use and usefulness of EHR, and their attitudes toward adoption of the EHR. The study utilized licensed marriage and family therapists as participants. The Physician’s Survey Questionnaire Form was adapted to the needs of this study and utilized as the survey instrument. The study was embedded within the frame of Roger’s diffusion of innovations theory and the technology acceptance model. The findings of the study suggest that older clinicians are less likely to perceive the EHR as useful in their professional practice. The results also demonstrate that behavioral health clinician perceived ease of use and usefulness of EHR is positively associated with attitude toward adoption of the EHR. The findings indicate that to improve the adoption of the EHR for behavioral health clinicians, the EHR needs to be viewed as useful. Interpretation of the results and suggestions for future research are offered.

Benjamin, Jennifer Claudette. "Incorporating ADA Best Practice Guidelines in Electronic Medical Records to Improve Glycemic Management in Hospitals." ScholarWorks, 2015. https://scholarworks.waldenu.edu/dissertations/318.

Adu, Ebenezer Siaw. "Organizational Complexity and Hospitals' Adoption of Electronic Medical Records for Closed-loop Medication Therapy Management." ScholarWorks, 2017. https://scholarworks.waldenu.edu/dissertations/3652.

Chava, Nalini. "Administrative reporting for a hospital document scanning system." Virtual Press, 1996. http://liblink.bsu.edu/uhtbin/catkey/1014839.

Chen, Rong. "Towards interoperable and knowledge-based electronic health records using archetype methodology /." Linköping : Department of Biomedical Engineering, Linköpings universitet, 2009. http://www.bibl.liu.se/liupubl/disp/disp2009/tek1280s.htm.

Richard, Joseph Stéphan. "Design of a trusted electronic document management system." Thesis, National Library of Canada = Bibliothèque nationale du Canada, 1999. http://www.collectionscanada.ca/obj/s4/f2/dsk1/tape8/PQDD_0006/MQ44857.pdf.

Inagaki, Masatomi 1960. "An integrated electronic/paper document lifecycle." Thesis, Massachusetts Institute of Technology, 1999. http://hdl.handle.net/1721.1/80221.

Liu, Hanjun. "Financial incentives and the type of specialty practices impact on the physician use of electronic medical records." Thesis, California State University, Long Beach, 2014. http://pqdtopen.proquest.com/#viewpdf?dispub=1527725.

Electronic Medical Records (EMRs) are increasingly being used in healthcare organizations. However, there are few factors influencing the physician adoption rate of EMRs. The purpose of this paper is to investigate the meaningful use incentives, and the type of specialty practices in relationship to the physician use of EMRs. Data from the National Ambulatory Medical Care Survey (NAMCS) were analyzed to how meaningful use incentives and the type of physician practices affect the physician use of EMRs. The Chi-Square test and ANOVA test have been use to examine the hypothesis, and the association was found to be statistically significant.

Griffin, Brian Maxwell 1969. "Digital image processing in a high volume document environment." Monash University, Gippsland School of Engineering, 1997. http://arrow.monash.edu.au/hdl/1959.1/8680.

Litwin, Adam Seth. "Information technology and the employment relationship : an examination of the adoption and use of electronic health records." Thesis, Massachusetts Institute of Technology, 2008. http://hdl.handle.net/1721.1/45152.

West, Christopher E. "Technical limitations of electronic health records in community health centers: Implications on ambulatory care quality." Diss., Search in ProQuest Dissertations & Theses. UC Only, 2010. http://gateway.proquest.com/openurl?url_ver=Z39.88-2004&rft_val_fmt=info:ofi/fmt:kev:mtx:dissertation&res_dat=xri:pqdiss&rft_dat=xri:pqdiss:3398890.

Cunningham, Scott. "My diabetes my way : an electronic personal health record for NHS Scotland." Thesis, University of Dundee, 2014. https://discovery.dundee.ac.uk/en/studentTheses/24b55130-8e8a-4316-8681-b9f4d8513631.

Löwnertz, Kurt. "Change and exchange : electronic document management in building design." Licentiate thesis, KTH, Real Estate and Construction Management, 1998. http://urn.kb.se/resolve?urn=urn:nbn:se:kth:diva-867.

Producing documents using computer supported methods hasbecome common practice in the construction industry, but themanagement of documents is still to a large degree done withmanual methods. Some pioneering users in design, constructionand facility management respectively have applied electronicdocument management (EDM) within their organisations or forprojects. However, the introduction has hitherto beennoticeably slow.

This thesis discusses the benefits of the new documentmanagement techniques to the construction and facilitymanagement process, with focus on building design, as well asthe obstacles when implementing these techniques. Theconstruction sector process has some particular properties,differing from other industry sectors, in that a projectorganisation is formed anew for each project and involves anumber of specialists with varying requirements for theircompanyinternal production and management of documents. Themain themes for EDM in building design are therefore how tomanage the change of information and the exchange or sharing ofinformation between the different organisations.

The thesis contains a state-of-the-art description ofdocument management in building design, including reviews ofcommercial applications, standards and current best practice.Basic techniques on a scale from file-hierarchy-based toproduct-model-based systems are classified and analysed from abuilding design perspective.

Five cases of document management in practice have beenstudied. The companies studied are active within differentdesign disciplines and have chosen to introduce and use EDM indifferent ways, with respect to technology as well as theinformation content that is managed. It is concluded that thedifferent requirements can not be met by uniform methods fordocument management, but that the exchange of documents andtheir meta-data has to be supported by information standardswhich need to cover a number of levels from hardware toconstruction-specific classification. As a starting-point forfurther development a conceptual schema for document meta-datasuited for building design is discussed.

The overall result of the research provides requirements forspecifying applications, standards and implementationprocedures for electronic document management suited to theactivities of building design and the interfaces to longterminformation management concerning buildings.

Keywords: construction, building design, electronicdocument management, requirements, meta-data, standardisation,state-of-the-art, case studies

Mullin, Jim. "Prototype system for document management." Thesis, Kansas State University, 1985. http://hdl.handle.net/2097/9868.

Turchi, Paola. "The influence of physician payor mix in Electronic Health Records adoption and the effects of Medicare and Medicaid incentives." Thesis, California State University, Long Beach, 2014. http://pqdtopen.proquest.com/#viewpdf?dispub=1526965.

This study analyzes the effect of payor mix in the adoption of Electronic Health Records (EHR) among physicians in the United States and whether or not this adoption has been incentivized by the Medicare and Medicaid incentive programs. The study predicted that payor mix influenced adoption and that practices with higher percentage of patient care revenue coming from Medicare and Medicaid would present higher levels of adoption. It also predicted that physicians planning to apply for Medicare and Medicaid incentive programs are more likely to adopt this technology. The Statistical Package for Social Services was utilized to analyze the 2010 National Ambulatory Medical Care Survey data using Chi Square statistics. The results of this study showed a significant relationship between payor mix and EHR adoption and incentive payments and EHR adoption. The findings of this study are valuable for medical practices, EHR vendors, hospitals and government entities to strategize on additional incentives and financial assistance programs that foster meaningful adoption and improve healthcare outcomes.

Gibbs, Edward. "A business plan to launch a document management product in the United Kingdom." Thesis, Stellenbosch : University of Stellenbosch, 2009. http://hdl.handle.net/10019.1/4958.

Fagan, Katrina. "Prevalence and Perceptions of Electronic Health Records in Veterinary Practice: A Statewide Survey of Ohio Registered Veterinary Technicians." The Ohio State University, 2014. http://rave.ohiolink.edu/etdc/view?acc_num=osu1416583738.

Alexander, Jason. "Understanding and Improving Navigation Within Electronic Documents." Thesis, University of Canterbury. Department of Computer Science and Software Engineering, 2009. http://hdl.handle.net/10092/3438.

Mahmood, Ashrafullah Khalid. "Information Security Management of Healthcare System." Thesis, Blekinge Tekniska Högskola, Sektionen för datavetenskap och kommunikation, 2010. http://urn.kb.se/resolve?urn=urn:nbn:se:bth-4353.

Access Releases Findings from its 2024 State of the Records and Information Management Industry Research Revealing Key Opportunities and Trends

New report finds the majority of decision-makers are interested in AI but feel their organizations are lacking knowledge to leverage it while also facing challenges with changing RIM laws and regulations.

Peabody, MA, May 15, 2024 — Access , the world’s largest privately-held integrated information management services provider, today released findings from its 2024 State of the Records and Information Management (RIM) Industry research, revealing insights from hundreds of key decision makers about the current and future state of the industry.

The new research conducted by commissioned third-party research providers revealed only 23% of decision-makers believe their organizations have expert-level knowledge about RIM practices, including AI adoption. In addition, 45% of decision-makers report challenges complying with changing regulations. Given the ongoing increase in data, privacy, and other regulations, as well as the likelihood of lawsuits from data breaches, the risks are higher for organizations that lack experience with information management best practices.

The survey also assessed decision makers’ perceptions of their organizations’ proficiency in information management, as well as the myriad of challenges they face, such as increased data volume, compliance and security issues, resistance to change, and resource limitations.

“The amount of information that organizations must contend with annually is rising exponentially,” said Tony Skarupa, Chief Executive Officer at Access . “Yet, this research shows that many organizations are lacking the critical knowledge and resources needed to handle this volume of information effectively. It has never been more important for business leaders in this position to prioritize securing their records and information, hire qualified specialists in information management, and partner with RIM providers that have the right expertise to help manage and automate the whole information lifecycle, including security and compliance.”

Following are the most notable research insights, including opportunities and trends, revealed about the current and future state of RIM:

• Data is growing, but RIM expertise is scarce: Three-quarters (74%) of decision-makers say that the volume of data their organization handles has increased in the past 12 months, while only 23% of decision-makers say their RIM knowledge is at an expert level. This presents a significant challenge as the volume of data increases for most businesses while the number of experts available to manage it is small. The good news is that organizations are recognizing the issue and can prioritize training, development, or hiring a third-party partner to help them ahead of a breach or other risky outcome.
• Digitization is challenging : The most common challenges that organizations face as they digitize their records and information are lack of experienced resources and team members (35%); compliance, security, and regulatory issues (34%); and resistance to change (33%). This highlights the complexity of transitioning to digital workflows while presenting an opportunity to prioritize the need for strategic planning.
• The benefits of digitization are many: Organizations cite greater data accessibility (48%), time savings (46%), and increased productivity (46%) as the benefits they most expect to receive once they finalize the digitization of their records or information management processes or systems.
• Compliance is difficult: As they look to stay compliant, organizations cite keeping up with changing laws and regulations (44%), navigating industry-specific compliance challenges (37%), and training and enforcement (33%) as the top three challenges they face. Despite these concerns, (13%) of organizations admit they only conduct compliance reviews every 1 to 2 years or longer.
• Trends to track: Decision makers foresee compliance, security, and regulatory issues (37%) as well as resistance to change (37%) posing a challenge in implementing improvements to information management practices in their organization. Additionally, they believe increased automation/AI integration (44%) and new or changing laws and regulations (42%) will provide the biggest changes for the RIM industry in the next 12 months.

To attend the upcoming related webinar, “ Unlocking Data Potential: Mastering Challenges in Information Management & Governance ” exploring the key research highlights, REGISTER HERE . To speak with an Access representative, please contact Access.

Survey Methodology

Access partnered with TEAM LEWIS to survey 300 business decision makers and IT decision makers across the United States at organizations with fewer than 500 employees in the Financial Services, Energy, Manufacturing, Insurance, Legal, and Healthcare industries. The goal of the survey was to understand these decision makers’ thoughts on the current and future state of the records and information management industry. The company also partnered with Cint, a premium provider of digital survey solutions, to recruit survey respondents and collect data through a 25-question online survey.

About Access

Access is the largest privately held records and information management services provider worldwide, with operations across the United States, Canada, Central America, and South America. Access provides transformative services, expertise, and technologies to make organizations more efficient and more compliant. Access helps companies manage and activate their critical business information through offsite storage and information governance services, scanning and digital transformation solutions, document management software, and secure destruction services. Access has been named 12 times to the Inc. 5000, the ranking of fastest-growing private companies in the U.S. For more information on Access, please visit AccessCorp.com.

For more information, contact: Melissa Kolodziej 781-710-0763 [email protected]

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