In doctoral research, reference to related empirical studies is essential to avoid duplication, inform on the theory and methodology used by researchers investigating similar phenomena, maximize on innovation and attain professional standards in research (Maggio, Sewell and Artino 2016:298). The researcher examined previous studies in order to identify gaps in existing literature and situate the present study in the context of extant works. This section presents a critical discussion of related empirical studies from a global, regional and local viewpoint. Selection of the studies was pegged on their relevance to the research themes as outlined in the literature review map, with the purpose of identifying empirical, theoretical and methodological shortcomings.
Globally, Klett (2019) undertook a study titled “Creating value in archives:
overcoming obstacles to digital records appraisal”. Based on the premise that the purposes and methods of appraisal required to be reviewed, the study sought to answer the question - how can digital records appraisal strategies guarantee sustainable selection of d-records that create value in d-archives and comply with usability requirements? The study applied a mixed methods approach with a qualitative methods priority. Data was collected using document review, face-to-face interviews and focus group discussions. The study population constituted archivists and IT staff (number of respondents was not specified). The key findings of the study pointed to the existence of risks from a number of avenues including haphazard and archaic appraisal practices; lack of a strategy by archives to keep in step with technological changes including big data and digitalization; risk of misunderstanding due to lack of knowledge of core terms in appraisal context; and risks of loss of accountability control and values in d-archiving resulting from lack of competences in appraisal processes. Among other recommendations, the study proposed a model to mitigate the risks by supporting creation of archival value through d-records appraisal and usability requirements. Methodological similarities are evident in Klett’s (2019) study and the present study based on similar paradigmatic inclinations, research methodology design (though not in entirety), the risk element in d-records management, and in the design of models to enhance digital archival practices as key outputs in both studies. However, the appraisal process is only but one element in
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archival practice, hence the glaring difference in scope and subject coverage compared to this study.
McHugh’s (2016) study titled “An ontology for risk management of digital collections” majorly explored the possibility for the conception of an ontology for risk management of digital collections. Among other objectives, the study sought to survey contexts wherein preservation was successfully undertaken; and to demonstrate a range of tools utilizing the study findings. The study used a mixed methodology to investigate risks relating to digital materials using interviews, survey method and extensive content analysis as data collection techniques. Key finding of the study indicated that the digital preservation community faced challenges manifested in the scale of data growth and lack of skilled staff for long-term digital preservation work. The study recommended the use of DRAMBORA, a risk-based approach, to be used as a collaborative online tool applicable in a wide range of digital preservation scenarios. Of particular relevance to the present study is the fact that DRAMBORA requires users to describe their preservation tasks from the perspective of resources, activities, objectives and risks, and to give evidence of procedures followed in ensuring sustainable digital preservation. This is in tandem with the present study which investigates risks to digital archives as an important segment of the study. Notably, the present study incorporated findings under the risks theme to develop a framework which is however not wholly risk-oriented.
A study carried out by Kallberg (2013) titled “The emperor’s new clothes:
recordkeeping in a new context” aimed to capture and analyze e-government development as an ongoing change in society and its impact on recordkeeping. The research was undertaken in the context of government municipalities in Sweden. The study explored the importance of recordkeeping legislation in e-government functions within public organizations; the link between recordkeeping legislation awareness and documentation practices within a new context of information capture; and the positions and role of recordkeeping professionals in public sector organizations. The records continuum model was applied as the theoretical lens for the study and a qualitative methodology inclined towards an interpretivist philosophy was used.
Multiple case study design was adopted, where 9 municipalities were selected to participate in the study. Data was collected using documentary review, face-to-face
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interviews and literature review. The study established that there was lack of recordkeeping awareness within the municipalities examined; recordkeeping as a practice and recordkeeping skills were not highlighted as essential in the e-strategies of most of the municipalities; resource allocation for archival work was insufficient;
there was lack of awareness of recordkeeping legislation amongst staff; and archivists did not hold positions at strategic levels. The study therefore proposed a recordkeeping awareness model to compliment the RC model in depicting the inter- relationship between the political, legal and work place arenas with respect to recordkeeping. The similarities between Kallberg’s (2013) study and the present study lie partially in the use of multiple case designs. Additionally, both studies proposed frameworks to enhance recordkeeping and in particular archival practices in public sector organizations. However, the two studies differ in the application of philosophical orientations and subsequent methodological approaches. In addition, the present study zeros in on public universities, whereas Kallberg’s (2013) study looks at government departments in the municipalities.
In Africa, Phiri (2016) explored the significance of recordkeeping in an organisation’s strategy in a study titled “Managing university records and documents in the world of governance, audit and risk: case studies from South Africa and Malawi.” Being a collective case study (as with the present study), multiple cases (six universities) were studied to critically explore the nexus between recordkeeping and governance.
Though Phiri’s study failed to specify the population size and sample, the study population was described as comprising of deputy vice-chancellors (academic), university registrars, finance directors, procurement managers, professors, faculty managers/secretaries, records managers, auditor generals and the directors of higher education. Data was collected using face-to-face interviews, observations and review of institutional documents. On the overall, the study can be described as being by default a comparative study of universities in South Africa and those in Malawi, depicting two extremes on matters records management: the ‘good’ (South Africa) and the ‘bad’ (Malawi). Key findings revealed that: some institutions operated without adequate strategies, policies, legal and regulatory requirements for digital records management; lack of effective recordkeeping infrastructure (that is, tools and practices, skilled and competent human resources, policies as well as standards);
duplicative practices in the management of emails; lack of disposal and retention
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schedules; absence of records management units; lack of top management support, among other issues. These findings led the study to conclude that governance and recordkeeping were closely related. The study therefore proposed a governance recordkeeping model as an approach for managing documents and records in the world of governance, risk and audit. The study compares with the present study in aspects of theoretical coverage and methodological approaches, but differs in the treatment given to digital records as opposed to archives.
Adu’s (2015) study titled “Framework for digital preservation of electronic government in Ghana” investigated digital preservation of e-government in Ghana, the purpose being to develop a framework for practitioners, policy makers and researchers in the country. The study drew on a multi-method design, combining quantitative and qualitative methods. In a similar fashion with the present study, interviews, questionnaires, observations and document reviews were triangulated to collect data from 182 respondents, comprising of 155 records managers and IT heads in the public agencies, and 27 record managers and ICT heads across 24 ministries.
The key findings of the study indicated that: the wide range of digital materials created across the agencies and ministries required to be preserved; constitutional mandate, statutory requirements and policies were required to enforce digital records preservation; there was lack of awareness on the various international standards for digital preservation; and insufficient funding for digital preservation programmes was a key barrier to d-records preservation. The importance of embracing collaborative opportunities for digital preservation was also highly cited. Similar issues have been given coverage in the current study, with long-term preservation occupying a pivotal position in both studies. From the research and knowledge amassed from the study, Adu (2015) proposed a digital preservation framework for public sector organisations in Ghana, which incorporated aspects of the integrated management framework, the OAIS model, and the model developed by the panel of experts on memory institutions from Canada which informed the study’s theoretical framework. Similarly, the present study proposed a digital archiving framework for public universities which borrowed from the OAIS, the RC and the ARMA Records Management models. However, Adu’s study focused on the concept of digital preservation of e-government records in the agencies and ministries in Ghana, in contrast to the present study which focused on the management of digital archives in institutions of higher learning.
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Laughton (2011) undertook a study titled “Open Archival Information System (OAIS) as a data curation standard in the World Data Centre”. The purpose of the study was to establish how data can be curated in the World Data Centre (WDC) using the OAIS functional model as a benchmark. Mixed methods research design was adopted and data was collected using online survey, literature review and online interviews. Mixed methods research was used and multiple case study approach was adopted, whereby maximum variation sampling technique was utilized to select four cases from which data was collected on data curation practices at WDC. Findings of the study revealed that only four functions of the OAIS functional model (ingest, archival storage, preservation planning and access) were represented in all the four cases; only two of the four cases had a perfect Pre-Ingest function; of the four cases, only case 1 did not split up any of the OAIS functional model functions into separate analogue and digital functions. Based on the findings, the overall recommendation of the study was that the WDS should develop a data curation framework for its member data centres to ensure standards are maintained and to act as a guideline. Laughton’s (2011) study is similar to the present study in the methodological approach used. In addition, the OAIS Reference model is a point of reference in both studies. However, the present study gave modest attention to data curation and instead concentrated on digital archiving.
In a study titled “Developing an e-records readiness framework for labour organisations in Botswana” Kalusopa (2011) examined the readiness of labour organisations for e-records with a view to developing an integrated e-records readiness framework. The study was anchored upon the technology acceptance model, diffusion of innovation theory, RC model, RLC model and the integrated records management model. The study drew upon both quantitative and qualitative methods whereby questionnaires, interviews, observations and documentary review were used as data collection instruments. The target population constituted 50 registered labour organizations, justifying the use of sampling by census. From the study findings, readiness for e-records was evident in the case study areas, though growing at a low pace. However, records management practices did not conform to established standards. Additionally, there was no clear framework for examining and understanding e-records readiness in Botswana labour organizations. The study
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therefore proposed such a framework for implementation by labour organisations in the country. The aspect of e-readiness featured prominently in Kalusopa’s study as well as in the present study, the outstanding difference being that the study by Kalusopa was confined to d-records as opposed to d-archives in the current study.
In the East African region, Luyombya’s (2010) study titled "Framework for effective public digital records management in Uganda" sought to establish whether Uganda had a framework for the effective management of digital records in the Public Service of Uganda (UPS). The researcher utilized the RC model to develop the conceptual framework that guided the study. A mixed methods approach was used wherein the researcher alternated qualitative and quantitative methods to examine the management of digital records in the UPS. A case study approach was adopted and data was collected through in-depth interviews (40 respondents) and self-administered questionnaires (75) from 23 ministries in the UPS. The study population comprised of senior and middle managers, records managers and ICT managers. The findings of the study revealed that DRM problems emanated from absence of ICT systems with recordkeeping functionality; lack of clear guidelines, policies, and procedures, and;
inadequate implementation and enforcement of the Uganda Records and Archives legislation. Additionally, insufficient funds, inadequate skilled staff and lack of a reliable power supply contributed to the DRM problems. Amongst other suggestions, Luyombya (2010) proposed for the development of a robust DRM infrastructure, recruitment of skilled manpower, enactment of a formal legal infrastructure; and establishment of national archives with appropriate procedures policies and guidelines. The issues addressed resonated well with the present research, the main difference being that Luyombya’s study was skewed towards digital records. The study provided insights into the methodology and understanding of the depth of records management in the public sector in Uganda. It however failed to provide insight into the best practices for the management of digital archives.
In Kenya, Odhiambo’s (2019) study titled “Institutional readiness for digital archives management at United States International University-Africa” assessed the readiness of USIU-A for digital archives management with a view to proposing strategies for enhancing the management of digital archives in the institution. The study was underpinned by the RC, OAIS and DCC Lifecycle models, and adopted a mixed
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methods approach following a single case study design, with the archive staff and users making up the study population. Using systematic random sampling and purposive sampling, a sample size of 120 respondents was selected out of the total population of 6937. Questionnaires and in-depth interviews were used as data collection instruments, supplemented by observation and documentary review. The study findings painted a dual picture of success stories and challenges in digital archiving (see section 3.5). Some recommendations of the study were that: the institution should purchase a DAM software that has digital archiving functionality;
recruitment of skilled recordkeeping staff; institutional participation and collaboration in DAM approaches and initiatives locally and globally; and top management support for digital archiving programmes. Although Odhiambo’s study was done at a Master’s degree level, the study found a place in the present research since the phenomenon under investigation in both studies is similar and within the same geographical context (Kenya). However, the studies differ in scope since the former is a case study of a single private university while the current research is a multiple case study of six public universities.
Musembe (2019) carried out a study titled “E-records security management at Moi University, Kenya.” The study aimed to investigate security issues surrounding e- records management at Moi University. To achieve this, the study was underpinned by the RC and the Parkerian Hexad models. Consistent with the pragmatic paradigm, the study used a mixed methods design to undertake the single case study research at Moi University. Census technique was used to select 145 respondents from the top management, directors and deans of schools, ICT staff and administrators (comprising of records managers, records staff and action officers). Data was collected using semi- structured interviews and self-administered questionnaires. Key findings of the study indicated that there was absence of policies, standards and guidelines on e-records management and security; e-records security threats existed at Moi University (emanating from lack of a formal ERM programme, policies and procedures, absence of a regulatory framework for the ERM, unauthorized use and sharing of e-records;
and cyber-attacks); the institution was applying logical and physical controls to secure e-records; ethical values of confidentiality, authenticity, integrity, possession/control, utility and availability were being practiced to some extent; and there were adequate personnel dedicated to ERM but not all were trained in records
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and archives management. The study put forth recommendations which included:
adoption of electronic-based service provision to clients, development and implementation of a functional ERM programme, implementing and cascading regulatory frameworks, policies, procedures and standards into an operational programme for e-records management; increased budgetary allocation for ERM, developing a records classification procedure and guidelines, among others.
Musembe’s (2019) study compares well with the present study since Moi University is the single case study site in the study, and is one of the six study sites in the present study. Also, both studies made use of the records continuum model and focus on digital records management practices in a university setting. In addition, the key issues addressed in both studies are similar. However, Musembe’s (2019) study does not extend the investigation on security of d-records to address the end-part of the records continuum. In contrast, the present study focuses on the entirety of digital archives management practices in both the pre and post-ingest stages of the RC.
Ambira (2016) carried out a study titled “A framework for management of electronic records in support of e-government in Kenya”. The study sought to establish how the existing state of digital records in Kenya inhibits or enables the implementation of e- governance, with the purpose of developing a best practice framework for ERM in support of e-government in government ministries and agencies. The MoReq model and the UN 5-stage model were the models of choice for the study. As opposed to the current study, a qualitative methodological approach based on constructivist perspective was used and a phenomenological research design was adopted. Some key findings of the study included: lack of policy and regulatory framework on management of electronic records (MER) in all ministries; lack of systems in place to manage e-records; lack of standards for MER to help in harmonizing the management of electronic records across ministries; and inadequate skills and expertise in MER across government ministries. A key output of the study was a framework for MER in support of e-government. The study by Ambira (2016) relates with the present study in that both studies examined digital recordkeeping in public sector oganisations and came up with best practice frameworks to enhance digital recordkeeping. Interestingly too, Ambira (2016:329) addressed DAM issues and recommended that KNADS should develop and provide guidelines for the capture of d-archives into archival
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repositories. However, the two studies used different methodological approaches based on divergent philosophical viewpoints to achieve their objectives.
Last but not least, a study by Maseh (2015) titled “Records management readiness for open government in the Kenyan judiciary” investigated records management practices in the judiciary in Kenya in order to promote transformation and open government for the effective and efficient achievement of justice. To realize this aim, the study sought to determine the state of records management in the Kenyan judiciary, establish the nexus between open government and records management and assess the Kenyan judiciary’s readiness for e-records. The theoretical underpinnings of the study comprised the E-records Readiness Tool, the Records Continuum Model and the Open Government Implementation Model (OGIM). In line with the pragmatic paradigm, the study embraced the mixed methods research approach, using the embedded case study strategy. The high courts and magistrates’ courts in two of the counties in Kenya (Nairobi and Uasin Gishu) were examined. Census technique was used to select the study sample comprising of staff from both the technical units (judicial staff, court registrars and deputy registrars) and administrative units (executive officers, records officers and registry assistants) of the judiciary.
Questionnaires, in-depth interviews and observation were employed to collect the required data. The findings of the study revealed a generally poor state of records management in the judiciary, indicating that the judiciary was ill-prepared for e- records management. This led to the general conclusion that the implementation of open government in the Kenyan judiciary was still at the initial stages. Among other important suggestions, the study recommended formulation of a general records management policy addressing e-records; development of an appraisal and disposal programme, development of a preservation programme, provision of appropriate storage environment and media for records, and capacity building for records management. Maseh’s (2015) research resonates with the present study in that both followed a similar methodological design to investigate digital recordkeeping in public sector organizations. However, the context and scope of the studies differed in that whilst Maseh’s (2015) study was a single embedded case study, the present research constitutes multiple cases. The focus on digital records and digital archives is another important point of departure in the two studies.