NATIONAL INSTITUTE OF PUBLIC ADMINISTRATION
Programme: Diploma in Records Management
Course: Qualitative Research Methods
Course code: RSS2010
Mode: part-time
Lecturer: Mr. Frederick Mwaala Lifumbo
Due date: TBA
Assignment two
QUESTION: Draft a proposal on any topic, clearly showing: the title, background
of the study, statement of the problem, research objectives, literature review and
research methodology.
Group five (5) members
1. Chumpuka Mulekwa: 2023000019
2. Nchimunya Habukali: 23054778
3. Trebby Hibajene: 2023000425
Table of Contents
TITLE ....................................................................................................................................................... 2
CHAPTER ONE ....................................................................................................................................... 3
1.1.1 INTRODUCTION ........................................................................................................................... 3
1.1.2 BACKGROUND OF THE STUDY ................................................................................................ 3
1.1.3 STATEMENT OF THE PROBLEM ............................................................................................... 5
1.1.4 RESEARCH OBJECTIVES ............................................................................................................ 6
1.1.5 GENERAL OBJECTIVE ................................................................................................................. 6
1.1.6 SPECIFIC OBJECTIVES ................................................................................................................ 6
1.1.7 RESEARCH QUESTIONS.............................................................................................................. 6
1.1.8 DEFINITION OF ACRONYMS AND KEY TERMS .................................................................... 6
1.1.9 DELIMITATION AND SCOPE OF THE STUDY......................................................................... 6
1.2.1 SIGNIFICANCE OF THE STUDY ................................................................................................. 7
1.2.2 LIMITATIONS OF THE STUDY ................................................................................................... 7
CHAPTER TWO ...................................................................................................................................... 8
2.1.1 LITERATURE REVIEW ................................................................................................................ 8
2.1.2 INTRODUCTION ........................................................................................................................... 8
2.1.3 THEORETICAL REVIEW.............................................................................................................. 9
2.1.4 EMPIRICAL REVIEW ................................................................................................................. 10
2.1.5 CONCEPTUAL FRAMEWORK .................................................................................................. 11
CHAPTER THREE ................................................................................................................................ 12
3.1.1 RESEARCH METHODOLOGY ................................................................................................... 12
3.1.2 INTRODUCTION ......................................................................................................................... 12
3.1.3 RESEARCH DESIGN ................................................................................................................... 12
3.1.4 LOCATION OF THE STUDY ...................................................................................................... 12
3.1.5 TARGET POPULATION .............................................................................................................. 12
3.1.6 SAMPLE SIZE .............................................................................................................................. 12
3.1.7 SAMPLING TECHNIQUE ........................................................................................................... 12
3.1.8 DATA COLLECTION .................................................................................................................. 13
3.1.9 DATA ANALYSIS ........................................................................................................................ 13
3.2.1 VALIDITY AND RELIABILTY .................................................................................................. 13
3.2.2 ETHICAL CONSIDERATIONS ................................................................................................... 13
REFERENCES ....................................................................................................................................... 14
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TITLE
A STUDY ON THE CHALLENGES OF ELECTRONIC RECORDS MANAGEMENT IN
SELECTED GOVERNMENT MINISTRIES IN LUSAKA DISTRICT.
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CHAPTER ONE
1.1.1 INTRODUCTION
The following is a discussion of the background of the proposed study. It clarifies that basis on
which the proposed study emanates as well as its historical source and what the proposed study
seeks to contribute to the existing body of knowledge in line with the proposed research topic.
1.1.2 BACKGROUND OF THE STUDY
Before colonialism, “Africa had no culture of writing and recordkeeping” because there were no
systematic means of accumulation and management of archives and records (Enwere, 1997).
Initially the colonial regimes had little or no interest in establishing a strong records and archives
management programs because either there was an absence of competent personnel in Africa to
handle records or “it was not contributing to their economic interest” (Enwere, 1997).
That may be the basis that Nyirenda (1994) lamented the declining state of archives services in
Africa, and cast blame on colonialism and poor record keeping as the roots of records and archival
underdevelopment. This problem continued to hinder effective record management in the
continent till independence and in effect discourage individuals who had the prospects or ambition
of making their careers in records management (Lance,2001).
The failure of the colonial imperialist to enact strong and credible archival legislation in their
colonies contributed to deficient physical facilities and marginalization of national archives and
records which consequently led to inadequate archives and records management legislation and
infrastructures in Africa (Boysen,2004). The level of development of records and archives
institution was not encouraging as records management lacked international standards until
independence (Verstappen,2009).
As soon as African nations were granted political independence, the state of records and archives
management in most countries deteriorated progressively due to a massive growth in the number
of personnel and a gradual decline of professionalism and orientation to output (Tough, 2003).
corruption and bribery also invaded the bureaucracy and informal practices supplanted formal
rules and efficient public administration was of secondary importance to providing employment
(IRMT, 2004).
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While the civil service expanded steadily, bringing with it the proliferation of paper records, more
formal ways of working gradually collapsed as there was little incentive to maintain effective
record keeping systems or to allocate adequate resources for records storage (Kenny,2007). In
other cases, the failure to create and maintain effective records systems was motivated by the
purposive desire to conceal financial fraud and other irregularities (IRMT, 2004). In addition, Staff
had limited training or experience on record keeping work, and hence the deterioration of record
management was accelerated (syke,2002).
Ultimately, the challenges of archival underdevelopment in Africa have not been tackled by record
managers and archivists in Africa before the emergence of digital records and this marked the roots
of all the existing challenges and problems of effective electronic-records and electronic -archives
management in Africa today. It is against this backdrop that the proposed study seeks to investigate
the existing challenges of electronic records management in selected government ministries in
Lusaka district.
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1.1.3 STATEMENT OF THE PROBLEM
African countries are faced with several challenges in managing records, particularly electronic
records which border on technology obsolescence, inadequate trained personnel, policy
formulation and implementation and other impediments which have made the structure, content
and context of records to be altered indiscriminately (Iwhiwu,2010).
Several studies also point out the challenges in electronic records management in developing
countries, which include: absence of organizational plans for managing electronic records, lack
of co-ordination in handling paper-based as well as electronic records, absence of legislation,
organizational policies and procedures to guide the management of both paper and electronic
records, lack of core competencies in records and archives management, lack of appropriate
facilities and environmental conditions for the storage and preservation of paper as well as
electronic records, absence of dedicated budgets for records management; poor security and
confidentiality controls, lack of records retention and disposal policies and absence of migration
strategies for electronic records (Brown et al., 2009, Goh et al., 2009, IRMT, 2004, p. 5, Katuu,
2016).
Despite these findings, the challenges of electronic records management are subjective and cannot
be generalized to other African countries due to the existing differences in the pace of information
technology developments, digital divide and the internet penetration rate among African countries.
Furthermore, there is currently little research on the challenges of electronic records management
among local researchers as the phenomenon is still in its infancy due to the recent dawn of the
internet age. This has necessitated the proposed study to investigate the challenges of electronic
records management in selected government ministries in Lusaka district.
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1.1.4 RESEARCH OBJECTIVES
1.1.5 GENERAL OBJECTIVE
1. To investigate the challenges of electronic records management in selected government
ministries in Lusaka district.
1.1.6 SPECIFIC OBJECTIVES
1. To establish the technical challenges in electronic records management in selected government
ministries in Lusaka district.
2.To ascertain the financial challenges in electronic records management in selected government
ministries in Lusaka district.
3. To identify the administrative challenges in electronic records management in selected
government ministries in Lusaka district.
1.1.7 RESEARCH QUESTIONS
1. what are the technical challenges in electronic records management in selected government
ministries in Lusaka district?
2.what are the financial challenges in electronic records management in selected government
ministries in Lusaka district?
3. what are the administrative challenges in electronic records management in selected government
ministries in Lusaka district?
1.1.8 DEFINITION OF ACRONYMS AND KEY TERMS
ICT: Information Communication Technology
GRZ: Government Republic of Zambia
IRMT: International Records Management Trust
ISO: International Organization for Standardization
RECORD: Stored information, regardless of media, created or received by an organization.
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1.1.9 DELIMITATION AND SCOPE OF THE STUDY
The study will be limited to five (5) selected government ministries in Lusaka district the capital
of Lusaka. The study will be also be limited to investigating the challenges of electronic records
management in government ministries only.
1.2.1 SIGNIFICANCE OF THE STUDY
It is envisaged that the proposed study will help alleviate the existing gaps in literature highlighted
in the problem statement by investigating and documenting the challenges of electronic records
management in government ministries. It is further envisaged that the findings of the study will
help records management professionals both in the public and private sector to formulate and
implement efficient and effective electronic management policies and modalities in order to
alleviate the existing challenges.
1.2.2 LIMITATIONS OF THE STUDY
The study is expected to be contained by inadequate financial and time resources, it is further
envisaged that the study will be constrained by possible unfavorable responses from the
respondents such as lack of cooperation and incomplete responses.
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CHAPTER TWO
2.1.1 LITERATURE REVIEW
2.1.2 INTRODUCTION
The literature review discusses the challenges of electronic records management from related
scholarly works and writings from various authors on the subject matter.
Today the culture of keeping and management of physical records is being taken over by records
in electronic formats and as Wamukoya and Mutula (2005) noted sound recordkeeping practices
are “increasingly being emphasized on and demanded to enhance performance, transparency and
accountability in government”.
The major trend which has affected the way records are created result from the rapid penetration
of microcomputers into the markets and into the office environment of the government and the
private sectors (Bowas,2019). Linked to this penetration are the development of local area
networks (LANs) and the large area networks (LANS), (Salah,2014).
Computer-based information systems and the internet are revolutionizing the ways business is
carried out and the manner electronic record and archives is created, managed and accessed which
It has led to the rapid and unprecedented proliferation of text and data files and the difficulty of
inventorying, appraising and preserving these files (Rogers,2016).
The penetration of technology has led to electronic information revolution and transformed the
way people do their work (Blais, 1995). It is leading to new practices of communication and new
form of records management (Bearman, 1992). Information technology is redefining the nature of
human interaction and imposing new forms of orality to social exchanges (Taylor, 1987).
The twenty-first century is a decade that saw the emergence of networking and widespread sharing
of information (Barry,2001). The interconnection of computing and telecommunications in vast
networks has important implications for the ways records are created and maintained in developing
regions (Tucker,2018). Most writers on records management in Africa have revealed startling
issues accompanying electronic archives and records management in the continent.
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Yahaya (2002) observed that computer workstations in government ministries and offices were
generating enormous volumes of e-mail, word-processing documents, and automated databases,
but the problem is how to preserve and manage the mounting plethora of these digital records.
A case study undertaken by Akotia (2000) in the Ugandan Ministry of Finance on the management
of financial records, revealed that information communication technology was considered an
indispensable tool for enhancing productivity, but little attention was paid to the information
management challenges and to understanding the forces of change that affect the form and integrity
of electronic records.
Akotia (2000) further noted that the Ministry had neither the capacity for managing the basic
elements of an electronic records programme, nor the staff who understood the functional
requirements for record keeping; the competencies and skills needed to manage electronic
information delivery systems and the legal and administrative requirements. Commenting on this
state of electronic records management in Africa, Mukotekwa (2002) pointed at the minimal
activities on electronic -records management going on in many African countries.
Mutiti (2002) also noted that the responsibilities for managing electronic records in Africa are not
well defined. She cited an example in Kenya and Malawi, where individual departments took
responsibility for managing their own records while in Botswana, Kenya and Zimbabwe this
mandate was derived through the National Archives legislation. She further revealed that apart
from South Africa, which has put in place measures to manage, destroy and dispose of electronic
-records through a disposal authority, the other countries did not have an explicit policy for
managing electronic records.
2.1.3 THEORETICAL REVIEW
The study will be based on the ‘records lifecycle theory’ which prescribes the life phase of a record
from creation to disposal. Records lifecycle refers to the stages that each record must go through
and be managed during its lifespan (Rumbolt, 2006). The lifecycle of records consists of three
major stages which include: creation or receipt, distribution and use, and disposition (Lipchak
(2002). Different policies and procedures exist at each stage depending on the context of records
management and the type of the record (Shepherd & Yeo, 2003).
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Record life cycles are usually implemented by organizations with large amounts of records, such
as government agencies and corporations but they may also be used by smaller organizations that
want to ensure that their records are secure and can be retrieved at any time (Aarons, 2005). The
use of the ‘records lifecycle theory’ in the proposed study is justified by the global consensus
among records management professionals, scholars and the ‘international organization for
standardization ‘(ISO 15489) which establishes the fundamental concepts and principles for
creating, capturing and managing records in any format.
2.1.4 EMPIRICAL REVIEW
Empirical studies have identified several challenges in records management in institutions from
the perspective of the main stakeholders (governments, university management, the staff and the
students) of the institutions (Awe, et al.2000).
The findings on the challenges of electronic records management in institutions are found in the
works of (Keakopa, 2006, Moloi, 2006, Tshotlo and Mnjama, 2010). For example, Keakopa (2006,
p. 135-136) revealed that in Botswana, there were challenges related to management of paper and
electronic systems, back-up procedures, long-term preservation of electronic records, issues of
access and coping with change from manual to computerized systems.
Moloi (2006, p. 105-107), also cited lack of procedures, lack of policy and legislative framework;
lack of ICT skills, among others, as challenges faced in electronic records management in the
public sector. Similarly, Tshotlo and Mnjama (2010, p. 30-32) carried a records management audit
in a local government at the Gaborone City Council (GCC) and revealed innumerable challenges
such as lack of records management policies to guide the creation, storage, access, retention and
disposal of records. The integration of ICTs in records management functions was also found to
be very minimal.
The empirical literature cited above reached the conclusion that electronic records management in
institutions is faced with various challenges. However, the identified challenges depend on the
institution under investigation and the level of the development of the institution and country. This
has necessitated the proposed study to investigate the challenges of electronic records management
in selected government ministries in Lusaka district.
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2.1.5 CONCEPTUAL FRAMEWORK
Source: Authors,2024
The conceptual framework depicts the fundamental stages involved in records management and
the resulting challenges of integrating information communication technologies in the process as
explained below.
Stage 1, outlines the process of records management for electronic or paper-based records, while
stage 2 depicts the emergence of an electronic record due to the use of various information
communication technologies in the process. Stage 3 depicts the challenges which emanate in the
process of electronic records management as a result of integrating various information
communication technologies in the second stage. ultimately, stage 4 depicts any possible
outcomes, Such as the quality and quantity of electronic records in light of the perceived challenges
in the process of creation, reception, usage, maintenance, appraisal and eventual disposal.
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CHAPTER THREE
3.1.1 RESEARCH METHODOLOGY
3.1.2 INTRODUCTION
This chapter discusses the research methodology of the study. It outlines the location of the study,
research design, target population, sample size, sampling technique, research instruments which
will be used in collection and analysis of data as well as the procedures that will be used in the
study.
3.1.3 RESEARCH DESIGN
The study will use a qualitative research design. A qualitative research design provides an in-depth
or detailed account of the subject under study (Creswell,2001).
3.1.4 LOCATION OF THE STUDY
The study will be conducted in Lusaka district at government complex.
3.1.5 TARGET POPULATION
The target population of the study will include registry clerks and registry supervisors from five
(5) selected government ministries which will include the ministry of: Education, Health, Home
affairs, Tourism and Agriculture. The target population is a group of individuals that the study
intends to conduct research on and draw conclusions from (Crawford et al., 2020).
3.1.6 SAMPLE SIZE
The sample size of the study will be fifty (50) respondents which will comprise of 45 registry
clerks and 5 registry supervisors. A sample size is a sample size is the number of observations or
individuals included in a study or experiment (Creswell,2001).
3.1.7 SAMPLING TECHNIQUE
The study will make use of purposive sampling. Purposive sampling will be used to select 45
registry clerks and 5 registry supervisors from the registries of five (5) selected government
institutions as primary and secondary respondents respectively. Purposive sampling allows for the
selection of participants who are most relevant to the research question and facilitates for the
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collection of rich data which is directly pertinent to the study's objectives, leading to more
meaningful and focused findings (Creswell,2001).
3.1.8 DATA COLLECTION
The study will obtain primary information through face-to-face open-ended interviews with the
respondents from which interview notes will be taken. In order to facilitate for triangulation,
secondary data will be collected from related scholarly articles both in electronic and hard copy
form.
3.1.9 DATA ANALYSIS
Microsoft excel will be used to analyze quantitative data, while thematic analysis will be used to
analyze qualitative data.
3.2.1 VALIDITY AND RELIABILTY
Triangulation will be used to facilitate validity and reliability of the study.
3.2.2 ETHICAL CONSIDERATIONS
Ethical guidelines and protocols that govern scientific and social research will be adhered to during
the research process, as permission will be sought from the authorities to carry out the study and
respondents consent to participate in the study will be sought prior to the study.
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REFERENCES
Kamatula, G.A. (2010). E-government and e-records challenges prospects for African records
managers and archivists. ESARBICA Journal 29:160-181.
Rhoads, J. B. (1983). The role of archives and record management in national information
systems: a RAMP study. UNESCO.
Venter, L. (2007). National Archives and Records Service’s requirements for the management of
electronic records in the public sector: an archivist’s perspective on records management vs.
storage management. Archives News 2:22-36.
Wato,R. (2006). E-records readiness in the ESARBICA region: challenges and the way forward.
ESARBICA Journal 25: 69-83.
Yusuf, Z. and Chell, R. (1998). Records management education and training worldwide: a
general overview of the current situation. Records Management Journal 8(1):25-54.
Yin, R.K. (2003). Case Study Research: Design and Method 3rd Edition. London: Sage
Publications.
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