Elsebah Maseh

E-government implications for records management in Africa – a review of literature

Elsebah Maseh (PhD) 1. Introduction

First affiliation: Lecturer, Moi University,
School of Information Sciences, Eldoret,
Increasingly, governments all over the world
Kenya.
are adopting e-government by deploying
Second affiliation: Research collaborator,
information and communication technologies
InterPARES Africa, coordinated by the
(ICTs) to carry out their activities and
University of South Africa, Pretoria, South
operations (Mnjama and Wamukoya, 2007).
Africa
E-government has been defined in extant
Email: [email protected]
literature in different ways. Broadly, it can be
defined as the use of ICTs in the public sector
Abstract to improve operations and delivery of services
(Kumar and Best, 2006). According to the
Increasingly, governments all over the world are
World Bank Group (2015), e-government is
adopting e-government by deploying Information and
seen as
Communication Technologies (ICTs) to carry out their
“the use of information technologies
activities and operations. Consequently, there has been
(such as Wide Area Networks, the
an increase in the volumes of electronic records created.
Internet, and mobile computing) that
These records must be managed through systems
have the ability to transform relations
providing constant intellectual and physical control in
with citizens, businesses and other
order to ensure that they remain accessible over time.
arms of government. These
This would therefore call for among other things the
technologies can serve a variety of
formulation and implementation of records
different ends: better delivery of
management policies, adoption of records management
government services to citizens,
standards and developing staff capacity through
improved interactions with business
education and training. The literature reviewed showed
and industry, citizen empowerment
that if these records are managed well, efficiency in the
through access to information, or
public sector could be achieved. However, the literature
more efficient government
also revealed that African countries are faced with a
management. The resulting benefits
myriad of challenges that could undermine success of e-
can be less corruption, increased
government initiatives in the continent. These
transparency, greater convenience,
challenges include the following: fragility and transient
revenue growth, and/or cost
nature of the storage media, absence of records
reductions.
management policies, difficulty in maintaining integrity
of the records and technical skills requirements to
Basu (2004) observed that a common theme
name but a few.
behind e-government involves the automation
Key words: e-government, records or computerization of existing paper-based
management, e-records, Africa, information procedures that will prompt new styles of
and communication technologies leadership, new ways of listening to citizens
and communities and new ways of organizing
and delivering information. In summary, the
crucial element of all e-government
definitions is the use of ICT tools to reinvent
the public sector by transforming its internal
and external ways of doing things and its

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interrelationships with customers and the reaching challenges to record keeping in the
business community (Ndou, 2004). However, region that must be addressed if e-
Dada (2006, p. 1) observed that e-government government is to benefit the region. The
is not merely the computerization of a paper therefore gives an overview of e-
government system but a belief in the ability government; analyses e-government
of technology to achieve high levels of implications for records management; and
improvement in various areas of government, draws conclusions based on the analysis.
thus transforming the nature of politics and
the relations between governments and
citizens. 2. Overview of e-government

Lemieux (2015, p. 5) observed that with an Increasingly governments all over the world
increase in the adoption of e-government are adopting ICTs to carry out their activities
initiatives, both public and private sector and operations hence the rise of e-
organizations have come to rely upon a government initiatives globally (Mnjama and
growing array of communications Wamukoya, 2007). Soliman and Affisco (2006,
technologies to create, exchange and store p. 13) contend that the most frequently cited
information. Mnjama and Wamukoya (2007, motive behind initiating e-government
p. 277) contend that the emergence of e- projects is the need for more efficiency in
government has resulted in the creation of public sectors. In fact, according to the
electronic records or e-records and the authors, federal, state and local governments
information they contain is indeed a valuable worldwide are under pressure to deliver
asset that must be managed and protected. In services more efficiently at lower costs and are
the context of this paper, e-records refer to recognizing e-government as an attractive
“recorded information that is capable of option both commercially and politically
giving evidence of policies, transactions and (Soliman and Affisco, 2006).
activities carried out in e-government and e-
commerce environments” (International Wescott (2001, p. 2) identified the following
Records Management Trust, 2004, p. 1). E- as benefits of e-government: lowering
government adoption has therefore led to a administrative costs; providing faster and
shift from traditional paper-based filing more accurate response to requests and
systems to structured databases, content queries; directing access to transaction or
management systems, social media platforms, customer accounts held in different parts of
web technologies and mobile platforms. government; providing ability to harvest more
These infer huge e-government implications data from operational systems which in turn
for records management which is the subject increases the quality of feedback to managers
of this paper. and policy makers. E-government is therefore
increasingly being seen as the answer to a
The article is based on a literature review on plethora of challenges faced by governments
e-government and records management in in their service delivery to the citizens (Kumar
Africa as a region drawing lessons from what and Best, 2006, p. 1). In a nutshell, e-
is happening elsewhere in the world. The government aims to enhance access to and
study was based on three assumptions: that delivery of government services to benefit
Africa like other regions of the world is citizens and more importantly to help
increasingly adopting e-government; the strengthen government’s drive towards
adoption, has led to an increase in the volume effective governance and increased
of electronic records created; and that the transparency to better manage a country’s
electronic records have introduced far
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social, political and economic resources for  Government Performance Results Act
development (Basu, 2004). E-government is (United States Congress, 1993) that
therefore touted as a means to save costs requires Federal agencies to engage in
while at the same time improving quality, performance management tasks such as
response times and access to services. setting goals, measuring results and
reporting their progress.
Kumar and Best (2006, p. 1) opined that e-  Government Paperwork Elimination Act
government is particularly beneficial to (United States Congress, 1998) that calls
developing countries where resource for Federal agencies to use electronic
constraints are a major challenge. Concurring means in conducting official business with
with this view, Schuppan (2009, p. 118) posits the public by 2003. The guidance focuses
that e-government is especially relevant for on records management issues involving
developing countries, Africa included, where records that have been created using
public administration is characterized by electronic signature technology.
inefficiency, limited capacity and poorly  E-Government Act (United States
trained personnel. The author however Congress, 2002) that provides for the
cautions that since e-government and its establishment of a framework of measures
related organizational concepts were that facilitate using Internet-based
developed in industrialized countries, it information technology to improve citizen
should not be assumed that it is automatically access to government information and
appropriate for developing countries services.
(Schuppan, 2009). Accordingly, the author These Acts are seen as largely responsible for
pointed out that when introducing e- the entrenching of e-government in the US.
government in developing countries, it is Chen et al. (2006) observed that the United
expected that different and more far-reaching States of America as the largest economic
efforts will be necessary than in developed powerhouse on earth has one of the most
countries. In the same vein, Wescott (2001) advanced national e-government
posits that in African bureaucratic settings infrastructures in the world. The authors
with limited technical capacity, authoritarian opined that the United States of America’s
decision making and strong patron-client rich history and culture of democracy and its
relations, ICT may fail to produce the hoped capitalist economic system could have
for results. boosted the e-government initiatives. Mutula
(2012) noted the three-fold strategic principles
According to Chadwick and May (2003), the that the implementation of e-government in
concept and practices of e-government first the United States of America is hinged on as
emerged in the most technologically advanced being: citizen-centered rather than
western countries such as the United States of bureaucracy-centered; results oriented; and
America, United Kingdom, Canada and market based. These principles over the years
Australia, that which were pioneers in the propelled the United States of America
adoption of the Internet. At the United States government to greater heights with regard to
of America federal level of government for e-government implementation.
instance, evolving frameworks of laws and
policies have been influencing the speed, Bannister (2007) however, posited that the
scope and direction of e-government African countries were still at their infant
initiatives (Lee et al., 2005, p. 100). The stages with limited public services being
authors identified influential statutes which in processed online. Schuppan (2009) agreed
their opinion have helped propel the e- with this view pointing out that from a global
government initiative to include:
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perspective African countries were particularly opportunity to improve the delivery of

underdeveloped in the implementation of e- information and services to citizens and
government since Internet access was scarce business thus streamlining public sector
and e-government services were rare. Arther functions and increasing citizen participation
et al. (2007), noted that African countries in government. The World Bank and the
were still lagging behind with the International Records Management Trust
implementation of e-government since (2000) observed that e-government has the
required data such as land registers, residential potential to transcend constraints imposed by
or geographic data were often non-existent or distance and increase the speed of service
outdated. The authors further pointed out delivery.
that processing of permits such as those for
building and property acquisition registration The adoption of e-government platforms by
etc., frequently took several years to finalize different countries is generating vast amounts
and many citizens especially those living in of electronic records (e-records) that need to
slum areas often have never been issued with be properly managed in order to enhance
birth certificates. transparency and accountability in the
management of public affairs and in effective
This notwithstanding Schuppan (2009) delivery of services (Wamukoya, 2012). The
observed that the region had developed World Bank and the International Records
potential for the growth of e-government. Management Trust (2000) caution that such
Mutula (2012, p. 21) that there has been records should be managed through systems
improvement in the region since the year providing constant intellectual and physical
2008, propelled by the completion of the control aimed at preserving the combination
undersea fiber connectivity on the east coast of content, context and structure which give
of Africa which had provided high speed electronic records meaning over time. This
internet links to the rest of the world and is according to Wamukoya and Mutula (2005)
likely to improve e-government services in the provide a strong foundation for enhancing
region. Further, the author noted that the accountability, transparency, democratic
mobile phone revolution had brought governance, poverty eradication, elimination
communications to hundreds of millions of of corruption and efficient use of donor-
people across Africa and e-government funded resources.
projects should leverage these new
technologies to provide citizens the Several studies have demonstrated the
opportunity to obtain services and /or importance of managing electronic records
information on time. emanating from e-government platforms.
Wamukoya and Mutula (2005, p. 71) observed
that e-records support the day-to-day
3. Analysis of e-government operations of government services in the
implications for records same way paper records did. This implies that
management these records require systematic and logical
management as was a requirement in the
paper environment. In the same vein, the
Governments world over are under increasing International Records Management Trust
pressure to deliver services more efficiently at (2004) asserts that in developed regions of the
lower costs and are recognizing e-government world, e-records are becoming the basis for
as an attractive option both commercially and confirming pension and other entitlements,
politically (Soliman and Affisco, 2006). ICTs registering births and deaths, verifying
have therefore provided governments an citizenship, certifying voting rights; enabling
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collection of taxes, supporting financial maintaining integrity of the records, absence

management and supporting litigation. For of records management policies and technical
that matter Maguire (2005) pointed out the skills requirement. On the other hand, Katuu
benefits of managing electronic records to (2004) indicates that the challenges faced in
include but not limited to: ability of such an environment include: lack of
documents to be shared across several sites; knowledgeable and adequately trained
the easiness and timeliness of information personnel to handle electronic records; high
retrieval; reduced duplication thus enabling staff turnover; lack of adequate funding for
the organization to reduce on costs; and the human and physical resources required to
helping in version control of the records. establish and maintain the programs; lack of
ICT legislation and/or the lack of adequate
integration of the legislation with national
3.1 Records management challenges archival legislation; technological
associated with e-government in obsolescence, fragility of storage media, the
African countries ability to alter or delete information without
trace and the need to preserve a lot more
Although e-government is increasingly seen as contextual information than the record itself.
an answer to a plethora of challenges facing
governments as mentioned earlier, its Adding their voices to the debate, Wamukoya
implementation has not been without and Mutula (2005) observe that electronic
challenges especially in developing regions records and the systems that support
such as Africa. Mnjama and Wamukoya electronic records are complex and fragile.
(2007) pointed out that e-government The authors explain that e-records are created
adoption has introduced many challenges to and maintained using technology platforms
record keeping professionals. The authors and standards that change frequently; they are
contend that the emergence and growing stored on media that deteriorates over time;
importance of electronic records as a means and they are often supported by weak
of communicating and preserving corporate accountability and management frameworks
information poses new challenges hitherto and practices
unknown to administrators and records
managers. These challenges require to be An analysis of these challenges is done based
addressed if valuable information is going to on reviewed literature and presented in
remain available over time. Lemieux (2015, p. sections that follow.
3) observe that in many countries
introduction of ICTs has brought about
deterioration in the quality, management and 3.1.1 Absence of records management
accessibility of recorded information with policies
concomitant negative impact upon
transparency and public accountability. According to Mnjama and Wamukoya (2007),
the level of organizational commitment to
A myriad of records management challenges managing records can be gauged by the
associated with E-government environments existence or non-existence of records
abound in literature. Chachage and Ngulube management policies, plans and guidelines.
(2006) identified the following as major This view is supported by ISO 15489-1 (2001)
records management challenges in an e- which recommends that organizations seeking
government environment: fragility and to manage their records effectively should
transient nature of the storage media, first and foremost establish, document,
technological obsolescence, difficulty in maintain and promulgate policies, procedures

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and practices for records management. As been able to come up with a national records
Millar (1999) states, policy and legislative management policy from which government
framework are necessary to create a conducive bodies could derive their own specific
environment for effective management of policies. Keorapata and Keakopa (2012) note
records. Meanwhile, ISO 15489-1 (2001) that the lack of such a policy had hampered
indicates the objectives of records development in total records management
management policy as the creation and programmes in the public sector which would
management of authentic, reliable and useable otherwise ensure security and protection of
records capable of supporting business public records in government offices. They
functions and activities for as long as they are argued that this poor state of records
required. management may contribute towards breeding
corruption in the country.
However, literature reviewed revealed that in
most African countries, general records Ndenje-Sichalwe (2011) opined that lack of
management policies and specifically policies presented a danger of losing access to
electronic records management policies are electronic records, a view supported by Moloi
not available. Iwhiwhu (2005) in a study on (2009) who adds that in the absence of an
the management of records in Nigerian enabling policy electronic records may not be
universities revealed that policies in records captured in a systematic manner. Keakopa
management were not available. Another (2007) observed further that the absence of
study by Kargbo (2009) on the connection policies and procedures may compromise the
between good governance and record keeping long term preservation and availability of
in Sierra Leone established that the lack of a electronic records as archives.
records management policy was one of the
major impediments to good governance in the Perhaps the gravity of the absence of records
country. Back in 2004, a study on the management policies in Africa may be
management of electronic records in the summarized in the words of Mnjama and
public sector in Lesotho showed that the Wamukoya (2007) who pointed out that one
public sector was not managing its electronic of the major challenges to the management of
records satisfactorily (Sejane, 2004). The records in the Africa was the absence of
findings revealed the non-existence of organizational records management policies
legislation and policy governing the and procedures to guide records management.
management of electronic records. Guidelines They noted that the management of records
and procedure manuals were non-existent and in all formats must be supported by clear
there was a lack of qualified personnel with policies, procedures and guidelines if they are
expertise and skills required in the to retain their evidentiary value for
management of electronic records. accountable and transparent governance.

A more recent study by Keorapete and

Keakopa (2012) on records management as a 3.1.2 Inadequate skills and competencies
means to fight corruption in Botswana
revealed that there was a lack of proper According to the IRMT E-Records Readiness
records management policies, procedures and Tool, qualified records management staff are
other guidelines. The authors explained that required for effective implementation of
the Botswana National Archives and Records records management policies in any given
Service (BNARS) which is mandated by law organization (International Records
to provide guidelines to government bodies Management Trust, 2004). Skills and
with regard to records management had not competencies in records management are

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therefore necessary for organizations to records in the ministry of finance in Uganda.

demonstrate accountability, transparency and The study noted that the ministry had no
a commitment to root out corruption and capacity for managing the basic elements of
malpractice (Wamukoya and Mutula, 2005). an electronic records management
programme. The Ministry lacked staff with
Studies on records management in Africa as a the right skills and competencies; legal and
region however reveal inadequate skills and administrative requirements for managing
competencies among staff vested with the electronic records; and accurately documented
responsibility of managing records in the policies, and standard operating procedures.
region. A study by Ngulube and Tafor (2006)
on the management of public records and Nengomasha (2009) in a study on the
archives in the member countries of East and management of public sector records in
Southern African Regional Branch of Namibia also revealed the poor status of
International Council on Archives records management. The study established
(ESARBICA) indicated that national archival that Namibia’s public service record keeping
institutions were experiencing shortages of systems had collapsed and the National
qualified staff since only 40 – 50 % of the Archives of Namibia had not been able to
staff had qualifications directly related to undertake any meaningful records
either library and information science or management activities due to staff constraints.
records and archives management. They The study further revealed that the poor
pointed out that the shortage of records culture of managing paper records had been
management personnel caused tremendous transferred to the management of electronic
pressure on the few staff that were in post. records. The study therefore recommended an
Similarly, Wato (2006) in a study of e-records integrated records management programme
readiness in the ESARBICA region noted that which would provide a holistic approach
national archives in the ESARBICA region covering both paper and electronic records.
had no capacity to preserve electronic records.
This was attributed to inadequate skills and Similarly a study by Iwhiwhu (2005) on
lack of policies among other issues management of records in Nigerian
universities revealed that records staff were
In another related study by Nasieuku et al. employed without paying much attention to
(2011) on management of e-records at Moi their records management expertise. The staff
University Kenya, it was established that only hired had mainly clerical / administrative skills
10.6% of the respondents had knowledge and and did not understand the importance of
skills in records management. They pointed sound creation and management of records.
out that effective management of records was Consequently, they lacked the culture of
dependent on staff receiving adequate records record keeping. Lastly a study by Tsabedze et
management training to effectively deal with al. (2012) on records management in the
specialized areas such as electronic records, government of Swaziland pointed that staff
appraisal and disposition of records. In yet appointed to the position of records / registry
another study, Okello-Obura and Ssekitto officer were not fully trained in records
(2011) established that a number of management and could therefore not be
organizations in Uganda did not have entrusted with managing government records
qualified personnel in records and archives during their entire lifecycle. The study
management although they were tasked with revealed that most of the staff held Ordinary
managing records in their organizations. This level certificates with none of them having
is in keeping with findings of a study by undergone formal training to at least a
Akotia (2000) on the management of financial Diploma level in records management.
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them as long as the value exists (Brown et al.,

In addition to formal training, continuous 2009, Goh et al., 2009).
training through conferences, seminars and
workshops is an important element in any The ISO 15489-1 standard therefore advises
profession including records management. that an appropriate storage environment and
Reviewed literature indicated that continuous media, physical protective materials, handling
training was not taken seriously in most procedures and storage systems should be
African countries. Several studies have shown considered when designing the records system
an absence or inadequate or completely in order to ensure their long-term
missing continuous training in records preservation. Several records management
management (Chinyemba and Ngulube, 2005, studies in most African countries identified
Iwhiwhu, 2005, Ndenje-Sichalwe, 2011, poor storage as a challenge to records
Uwaifo, 2004). Ndanje-Sichalwe (2011) in management in an e-government environment
particular observed that though the given the fragile and transient nature of the
government ministries in Tanzania had storage media for records created in such
records management courses to offer, only environments (Chachage and Ngulube, 2006,
45.8% of the respondents had attended the Katuu, 2004, Wamukoya and Mutula, 2005).
courses while 54.2% had not attended any of Millar (1999) further points out these records
such courses. Sichalwe pointed out that the are particularly vulnerable to environmental
lack of training to update knowledge and skills conditions and as such the records should be
of registry personnel had negative stored in regulated environments.
implications for fostering accountability in the
public service. She maintained that registry
personnel needed to receive continuous 3.1.4 Inadequate top management
training in order to develop the right attitude support
and knowledge in methods and procedures
for managing records. The study further Top management support is one of the critical
indicated that among the registry staff success factors for records management both
themselves they recognized the need to be in traditional and e-government
given additional training and the most cited environments. However, studies reviewed
area was on managing electronic records and indicated that records management in African
the general application of ICT on records counties has perennially suffered lack of top
management. management support and absence of
budgetary allocation. Mutula and Wamukoya
(2009) pointed out that one of the critical
3.1.3 Poor storage conditions challenges facing the African region was
inadequate support by governments especially
Storage is a vital aspect of every records in as far as funding was concerned. It emerged
management programme (Iwhiwhu, 2005). from their study that governments did not
According to ISO 15489-1 (2001, Sec 9.6) provide adequate funding to ministries and
records require suitable storage conditions government agencies. Similarly, among the
and handling so as to protect the records challenges identified by Mnjama and
from unauthorized access, loss or destruction Wamukoya (2007) as facing African countries,
and from theft and eminent disasters. This is was the absence of budgets dedicated to
especially true with regard to records with records management. In such a situation the
continuing value which require a higher records management agenda became difficult
quality of storage and handling to preserve to implement.

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Mnjama and Wamukoya (2007) explained  Formulation and implementation of

awareness and attitude towards records records management policies that
management as having to do with the extent addresses the management of records in
to which senior management is aware of, an e-government environment (Lowry and
understand and demonstrate commitment to a Thurston, 2012, Wamukoya and Mutula,
clear vision and set of objectives for the 2005);
management of records. Several studies reveal  Provision of appropriate skills and
inadequate top management support competencies required in the management
(International Records Management Trust, of records within an e-government
2004, Lowry and Thurston, 2012, Maseh, environment. This could be done through
2015, Ngoepe and Van Der Walt, 2009, strengthening institutions that offer
Wamukoya and Mutula, 2005). records management training in the
region. The InterPARES Trust Project
From the foregoing discussions it is evident through Team Africa is conducting a
that although many African countries are systematic analysis of the curricula in
embracing e-government, the resultant different educational institutions within
electronic records are not being managed in Africa and investigating the extent to
accordance to records management standards which they address the current
and practices. As Ngulube and Tafor (2006) professional environment (Katuu, 2015,
put it standards development and Katuu and Ngoepe, 2014, Katuu and
implementation was an exception rather than Ngoepe, 2015). At the same time it is
norm in the region. They further argue that important to address less formal
although electronic records were proliferating opportunities that constitution continuous
throughout governments, many institutions education through seminars, conferences
had not yet addressed the implications of the and workshops (Ndenje-Sichalwe, 2011,
management of such records. In the words of Wamukoya and Mutula, 2005).
Lemieux (2015, p. 8), there is a significant  Adopting and implementing records
body of evidence from a wide range of management standards and best practices
sources in large parts of the world that the including ISO 15489 and Information
essential enhanced structures, controls and Technology standards (Oliver, 2014).
skills necessary to manage electronic
 Provision of appropriate storage
information emanating from e-government
mechanisms and conditions capable of
environments to ensure long term accessibility
addressing media degradation and
and integrity have not been introduced.
unauthorized access to the information
Overally, this scenario may negatively affect
(Chachage and Ngulube, 2006, Katuu,
government operations and service delivery
2004, Wamukoya and Mutula, 2005).
since their success depends on availability of
information guaranteed by sound  Soliciting active, visible and decisive
management of government records. support from the highest levels of
governments (Maseh, 2015, Wamukoya
In view of the foregoing challenges, strategies and Mutula, 2005).
need to be put in place to take e-government
initiatives in the region to the next level.
Based on the findings and recommendations 4. Conclusions
of previous studies undertaken within the This paper examined the e-government
region, the following are suggested: implications for records management in
Africa by looking at previous studies. The
reviewed literature showed that e-government
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implementation has gained momentum world Brown, A., Katuu, S., Sebina, P. and Seles, A.
over including in African countries. This has (2009), "Module 4: Preserving Electronic
brought about an increase in creation of e- Records", London: International Records
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raining/term%20modules/IRMT%20TE
Transparency, accountability and efficient RM%20Module%204.pdf (accessed 10th
service delivery for instance rely on availability May 2016).
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availability of a sound records management selected companies", South African Journal
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Biography
Elsebah Maseh is a lecturer at the School of
Information Sciences, Moi University, Kenya.
She teaches in the areas of archives and
records management. Elsebah holds a PhD
from University of KwaZulu Natal, South
Africa and MPhil and B.SC Degrees from Moi
University. She is a member of Kenya
Archives and Records Managers Association

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