MANAGEMENT OF ELECTRONIC RECORDS FOR E-GOVERNMENT

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CHAPTER THREE LITERATURE REVIEW

INTRODUCTION

This chapter provides a detailed review of literature on management of electronic records and e-government. The chapter starts by discussing the significance of literature review in research. It provides the theoretical framework underpinning the study by discussing e-government models and models in management of electronic records. It discusses in detail the concept of management of electronic records and how it relates to e-government. The chapter also presents a review of case studies from four countries that have made strides in enhancing management of electronic records in support of e-government. The chapter has avoided detailed discussions on e-government to remain focused on the main subject of the study.
In view of the study objectives and the need to focus the review of literature on the subject under investigation, this chapter is therefore structured around the following themes: the study’s theoretical framework, an overview discussion of the concept of management of electronic records including key terms, functional requirements and challenges; challenges of managing electronic records in Kenya; the relationship between electronic records and e-government; case studies on management of electronic records for e-government.

LITERATURE REVIEW IN RESEARCH

Literature review refers to an analysis of existing literature on the subject of research. It is a review of what other authors, experts and authorities have written or said about the topic of research (McMillan & Schumacher 2006; Burton & Bartlett 2005; Boote & Beile 2005). The literature being reviewed can be primary or secondary sources of information both published and unpublished.
According to Mathipa (2015), Creswell (2014a), Creswell (2014b), Denicolo and Becker (2012), Creswell (2009), and Marshall and Rossman (2006), reviewing literature has several benefits in research, which include amongst others:
•Help the researcher examine the research problem from more than one angle as well as to anticipate the type of audience his/her study is out to address.•Provides a background to the study.
•Preparing and orientating the researcher on ongoing debates, opinions and views taking place in the field of study.
•Documenting how a study adds to existing literature in the field of study and the relationship between the present research and past researches in the field.
Convincing readers that a researcher is familiar with previous works done in the area of study.
•Build readers confidence in the research work by demonstrating that the research has reviewed what has been done before and is not duplicating ideas or advancing far-fetched arguments.
•Helps the researcher know what exists on the subject and help refocus the research direction.
•Helps find useful examples and models that can enrich the research being undertaken.
•Have the benefit of knowing how other researchers have conducted their studies.
•Provide a basis for understanding the importance of a study.
•Compare the results of the study with previous findings.
According to Creswell (2014a, b) and Creswell (2009) a good literature review follows a series of steps which include: identifying key terms; locating the literature; evaluating and selecting the literature review; organizing the literature; and writing the literature review.
In the present research, the key terms that underpinned the literature review were: records management, management of electronic records and e-government. The study identified a number of literature sources, including journal articles, books, institutional websites, newspapers, online periodicals, previous studies, statutory and legal documents, international and nation standards, blogs, online social networking professional groups, oral interviews, official memos and letters, academic works (thesis/dissertations). The researcher evaluated the credibility of the literature sources based on the authority of the author and how current the source is, limiting to sources not more than ten years old except for statutory, legal and regulatory documents, as well as government/official directives e.g. circulars.

LITERATURE REVIEW MAPPING

Literature review mapping is establishing a conceptual map of topics and ideas and showing their relationships to allow a researcher to show the connections between the key concepts within the literature review (California State University 2008). According to Machi and McEvoy (2008) and Kamler and Thomson (2006) mapping of literature is a predominant strategy used in guiding literature reviews in doctoral researches. It is a diagrammatic or graphic representation of the relationship between key concepts underpinning the literature review, showing the flow and relationships that informed a researcher’s decisions in reviewing the literature. Mapping helps to focus the literature review to ensure the study remains aligned to the key issues under investigation.
According to Machi and McEvoy (2008), there are two main approaches to mapping literature review: use the core ideas underpinning the study or mapping by authors, which means identifying key experts in the field under investigation to provide the conceptual map.
The present study’s literature review map was based on the key ideas that described the research topic. Figure 3.1 provides a graphical representation of the conceptual map of the literature review of the present study.

THEORETICAL FRAMEWORK

This section provides a discussion of the theoretical frameworks that underpinned the present study.
A number of authors present definitions of the word theory both from a scientific or general viewpoint (Eagleton 2008; Johnathan 2005; Kothari 2004; Stoner et al. 2003; Mugenda & Mugenda 1999). The thrust of their definitions is that a theory is a set of hypotheses, assumptions or propositions, logically or mathematically linked, offered as an explanation in general terms for a wide variety of connected natural observable phenomena.
In common usage, the word theory is often used to signify a conjecture, an opinion or speculation that explains a group of observed facts in a particular field (Eagleton 2008; Nonaka 2005). A theory makes generalizations about observations and consists of an interrelated, coherent set of ideas and models.
In research, theories help researchers to draw conclusions, develop the body of knowledge and even generate more advanced and improved theories (Eagleton 2008; Johnathan 2005; Kothari 2004; Stoner et al. 2003; Cozby 2001). Ocholla and Roux (2011) note that a theory serves as a lens through which a researcher examines a particular aspect of his or her subject field. Redish (2004) describes a theory in research as a shared language and assumptions that can both guide and allow us to compare different approaches and ways of thinking. It is therefore important that every research has some theoretical inclination within the subject of study, against which the researcher can build his thinking and draw conclusions. In scientific research, Kemoni(2008) says that theories serve four purposes: description, explanation, prediction and control.
Cleland (2006) indicates that a theory can be a mathematical or logical explanation or a testable model of the manner of interaction of a set of natural phenomena. Therefore, models can be used to explain theories.
A model is a simplified representation of a real situation including the main features of the real situation it represents (Kemoni 2007). It is a description of phenomena abstracted from the complex and detailed real situation.
According to Alasuutari (1996) and Grant and Osanloo (2014), theoretical frameworks provide a general viewpoint in which a case can be assessed. They provide the structures and visions for studies. Grant and Osanloo (2014) state that theoretical frameworks can be used in quantitative, qualitative and even mixed methods researches to structure all spects of the research.
The present study triangulated the Model Requirements for Management of Electronic Records (MoReq) model (on the MER component) and the United Nations five-stage e-government maturity model (on the e-government component) as the theoretical frameworks of the study. All aspects of the models were used to guide the study hence the theoretical framework.
In the present study, the theoretical framework was essential in structuring the literature review, the research questions, data collection, data analysis and the interpretation of the findings as well as in constructing the recommendations. Issues on e-government in the study were visioned along the the five stages of the UN Model, whereas those on MER were interrogated in line with provisions of the Moreq model with regard to MER, as discussed in sections 3.3.1 and 3.3.2 below.

The MoReq Model

The MoReq (Model Requirements for Management of Electronic Records) was developed in 2001 by the European Commission. The model focuses purely on the functional requirements for management of electronic records by an electronic records management system (European Commission 2001). The requirements embodied in the MoReq specification should, if implemented, result in a system, which will manage electronic records with the desired levels of confidence and integrity, by combining both the advantages of electronic ways of working with classical records management theory. Examples of this pragmatic approach include the incorporation of requirements for document management, workflow, metadata and other related technologies. Intentionally, the specification addresses only the capabilities required for the management of electronic records by computer software. Among the specifications given by the model are: classification schemes for electronic records, controls and security, capturing of electronic records, retention and disposal, searching and retrieval, metadata requirements and other non-functional requirements like ease of use, encryption, electronic signatures amongst others (Lappin 2011; Cain 2002).
The MoReq model is particularly relevant to this study and is the model of choice for the study because of its dedicated focus to the management of electronic records. The model also provides a rich combination of the advantages of electronic ways of working
with classical records management theory. MoReq provides clear indications on how MER would fit at every stage of e-government service delivery. The model does not only provide principles but also technical guidance on practical implementation of systems for managing electronic records, which is central to the present study.

CHAPTER ONE: INTRODUCtION AND BACKGROUND TO THE STUDY
1.0 INTRODUCTION
1.1 RECORDS AND RECORDS MANAGEMENT
1.2 ELECTRONIC RECORDS
1.3 E-GOVERNMENT
1.4 BACKGROUND TO THE STATEMENT OF THE PROBLEM
1.5 STATEMENT OF THE PROBLEM
1.6 RESEARCH PURPOSE
1.7 OBJECTIVES OF THE STUDY
1.8 RESEARCH QUESTIONS
1.9 ASSUMPTIONS OF THE STUDY
1.10 JUSTIFICATION OF THE STUDY
1.11 SIGNIFICANCE OF THE STUDY
1.12 ORIGINALITY OF THE STUDY
1.13 RESEARCH METHODOLOGY AND DESIGN
1.14 LIMITATIONS AND DELIMITATIONS OF THE STUDY
1.15 ETHICAL CONSIDERATIONS
1.16 THESIS OUTLINE
1.17 CHAPTER SUMMARY
CHAPTER TWO : CONTEXT OF THE STUDY
2.0 INTRODUCTION
2.1 THE STRUCTURE OF THE GOVERNMENT OF KENYA
2.2 RECENT DEVELOPMENTS ON GENERAL RECORDS MANAGEMENT IN KENYA
2.3 DEVELOPMENTS IN MANAGEMENT OF ELECTRONIC RECORDS IN KENYA
2.4 E-GOVERNMENT IN KENYA
2.5 CHAPTER SUMMARY
CHAPTER THREE : LITERATURE REVIEW
3.0 INTRODUCTION
3.1 LITERATURE REVIEW IN RESEARCH
3.2 LITERATURE REVIEW MAPPING
3.3 THEORETICAL FRAMEWORK
3.4 MANAGEMENT OF ELECTRONIC RECORDS
3.5 MANAGEMENT OF ELECTRONIC RECORDS FOR E-GOVERNMENT
3.6 REVIEW OF PREVIOUS STUDIES ON MANAGEMENT OF ELECTRONIC RECORDS IN SUPPORT OF E-GOVERNMENT
3.7 CASE STUDIES ON MANAGEMENT OF ELECTRONIC RECORDS AND EGOVERNMENT
3.8 CHAPTER SUMMARY
CHAPTER FOUR : RESEARCH METHODOLOGY
4.0 INTRODUCTION
4.1 RESEARCH PARADIGM
4.2 RESEARCH METHODOLOGY JUSTIFICATION
4.3 JUSTIFICATION OF RESEARCH DESIGN
4.4 STUDY POPULATION AND SAMPLING
4.5 DATA COLLECTION INSTRUMENTS
4.6 DATA INTEGRITY, ACCURACY AND CREDIBILITY
4.7 PRE-TESTING OF THE RESEARCH INSTRUMENTS
4.8 DATA COLLECTION PROCEDURES 1
4.9 DATA ANALYSIS AND PRESENTATION
4.10 ETHICAL CONSIDERATIONS
4.11 EVALUATION OF RESEARCH METHODOLOGY
4.12 CHAPTER SUMMARY
CHAPTER FIVE : DATA PRESENTATION
5.0 INTRODUCTION
5.1 CHARACTERISTICS OF RESPONDENTS AND RESPONSE RATE
5.2 CURRENT STATUS OF MER IN GOVERNMENT MINISTRIES IN KENYA AND THE
CAPACITY OF GOVERNMENT MINISTRIES IN KENYA TO MANAGE ELECTRONIC RECORDS
5.4 EFFECTIVENESS OF EXISTING PRACTISES FOR MANAGING ELECTRONIC RECORDS IN SUPPORTING E-GOVERNMENT
5.5 CHALLENGES IN MANAGING E- RECORDS THAT IMPACT ON E-GOVERNMENT
5.6 RECOMMENDATIONS FOR EFFICIENT MANAGEMENT OF ELECTRONIC RECORDS IN SUPPORT OF E-GOVERNMENT
5.7 SUMMARY OF RESEARCH FINDINGS
5.8 CHAPTER SUMMARY
CHAPTER SIX : INTERPRETATION OF FINDINGS
6.0 INTRODUCTION
6.1 CURRENT STATUS OF MANAGEMENT OF ELECTRONIC RECORDS IN GOVERNMENT MINISTRIES
6.2 CURRENT LEVELS OF E-GOVERNMENT UTILIZATION IN GOVERNMENT MINISTRIES
6.3 EFFECTIVENESS OF EXISTING PRACTICES FOR MANAGING ELECTRONIC RECORDS IN SUPPORT OF E-GOVERNMENT
6.4 CHALLENGES IN MANAGEMENT OF ELECTRONIC RECORDS THAT IMPACT ON IMPLEMENTATION OF E-GOVERNMENT
6.5 CHAPTER SUMMARY
CHAPTER SEVEN : SUMMARY OF RESEARCH FINDINGS, CONCLUSIONS AND RECOMMENDATIONS
7.0 INTRODUCTION
7.1 SUMMARY OF FINDINGS
7.2 CONCLUSIONS
7.3 RECOMMENDATIONS
7.4 PROPOSED FRAMEWORK FOR MANAGEMENT OF ELECTRONIC RECORDS IN SUPPORT OF E-GOVERNMENT
7.5 IMPLICATION OF THE STUDY TO THEORY, POLICY AND PRACTISE
7.6 INTEGRATION OF THEORETICAL FRAMEWORK IN THE RESEARCH OBJECTIVES, FINDINGS AND RECOMMENDATIONS
7.7 SUGGESTIONS FOR FURTHER RESEARCH
7.8 FINAL STUDY CONCLUSION
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FRAMEWORK FOR MANAGEMENT OF ELECTRONIC RECORDS IN SUPPORT OF E-GOVERNMENT IN KENYA