Assessment of records management practices 
among the senior managers in a South African 
Municipality 
 
GMN Duma 
orcid.org 0000-0002-3273-2906 
 
 
Mini-dissertation accepted in partial fulfilment of the 
requirements for the degree Master in Business Administration 
at the North-West University 
 
 
 
Supervisor: Dr C Els 
 
 
Graduation: June 2021 
Student number: 28301420 
 
 
1 
 
DECLARATION 
 
I, Gaboutlwelwe Maria Nomsa Duma, declare herewith that the mini-dissertation titled 
“Assessment of records management practices among the senior managers in a South 
African Municipality”, which I herewith submit to the North-West University is in partial 
compliance with the requirements set for the degree: Master of Business Administration, is 
my own work, and that the relevant literature references are shown in the references in 
accordance with the requirements. I further declare that the content of this research has not 
already been submitted to any other university. 
 
 
GMN Duma        Date: 30 November 2020 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
i 
 
COMMENTS 
 
The reader is reminded of the following: 
 
• The editorial style as well as the referencing style of this mini-dissertation followed the 
guidelines as prescribed in the referencing guide of the North-West University 
(Potchefstroom) to use Harvard referencing style in all scientific documents. 
• The research study is submitted in the form of five chapters, which include an 
introductory chapter, literature review, research methodology, research results and a 
concluding chapter. 
• The research proposal was submitted to the Economic and Management Sciences 
Research Ethics Committee (EMS-REC) at the North-West University and ethical 
clearance was obtained before the study was conducted.  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
ii 
 
ACKNOWLEDGEMENTS 
 
A study of this enormity depends on contributions from a wide range of people for its 
achievement. Firstly, I would like to express my gratitude to the Almighty God. Without Him 
and His blessings, this study would not have been possible. 
 
I would like to take the opportunity to acknowledge the support and contribution from many 
people to this study: 
 
I would like to sincerely thank my supervisor, Dr Crizelle Els for her invaluable guidance, 
encouragement and support throughout this study, and especially for her confidence in me 
and the effort that she put in and pushing me to always be better and do better. 
 
To Mr Larry Steyn, your contribution and encouragement will not go unnoticed; you inspired 
me a great deal. 
 
To my parents Gadifele and Mandlakayise Duma, and the rest of the family who also 
supported me by looking after my daughter, I really appreciate your assistance in the matter 
and the support that is also something that cannot be repaid. My daughter Mbali, thank you 
for your patience and encouragement in many ways. 
 
I would like to thank all the respondents for their time, as well as their interest in my study. 
The supportive and enabling encouragement from my family and friends is much 
appreciated. 
 
I would also like to thank Ms Cecile van Zyl, the language editor, for assisting with editing 
the entire mini-dissertation. 
 
 
 
 
 
 
iii 
 
 
 
 
iv 
 
 
To whom it may concern Cecile van Zyl  
Language editing and translation 
 Cell: 072 389 3450 
 Email: Cecile.vanZyl@nwu.ac.za 
 
 
 26 November 2020 
Dear Mr / Ms 
Re: Language editing of dissertation: Assessment of records management practices 
among the senior managers in a South African municipality 
 
I hereby declare that I language edited the above-mentioned dissertation by Ms Lerato Duma 
(student number: 28301420) 
 
Please feel free to contact me should you have any enquiries. 
 
Kind regards 
 
Cecile van Zyl  
Language practitioner 
BA (PU for CHE); BA honours (NWU); MA (NWU) 
SATI number: 1002391 
v 
 
TABLE OF CONTENTS 
 
DECLARATION ............................................................................................................................... i 
COMMENTS ................................................................................................................................... ii 
ACKNOWLEDGEMENTS ............................................................................................................... iii 
ABSTRACT ................................................................................................................................... ix 
OPSOMMING ................................................................................................................................ xi 
DEFINITION OF KEY TERMS/ CONCEPTS ................................................................................ xiii 
CHAPTER 1: NATURE AND SCOPE OF THE STUDY .................................................................. 1 
1.1 Introduction ......................................................................................................................... 1 
1.2 Background ......................................................................................................................... 1 
1.3 Problem statement .............................................................................................................. 2 
1.4 Research questions ............................................................................................................ 5 
1.5  Objectives of the study .................................................................................................. 5 
1.5.1  General objective .................................................................................................... 5 
1.5.2 Specific objectives .................................................................................................. 6 
1.6 Layout of the research report ............................................................................................. 6 
1.7 Chapter summary ................................................................................................................ 7 
CHAPTER 2: LITERATURE REVIEW OF RECORDS MANAGEMENT ......................................... 8 
2.1 Introduction ..................................................................................................................... 8 
2.2 Records management ............................................................................................................. 8 
2.2.1 Defining records and records management ................................................................ 9 
2.2.2 The importance of records management .................................................................... 9 
2.2.3 Records management at local municipalities ........................................................... 11 
2.2.4 The lifecycle of a record ............................................................................................. 12 
2.2.5 Types of records ......................................................................................................... 14 
2.2.6 The role of records management professionals ....................................................... 14 
2.2.7 Records management culture .................................................................................... 17 
2.2.8. The benefits of effective records management........................................................ 18 
2.2.9 Records as a strategic resource ................................................................................ 20 
2.3 The influence of senior management on the management of records .......................... 22 
2.4 Legislative requirement .................................................................................................... 25 
2.5 Summary ............................................................................................................................ 26 
CHAPTER 3: METHODOLOGY ................................................................................................... 27 
3.1 Introduction ................................................................................................................... 27 
3.2 Research methodologies/processes ................................................................................ 27 
3.2.1 Paradigm ..................................................................................................................... 27 
3.2.2 Research method ........................................................................................................ 28 
3.2.3 Research design ......................................................................................................... 28 
3.3 Gathering of data .......................................................................................................... 29 
vi 
 
3.3.1 Population ................................................................................................................... 29 
3.3.2 Sampling size .............................................................................................................. 29 
3.3.3 Sampling strategy ....................................................................................................... 29 
3.3.4 Data collection instruments ....................................................................................... 30 
3.3.5 Credibility, validity and reliability of the instrument/tool ......................................... 30 
3.3.6 Data collection/fieldwork ............................................................................................ 31 
3.3.7 Data coding and analysis ........................................................................................... 33 
3.4 Chapter summary ......................................................................................................... 34 
CHAPTER 4: Data presentation, analysis and interpretation ................................................... 36 
4.1 Introduction ................................................................................................................... 36 
4.2 Report on results .......................................................................................................... 36 
4.2.1 Characteristics of participants ................................................................................... 36 
4.3 Questionnaire response rate ....................................................................................... 37 
4.4 Study results ................................................................................................................. 37 
4.4.1 Records management processes and procedures ................................................... 37 
4.4.2 Controls to track files ................................................................................................. 38 
4.4.3 Records keeping systems (file plan, records control schedule) ............................. 38 
4.4.4 Adherence to records management processes and procedures ............................ 39 
4.4.5 Challenges in terms of complying ............................................................................. 40 
4.4.6 Problems faced in accessing records. ...................................................................... 40 
4.4.7 Rating of the records management processes and procedures ............................. 41 
4.4.8 Recommendations to ensure effective and efficient management of records ....... 42 
4.5 Summary ............................................................................................................................ 42 
CHAPTER 5:  CONCLUSIONS, LIMITATIONS AND RECOMMENDATIONS ........................ 44 
5.1 Introduction ....................................................................................................................... 44 
5.2 Conclusions .................................................................................................................. 44 
5.3 Limitations and recommendations ................................................................................... 50 
5.3.1 Limitations of the study .............................................................................................. 50 
5.3.2 Recommendations ...................................................................................................... 51 
5.4 Summary ............................................................................................................................ 54 
REFERENCES ............................................................................................................................. 56 
 
 
  
vii 
 
List of figures 
Figure 2.1: Record lifecycle ...........………………………………………………………....13 
 
List of tables 
Table 4.1: Characteristics of participants …………………………………………………….35 
  
viii 
 
ABSTRACT 
 
Records management has become increasingly accentuated over recent years. Records 
have always been a tool for efficient and effective administration and it is surprising that 
such an important driver of business efficiency, has received so little or no attention in the 
past. Organisations, nevertheless, focused on their main functions and were hesitant to avail 
resources to the management of records as a support function. In line with this, 
governmental institutions in South Africa have been critiqued for the lack of proper records 
management. Furthermore, literature on records management in South Africa, and 
especially in state-owned institutions, is sparse. The purpose of the study was to assess the 
records management practices among the senior managers in a South African municipality 
by exploring their experiences of records management practices.  
 
The study sample consisted of 16 senior managers in a South African municipality (N = 16) 
who were recruited through purposive sampling. The data was collected by means of online, 
qualitative written surveys. The data from the written surveys was analysed through content 
analysis.  
 
The literature review addresses the theoretical information regarding records management, 
defining a record, the skills required for managing records and the risks associated with poor 
management of records. The literature review, as well as the qualitative written surveys, 
revealed that an effective records management programme should be supported by records 
management policies, standards and procedures, as well as buy-in from senior managers.  
 
The study’s findings indicate that records are not optimally managed in the participating 
municipality, and that senior managers are not entirely involved and interested in ensuring 
the effective management of records in the municipality. It is evident from the findings that 
the majority of the respondents are not aware of the records management processes and 
procedures. There is no uniformity when it comes to the management of records as most 
respondents indicated that they have their own filing systems, and that they are not aware 
of, or familiar with the file plan. Some of the respondents admitted to not following the 
records management processes and procedures; some follow them minimally, even though 
they are aware of the records management processes and procedures. Most respondents 
acknowledged ignorance regarding the importance of records management processes and 
procedures. Some of the results indicate that while some respondents find the records 
ix 
 
management processes and procedures challenging, others believe the processes and 
procedures are quite simple. There is also not an agreement about the quality of records 
management at the municipalities, as some of the respondents perceive the records 
management practices as poor, while others consider it efficient.  
 
The respondents made some recommendations to improve the management of records. 
The suggestions included that the municipality should present awareness 
programmes/workshops, training of employees, appointing skilled, experienced and 
qualified staff for the records management unit, holding all employees in the municipality 
accountable for the management of records, centralisation of document management, 
urging senior managers to take responsibility for the management of records in their 
units/departments, and establishing a well-developed records management unit.  
 
  
x 
 
OPSOMMING 
 
Rekordbestuur het die afgelope paar jaar voortdurend toegeneem. Rekords was nog altyd 
ʼn instrument vir doeltreffende en effektiewe administrasie, en dit is verbasend dat so ʼn 
belangrike drywer van besigheidsdoeltreffendheid in die verlede so min of geen aandag 
geniet het nie. Organisasies het nietemin op hul hooffunksies gefokus en was huiwerig om 
hulpbronne te gebruik vir die bestuur van rekords as ondersteuningsfunksie. In 
ooreenstemming hiermee is regeringsinstellings in Suid-Afrika gekritiseer oor die gebrek 
aan behoorlike rekordbestuur. Verder is literatuur oor rekordbestuur in Suid-Afrika, en veral 
in staatsinstellings, yl. Die doel van die studie was om die rekordbestuurspraktyke onder die 
senior bestuurders in ʼn Suid-Afrikaanse munisipaliteit te beoordeel deur hul ervarings van 
rekordbestuurspraktyke te ondersoek. 
 
Die steekproef het bestaan uit 16 senior bestuurders in ʼn Suid-Afrikaanse munisipaliteit (N 
= 16) wat deur middel van doelgerigte steekproefneming gewerf is. Die data is versamel 
deur middel van aanlyn, kwalitatiewe, skriftelike opnames. Die data uit die geskrewe 
opnames is deur middel van inhoudsanalise ontleed. 
 
Die literatuuroorsig kyk na die teoretiese inligting rakende rekordbestuur, en definieer ʼn 
rekord, die vaardighede wat benodig word vir die bestuur van rekords en die risiko’s 
verbonde aan swak bestuur van rekords. Die literatuuroorsig, sowel as die kwalitatiewe 
geskrewe opnames, het aan die lig gebring dat ʼn effektiewe rekordbestuursprogram 
ondersteun moet word deur rekordbestuursbeleid, -standaarde en -prosedures, sowel as 
inkoop van senior bestuurders. 
 
Die bevindinge van die studie dui aan dat rekords nie optimaal in die deelnemende 
munisipaliteit bestuur word nie, en dat senior bestuurders nie heeltemal betrokke is nie en 
nie daarin belangstel om die effektiewe bestuur van rekords in die munisipaliteit te verseker 
nie. Dit blyk uit die bevindinge dat die meerderheid van die respondente nie bewus is van 
die prosesse en prosedures vir rekordbestuur nie. Daar is geen eenvormigheid ten opsigte 
van die bestuur van rekords nie, aangesien die meeste respondente aangedui het dat hulle 
hul eie liasseerstelsels het en dat hulle nie bewus is van, of vertroud is met die lêerplan nie. 
Sommige van die respondente het erken dat hulle nie die prosesse en prosedures vir 
rekordbestuur gevolg het nie; sommige volg hulle minimaal, al is hulle bewus van die 
prosesse en prosedures vir rekordbestuur. Die meeste respondente erken onkunde rakende 
xi 
 
die belangrikheid van prosesse en prosedures vir rekordbestuur. Sommige van die resultate 
dui aan dat hoewel sommige respondente die rekordbestuurprosesse en -prosedures 
uitdagend vind, is ander van mening dat die prosesse en prosedures redelik eenvoudig is. 
Daar is ook nie ʼn ooreenkoms oor die gehalte van rekordbestuur by die munisipaliteite nie, 
aangesien sommige van die respondente die rekordbestuurspraktyke as swak beskou, 
terwyl ander dit as doeltreffend beskou. 
 
Die respondente het ʼn paar aanbevelings gemaak om die bestuur van rekords te verbeter. 
Die voorstelle sluit in dat die munisipaliteit bewusmakingsprogramme/werkswinkels moet 
aanbied, opleiding van werknemers, die aanstel van bekwame, ervare en gekwalifiseerde 
personeel vir die rekordbestuurseenheid, alle werknemers in die munisipaliteit moet 
verantwoordelik gehou word vir die bestuur van rekords, sentralisering van 
dokumentbestuur, en ʼn beroep op senior bestuurders om verantwoordelikheid te neem vir 
die bestuur van rekords in hul eenhede/afdelings, en die daarstelling van ʼn goed ontwikkelde 
eenheid vir rekordbestuur. 
 
 
 
 
 
 
 
 
 
  
xii 
 
DEFINITION OF KEY TERMS AND CONCEPTS 
 
The key terms and concepts used in the study are identified and explained in this section. 
 
Archives: “Records in the custody of an archives repository” (Records Management Policy 
Manual, 2004). 
 
Archival value: “Those values, administrative, fiscal, legal, evidential and/or informational, 
which justify the indefinite or permanent retention of records” (Records management Policy 
Manual, 2004). 
 
Disposal: “The action of either destroying/deleting a record or transferring it into archival 
custody” (Records Management Policy Manual, 2004). 
 
Governmental body: “Any legislative, executive, judicial or administrative organ of state 
(including a statutory body) at the national level of government and until provincial archival 
legislation takes effect also all provincial administrations and local authorities” (Records 
Management Policy Manual, 2004).  
 
Head: “The chief executive officer of a governmental body or the person who is acting as 
such” (Records Management Policy Manual, 2004). 
 
Public record: “A record created or received by a governmental body in pursuance of its 
activities” (National Archives and Records Service Act, 1996, Act 43 of 1996). 
 
Record: “Recorded information regardless of format or medium” (National Archives and 
Records Service Act, 1996, Act 43 of 1996). 
 
Records Management/Recordkeeping: “A process of ensuring proper creation, 
maintenance, use and disposal of records to achieve efficient, transparent and accountable 
governance” (Records Management Policy Manual, 2004).
xiii 
 
CHAPTER 1: NATURE AND SCOPE OF THE STUDY 
 
1.1 Introduction 
 
This mini-dissertation covers the experiences and practices of senior management with 
regard to the management of records in a South African Municipality. In Chapter 1, the 
background and problem statement are discussed, as well as the research objectives and 
research methods. Chapter divisions are also laid out.  
 
1.2 Background 
 
Records management plays a significant and contributing governance role as a control 
measure in government, particularly in local government. However, its role and 
application still lack the importance it deserves and is therefore still in its infancy 
compared to many other functions in government institutions. Ngoepe and Ngulube 
(2014:135-136) affirm this by stating that the lack of proper management of records in 
public administration features prominently in reports by oversight bodies, such as the 
Auditor General South Africa (AGSA), National Archives, the South African Human Rights 
Commission (SAHRC), Standing Committee on Public Accounts (SCOPA), and 
Provincial Archives, which highlights a problem of poor management of records in public 
administration. For example, AGSA faces many challenges during audits where records 
are either not available or could not be retrieved. 
 
There are six indicators important in the auditing process; however, many governmental 
organisations in South Africa obtain disclaimed audit opinions every year due to a lack of 
records (Ngoepe & Ngulube: 2014: 137). The six good practice indicators for 
governmental organisations to achieve clean audit results, as identified by Ngoepe and 
Ngulube (2014:137) are as follows: 
 A clear trace of supporting records (records management); 
 The value of financial statements and management information; 
 Correctness of financial statements and management information; 
1 
 
 Accessibility of key officials during audits; 
 Improvement of, and compliance with, risk management and good internal 
controls; and 
 Direction, management and observation. 
 
Ngoepe and Ngulube (2014:148) further argue that in order to resolve most audit 
outcomes, commitment of leadership and the realisation that there are basic challenges 
such as the implementation of records, play a role in the management of records. Ngoepe 
(2009:116) argues that in most public bodies the management of records is at its lowest 
rate. Valuable records that influence decision-making are either misplaced or lost 
because effective records management is not realised in public bodies, and records of 
their operations are not up-to-date. He further argues that unless senior managers commit 
themselves to effectively implementing records management procedures and plans in 
government departments, the delivery of services and accountability in South Africa will 
continue. The records kept at municipalities or at local government have an impact on the 
wider community as it is part of the service delivery mandate of local government. The 
lack of good records management may lead to unaccountability of local councils, thereby 
hindering the service delivery mandate of municipalities (Bakare, Abioye & Issa, 2016:50). 
 
1.3 Problem statement 
 
In most instances, senior managers in both public and private sector, do not regard 
records management as essential for good governance (Ngoepe & Ngulube, 2013:3). 
Records management should attract records managers and archivists as a tool for 
governance, to establish their proactive role in the public sector (Schellnack-Kelly; 
2013:9). 
 
Cebekhulu (2016:10) attests to that by stating that, as a way forward, management should 
know that records management is the backbone of management in order to ensure that 
management and officials find information on time in order to make informed decisions. 
He further states that records management should be regarded as a strategic objective 
2 
 
in governmental bodies’ strategic plans, and should be catered for in the budget, and 
should be included in the key performance indicators of senior managers.  
The difference in the manner in which departments assign records management duties 
may be because of the inconsistency in knowledge concerning the management of 
records. Typically, the departments with a better understanding of the requirements of 
records management had more staff in permanent higher positions such as the 
departmental head/manager or administrative assistant, and carried out the records 
management functions better (Magee: 2014:52). 
 
Abbot (2007) and Venter (2004:1) state that that the issue of a lack of proper management 
of records in the South African public sector seems to be heightened by several factors 
such as the scarcity of policies to enforce records management practices in governmental 
bodies, lack support on records management practices from senior management, lack of 
awareness of the significance of records management, lack of capability and training 
among records management practitioners in governmental bodies and the appointment 
of records managers at low levels. Mbatha (2016:14) argues that most records managers 
are nominated, rather than appointed. Records managers are rather appointed as registry 
heads and in junior positions, and records management qualifications are still a challenge 
in that institutions are forced to appoint people with any qualification in the records 
management units. 
 
It is believed that non-conformance with laws, regulations and ethical standards may pose 
a great risk arising from violations (Mbatha, 2016). These risks may include failure to 
comply with contractual requirements; failure to comply with standards (ISO:15489); 
litigation; loss of records; loss of credibility to stakeholders; qualified audit reports and 
even loss of Gauteng history and memory. In 2009, Cabinet approved a plan in an attempt 
to ensure local governments were empowered with the correct management, 
administrative and technical skills. However, startlingly, the proper and effective coherent 
management of information resources was mentioned. This, irrespective of the fact that 
all the components of the plan, require well-managed information resources to attain the 
anticipated outcome (Schellnack-Kelly: 2013:106). 
3 
 
Information sources are the evidence that demonstrates government’s commitments to 
both citizens and the global community (Schellnack-Kelly, 2013:5). The lack of reliable 
information is therefore an indication of poor record keeping, which has a significant role 
in the efficiency, or lack thereof, of the communities’ access to information needed to 
provide basic services guaranteed by the Constitution (Schellnack-Kelly, 2013:99). 
Service delivery cannot be determined without an efficient records management service, 
thereby denoting that, with good records management, the level of performance of the 
delivery of services of organisations can be satisfactorily determined (Luthuli & Kalusopa, 
2017:22)  
 
Cebekhulu (2016:10), in his presentation at the annual records management seminar, 
stated that records management should be regarded as one of the cornerstones of 
management in order to ensure information is retrievable on time in order to make 
informed decisions. He further mentions that records management should also be 
regarded as one of the strategic objectives in governmental bodies’ strategic plans, be 
catered for in the budget, and should be included in the key performance indicators of 
senior managers. Senior managers in the public or private sector do not often view the 
management of records as a vital tool for good governance. (Ngoepe & Ngulube, 2013:3). 
 
Records management has become a more interesting subject over the past few years. 
For efficient and effective business administration, records have always been a significant 
driver and an asset, but it has received little or no consideration over the years. Most 
organisations, however, focused on other primary functions and did not commit to records 
management as it was viewed and is still viewed as a support function. It was at a later 
stage made worse by the introduction of the function of electronic records and document 
management by government and businesses regardless of whether the management of 
paper-based records was up to standard or not (Smith, 2016:ix). 
 
In light of the above, it is worth noting that it is unclear what the current status quo is 
regarding record management practices in the South African public sector. This study 
explored records management practices from the employees’ perspective, meaning the 
4 
 
study will capture their views in real-life situations. By using this method, the researcher 
will be able to explore and gain understanding of the experiences of the participants. 
Against this background, the study aims to assess the influence of senior managers on 
the management of records and to suggest corrective mechanisms to address such 
influences so that these could be proactively used in the management of records for other 
institutions. 
 
1.4 Research questions 
 
The main research question based on the problems defined above for the study is: What 
is the role of management in the implementation and management of records practices? 
 
The following questions support the main research question: 
 Do managers follow/implement the records management processes and 
procedures? 
 What barriers do managers experience in complying with records management 
processes and procedures? 
 What do senior managers regard as strengths of the records management 
processes and procedures? 
 What recommendations do managers have for improving the management of 
records? 
 
1.5  Objectives of the study 
 
The objectives are divided into a general objective and specific objectives. 
 
1.5.1  General objective 
 
The general objective of this research is to explore management’s experiences of records 
management practices at a South African municipality. 
 
5 
 
1.5.2 Specific objectives 
 
The specific objectives of this research are: 
 To determine to what extent management is following record management 
processes and procedures. 
 To determine the barriers that managers experience in complying with records 
management processes and procedures. 
 To explore what the strengths of record management processes and procedures 
are according to management. 
 To explore managers’ suggestions to improve the management of records in the 
municipality. 
 
1.6 Layout of the research report 
 
Chapter 1 outlines the context and orientation of the research. It includes the introduction, 
background, problem statement, research questions and objectives, delimitations and 
limitations of the study, and concludes with the layout of the research report. Chapter 2 
covers the literature review on records management. This chapter starts with 
comprehensive definitions and explanations of the variables. The chapter also reviews 
the lifecycle of a record, types of records and the importance of records management, 
and its relationship with management decisions will be reviewed. Chapter 3 deals with 
the methodology employed in this study. It commences with the aim of the empirical 
investigation, followed by the design and method used in the study, the sample and 
measuring instruments. Finally, the data analysis is explained and described as well as 
the presentation and analysis of the data that was gathered. Chapter 4 presents and 
reports on the results obtained from the data analysis in this study. It includes the sample 
results, and reports on the records management practices of senior management, 
perceptions, as well as the influence of managers on the management of records. 
Chapter 5 discusses the findings and limitations of this study and presents conclusions 
and recommendations. 
 
6 
 
1.7 Chapter summary 
 
In this chapter, an introduction to the research study, the problem statement, briefly 
outlined, and the constructs and reasons for the study were provided. Research 
objectives were given, and the chapter was concluded by discussing the layout of the 
research report. The following chapter will review documented and related research and 
provide an opportunity to explore the body of knowledge relating to the management of 
records and to relate it to the current study 
 
 
 
 
 
 
 
 
 
 
  
7 
 
CHAPTER 2: LITERATURE REVIEW OF RECORDS MANAGEMENT 
 
2.1 Introduction 
 
A thorough literature review was conducted in order to explore the experiences of 
managers in terms of the management of records in a municipal environment. The 
resources for the literature review include accredited journals, articles, books, internet 
searches and internet databases such as EBSCOhost and Google Scholar. The 
keywords used in the literature searches are: records management, records, archives, 
municipality, and public records. 
 
A literature review or overview of the body of scholarship can be described as an 
evaluation of selected documents pertaining to a particular research topic or a critical 
synthesis of previous research. It informs the research question by revealing existing 
knowledge. It enables the process of identifying areas of consensus and debate in a 
particular discipline and establishing the gaps in the existing corpus of knowledge (Du 
Preez, 2017:1). A review of the literature discovered that over the past years, the 
management of records has been extensively under discussion. These deliberations 
happened both in specialised and academic gatherings. These discussions incorporated 
everything from South Africa’s distinctive historical heritage to the defies it encounters 
currently (Katuu, 2015:1). 
 
2.2 Records management 
 
Organisations create records to support the activities that they carry out in executing their 
duties and fulfilling their obligations. Proper management and preservation of these 
records is required to support the effectiveness and efficiency of these organisations. 
 
 
8 
 
2.2.1 Defining records and records management 
 
National Archives and Records Service of South Africa Act (No. 43 of 1996) describes a 
record stored information regardless of format or medium, produced or received and used 
in the operation of the organisation. Auditor General, in their presentation at the Provincial 
Records Management Seminar (2016), describes records management as a practise of 
ensuring the proper formation, preservation, usage and disposal of records to achieve 
resourceful, transparent and responsible governance. Bakare,et al (2016:52) describe 
records management as a management field liable for the orderly control of the creation, 
preservation, use, duplication, and disposal of records. In the policy manual (2004:1), the 
National Archives of South Africa describes records management as a process of 
ensuring the proper formation, preservation, usage and disposal of records throughout 
their lifecycle to achieve capable, transparent and liable governance. 
 
2.2.2 The importance of records management 
 
According to Ngoepe and Ngulube (2014:142), interviews from AGSA indicate that the 
major contributing factor to negative audit opinions in governmental organisations was 
accredited to a lack of backup evidence (records). It is a pre-requisite to guarantee the 
readiness of reliable and well-timed records, which provides proof of public accountability 
that is later certified through public auditing. Handling and controlling evidence of 
accountability is vital as it represents the performance of government administration. 
Public auditing is performed in the public sector in order to inspect information and records 
to ensure correct expenditure of public and worth value for money to the public. However, 
it can only be accomplished with the availability of dependable and timely records (Isaa, 
Sharifb, Alic & Nordind, 2019:151-152). It cannot be over-emphasised that properly 
managing records plays an important role in the auditing in both the public and the private 
sectors (Ngoepe & Ngulube 2014:136).  
 
An all-inclusive records management programme includes policies and processes that 
talk to the significant recordkeeping issues, such as adhering to laws that regulate 
9 
 
recordkeeping in all areas where an organisation runs operations and creates active 
records for retrieval when needed (Saffady, 2015:38). He further describes records 
management as a specialised discipline that has to do with the organised breakdown and 
control of records produced, received, preserved, or utilised by an organisation to pursue 
its duty, processes and actions. Bakare, et al (2016:51) argue that records are important, 
and an organisation cannot function without records. Records are the basis of the daily 
operations of any successful organisation. Many organisations will not survive without the 
care, preservation and use of their records. 
 
Records management is basically concerned with information that is recorded. Records 
management has an important and precise role in government, predominantly in local 
government. Records management is acknowledged as one of the pillars of an 
accountable and transparent administration. Records are proof of official business. They 
have continuing use as a means of responsibility, business continuity, and legal proof 
(Mbatha, 2016). Ike and Oguejiofor (2016:258) also stated that records are classified, 
used, processed and housed. If records are not classified, retrieval for future reference 
will be challenging.  
 
Studies that deal with the management of records in public institutions reveal a less 
perfect picture. Organisations deal with information in many diverse methods and this 
affects the way they manage their records. For example, in their study, Bakare, et al 
(2016:59) discovered that there are barriers that were challenging effective management 
of records in the local government councils they studied, ranging from lack of tools and 
resources, insufficient finance, the culture of poor maintenance, to insufficient storage 
facilities, lack of management forecasting, and lack of experienced personnel. Nkanzi 
(2010:40) also states that comprehensive management of records is not a choice, but 
obligatory as it is regulated by law. Promoting the management of records as a benefit 
for the organisation and society should consequently not be taken for granted. Lack of 
knowledge on records management can have negative effects to the organisation’s 
performance, including draining financial resources, and that will eventually affect the 
delivery of services. 
10 
 
 
Fuzile (2015:37) emphasises the importance of information as tool for competitive 
advantage in the South African public sector. He further explains that for a public body to 
be competitive, it needs to match the quality product or service it has to provide to the 
community. This is also evident in the current government plan (the NDP), that evidence-
based planning needs to be at the centre of every project or programme for the public. In 
his dissertation (An exploration of records management trends in the South African public 
sector: A case study of the Department of Provincial and Local Government), Mpho 
Ngoepe spoke about how frustrated records management practitioners are, trying to 
adhere to legislation without applicable resources, and that South Africa has a long way 
to go as far as the management of records is concerned (Archival Platform: 2014:86). 
The Auditor-General (2016) also mentions that sound records management denotes the 
management of records in line with a records management programme in an organisation 
governed by a records management policy. 
 
2.2.3 Records management at local municipalities 
 
In democratic countries, proper management of records improves the accountability of 
public authorities. Municipalities are institutions at the lowest level of government and 
therefore, intensely work together with the citizens. This interaction produces a great deal 
of public information and evidence. Thus, the way the municipalities deal with the 
information and maintain it are of critical significance for ensuring the efficient delivery of 
services, protecting the rights of the citizens they are obliged to serve, and to sustain the 
transparency of the government. Municipalities are therefore responsible for the creation, 
organisation, management, use and safeguarding of records according to the laws 
governing public information (Svard, 2014: 6). 
 
In the direction of assuring the greatest openness and reliability in public bodies, the 
systems for managing records need to ease the access to, distribution and reprocessing 
of public information. The implementation of records management systems should not 
only be focused for internal use in organisations, but should also provide the foundation 
11 
 
for transparency, and it should move in the same direction throughout the lifecycle of 
records (de Mingob & Cerrillo-i-Martíneza, 2018:256). The National Archives explain, in 
the Records Management Policy Manual (2004), what governmental bodies’ 
responsibilities are with regard to the management of records, such as supporting 
continuing service delivery and providing the necessary accountability, as well as creating 
and maintaining accurate, dependable and functional records. For as long as records are 
required as evidence of business operations and transactions, it is the duty of 
governmental bodies to ensure that the integrity of the records is protected. The policy 
manual is applicable to all governmental departments and organisations, namely any 
legislative, executive, judicial or administrative organ of state (including a statutory body) 
at the national, provincial and local spheres of government. The municipality as local 
government is also regarded as a governmental body and should follow all regulations 
concerning the management of records as stipulated in that policy manual. 
 
In order for governmental bodies to deliver services to the public in an accountable 
manner, the information they require should be readily accessible. It is the responsibility 
of management to ensure that governmental bodies create and have access to 
comprehensive and dependable information assets to enable decision-making to be in 
the best interest of the public. In terms of the National Archives and Records Service of 
South Africa Act, all employees of the organisation, including the records manager, and 
all  who generate records in the execution of their duties, must be assigned with records 
management responsibilities by the heads of governmental bodies. Performance 
agreements and job descriptions of all employees should reflect this. (National Archives, 
2004:1 & 6). 
 
2.2.4 The lifecycle of a record 
 
One of the fundamental models in records management is the lifecycle of a record. 
Professionals in the field widely use this model in many textbooks. As an important 
concept, it provides the utmost probability for effectively managing recorded information, 
predominantly with paper-based records (Maina, 2016:8).  
12 
 
 
In order to properly store documents, it is important that the stages of the lifecycle of 
documents are controlled. The records needed regularly for reference should be stored 
within the offices of origin or inside the offices where they are used or in the registry office 
(Ike & Oguejiofor, 2015:258). Figure 2.1 below will illustrate the life-cyle of a record. 
 
Figure 2.1: Record lifecycle (IRMT, 1999) 
 
According to IRMT (1999) and Smith (2016:9), records can be in one of the following life 
stages/phases: 
 
a) Current records 
Records that are consulted on a regular basis for the current business of an organisation 
and remain preserved in their place of origin or receipt; records in this stage are 
occasionally referred to as active records.  
 
 
 
13 
 
b) Semi-current records 
These records are rarely required for current business that they should be relocated to a 
records storage centre pending their ultimate disposal.  
 
c) Non-current or inactive records 
These are those records no longer necessary for current business and should be either 
destroyed or moved to an archival repository.  
 
Records need to be controlled throughout their lifecycle by people who create them. The 
fact that records exist because someone knowingly made an effort to capture information 
should also be considered. Therefore, this model can be adopted and used in this study 
because municipalities still generate and have paper-based records, and the records 
lifecycle model is easily adaptable in the management of these records. 
 
2.2.5 Types of records 
 
The types of records are all books, documents, maps, photographs, diagrams, plans or 
other documented materials irrespective of format or medium created or received by any 
public or private organisation in carrying out its legal duties and the business transactions. 
Other forms of records are records that are not printed, which include the audio-visuals, 
microforms and disks (Maina, 2016:11). The types of records at municipalities include 
paper-based correspondence file records that should be arranged in a chronological 
method, according to the date of receipt in the registry. The other types of records include 
cartographic records such as maps, plans, charts and drawings, which should be stored 
either in flat or upright hanging cupboards specially designed to store maps, plans and 
diagrams (National Archives Records Management Policy Manual, 2004:28 & 29). 
 
2.2.6 The role of records management professionals 
 
Nengomasha (2013:7-8) is of the opinion that professionals in records and archives 
should turn into becoming more implementers than recommenders, and pay attention to 
14 
 
engage with the practitioners in the registries and the archives. Records and archives 
management professionals should ask themselves what impact does leaving 
recommendations behind have or whether it has an impact or not. The researcher agrees 
with the idea of experts in the field of records and archives being ‘implementers’ rather 
than ‘recommenders’, such as offering consulting services in the areas of records 
management. This could help create and add to the body of knowledge on characteristics 
of records management. 
 
While archivists and records managers, particularly those with a historical experience, 
see the significance in these records for proof of the developing history of any country, 
perhaps the most imperative value in a democratic country is that of providing our citizens 
with a means to hold our government liable for the actions they take on their behalf 
(Magee, 2014:1). 
 
Duranti (2012:19) states that at the beginning of the record lifecycle, records managers 
should take a role of being the reliable custodian, evaluate the legitimacy of the records 
and observe them until disposal. This will assist records management specialists to 
identify the records encompassing diverse types of information, and, be aware of records 
that should exist, but do not exist, working in partnership with the originator of the record 
in addressing the matter. 
 
There is a perception that problematic staff members are allocated to registries where 
they have narrow chances to come into contact with other staff members. Being assigned 
to the registry or records section is seen as a sentence rather than as a mark of 
accountability, and this misperception should be addressed. Notwithstanding the above, 
the national and provincial archives invest in training staff members to be appointed in 
registries and records management sections, only to lose them to other organisations in 
public or private sector where they are offered positions on a higher level or higher 
salaries. Compliance with the national or provincial archives and records management 
regulation is allegedly little. This manifests itself in the prevalent failure of governmental 
bodies to assign designated records managers and in constant reports of the repetitive 
15 
 
unauthorised destruction of records that have reached their retention period and are no 
longer in use for operational and administrative purposes. While it is a requirement to 
manage records in a proper manner to keep records in registries, it is still alarming that 
officials choose to keep records in their own offices. This implies that records are at risk, 
inaccessible and cannot be appropriately managed (Archival Platform, 2014:88). 
 
Not only formal education experience is required for the records management, but also 
work experience, including collecting, keeping, and protecting information in different 
formats as well as the provision of information services. Presently, with the fast 
developments in technology, record managers develop, classify, and save documents in 
print and automated formats. The duties of record managers comprise the history of the 
record from creation to disposal. Record managers consider knowledge and training as 
the requirements of being a records management expert, often referred to as records 
specialists. Records specialists typically hold robust knowledge of archive/record 
administration ideologies, values and practices. Information about the management of 
records can be obtained by means of formal and informal training. Training reinforces 
professional growth, while expertise are improved, and knowledge reinforced through 
experiences (Lawanda, 2017:197-199). Employees can therefore be equipped through 
training managers and staff on how records should be managed to help them execute 
their functions properly. Such training would empower staff with requisite skills for 
managing both manual and electronic records (Njeru, Chege & Ng’eno, 2017:519). 
 
Auditor-General reports often point out inefficiencies in the management of records due 
to lack of information during audits. This could be a symptom of the lack of accountability 
in managing records (Ngoepe & Ngulube 2014:136). This is as a result of organisations 
excluding the role of records managers in their organisational structures to support the 
appropriate management of information.  
 
 
 
16 
 
2.2.7 Records management culture 
 
In commissioning the study, the researcher also considered the information management 
culture in most governmental bodies, particularly the assumption that since all employees 
create documents, they are good records (Svard, 2014:6). Records are a significant 
resource in a democratic culture. These records are mainly a vital administrative resource 
that guarantees good management of primary administrative activities, which, in turn, 
support the government to serve the public efficiently. They are also important since they 
enable public responsibility and openness by providing information regarding the 
undertakings of any governmental body (Yuba, 2013:10). 
 
At the Annual Provincial Records Management seminar, in 2016, the Auditor-General, in 
a presentation about the state of records management in Gauteng, raised a concern on 
how poor management of records impacts on audits through delays and corrections, 
additional work and time, increased audit costs and negative audit outcomes. The 
Municipal Finance Management Act (Act No 56, 2003) states that, with regard to the 
status of internal controls and proper record keeping, 15 auditees (45%) also required 
material corrections to their financial statements and in some cases because of 
inadequate record management processes, which resulted in transactions not being 
included in the financial records submitted for audit. Similarly, 20 (61%) auditees required 
material adjustments to their annual performance reports, in part due to poor record 
management of performance information. In certain instances, management of source 
documentation was inefficient as evidenced by the length of time taken to respond to 
requests for information, as well as audit issues raised. Auditees who are struggling in 
the field of record managements are encouraged to embrace and replicate the best 
practices of those auditees who have attained clean audits by institutionalising basic 
disciplines of internal control relating to record keeping (Cebekhulu, 2016:8-9).  
 
Mbatha, in her presentation at the Annual Records Management Seminar (2016), 
highlighted challenges relating to the position of records management in Gauteng related 
to the improved compliance in terms of policies, file plans, procedure manuals, retention 
17 
 
schedules and records other than correspondence. She further raised concerns on non-
implementation of file plans, unavailability of file plans for political offices, non-
compliance, centralised vs decentralised registries, lack of capacity, resistance, policies, 
procedure manuals and that file plans are in place, but not implemented. The other 
problems she highlighted were off-site storage without appraisals, no retention schedules 
in place, microfilm without guidance, unclassified records in registries or offices, 
resistance to declare records, end-users, security, and no restricted access. With regard 
to electronic records, there is implementation without record management or provincial 
archives consultation, inappropriate metadata, access limitations and no e-mail 
preservation. In relation to the appointment of records managers, most records managers 
are designated and not appointed, in junior positions, where records management 
qualifications are still a challenge and there is a lack of in-service training. 
 
There is a common notion is that if the public bodies are unable to comply with the 
straightforward records management requirements such as the implementation of 
approved records classification systems, they are likely to not conform with other 
requirements that are more rigorous such as proper records disposal, which will 
eventually affect the public to have access to records in the custody of government 
(Mojapelo & Ngoepe, 2017:30). 
 
2.2.8. The benefits of effective records management 
 
Ngoepe and Ngulube (2013, 1&7) revealed in their study that records management is not 
viewed as a crucial element for governance. The management of records is regarded as 
an overlooked function with no value in government administration in South Africa. The 
study further discovered that records management professionals are excluded from audit 
committees of most governmental bodies and that management has a supportive and 
oversight role to play in records management and corporate governance; however, this 
was not evident in most governmental bodies. 
 
18 
 
The problem of poor custody of records in public administration certainly features highly 
in reports produced by oversight bodies such as Auditor General of South Africa (AGSA), 
the South African Human Rights Commission (SAHRC), the Standing Committee on 
Public Accounts (SCOPA) and to some degree, the National Archives and Records 
Service of South Africa (NARS). For example, during audits of governmental bodies, by 
the external auditor of government (AGSA), one of the limitations it faces is that records 
either do not exist or could not be retrieved (Ngoepe & Ngulube, 2014:135). 
 
Ngoepe (2014:136) and Ntontela (2015:10) maintain that records offer citizens a chance 
to trace the activities of government. Accurate and reliable records are the basis of 
effective auditing and accountability by government. Blake (2014) also stated that 
properly managed records may be helpful in reducing operating expenses, enhancing 
customer service and ensuring compliance with legislation and regulations. This also 
correlates with scholars like Kanzi (2010:15) who maintain that, like any other valuable 
resources of an organisation, such as financial resources, human capital, and physical 
resources, information must be seen as a valuable asset for the organisation.  
 
The researcher also noted that not a single senior manager identified a major difference 
between managing information assets and other assets of an organisation, namely every 
person manages information whereas the other assets are managed by designated 
people. However, they accentuated the lack of control of information assets by declaring 
that the organisation managed its financial assets with the same lack of responsibility, 
restraint and thoroughness as it manages its information assets (Evans & Price, 2014, 
113 & 117). 
 
It can be concluded from the literature above that records management forms part of 
sound government administration. Government officials create records in the course of 
carrying out their official responsibilities and most of these records are produced or 
received in the course of service delivery and performing public functions. Indeed, records 
or information are the second-most important resource of government after human 
resources. Records are essentially the most vital subsection of information. The 
19 
 
management of records involves the harmonisation of management and other 
administrative work required to ensure the proper creation and maintenance of records 
to keep track of government functions and realise administrative, legal, and other 
operational needs. According to recordkeeping requirements, records should be 
organised, kept and disposed of based on legal requirements and value. Archival records 
are preserved and accessible when needed. The literature reviewed shows that for 
government to be successful, it should ensure effective records management since most 
government information is from these records. 
 
Records also play a vital role in auditing to ensure institutions are accountable and 
transparent in the management of financial resources, which is facilitated by easy access 
and retrieval of records. Every transaction leads to the creation of a record, and these 
records have to be maintained as evidence of all transactions carried out by 
organisations. It is therefore a prerequisite for any organisation to keep and maintain 
records in an orderly manner to ensure the records are created effectively and efficiently, 
and are reliable. Internal and external auditors often realise the importance of records 
management when records cannot be traced or are already destroyed and still required 
as evidence of transactions. This can be caused by poor maintenance and preservation 
of records. 
 
2.2.9 Records as a strategic resource 
 
Senior management in government departments do not offer adequate support to record 
keeping in the South African public sector due to the fact that records are not 
acknowledged as a key strategic resource (Yuba, 2013:106-107). He further explains that 
this is because technology is considered as important in the public sector, but the 
information managed by that technology is not considered as strategic. 
 
Records are a strategic resource crucial in supporting forecasting and decision-making, 
ensuring operational business continuity, and demonstrating effective, transparent and 
responsible governance, impartial administrative action, as well as enable the right of 
20 
 
access to information. Another reason is that citizens require access to the records of 
government in order to hold government accountable for its activities and to understand 
the history (Archival Platform, 2014:79). 
 
Svard (2014:135) states that the way information is managed has consequences for 
service delivery. Records should be utilised to support business functions. Without the 
proper management of records, businesses would struggle to reach its stakeholders. 
Records of decisions taken before will guide managers to make future strategic decisions. 
Proper management of records makes it easier for organisations to access information to 
evaluate the consequences of the decisions made in the past. Consistent reference to 
organisational records should therefore help an organisation operate more efficiently by 
monitoring and evaluating success or failure (Mosweunyane, 2013:45-46). 
 
Records management is a business task in a similar way to human capital, finance and 
facilities management. It should be acknowledged as a specific business plan within an 
organisation and it should receive the crucial levels of support throughout the organisation 
to ensure effectiveness. The function needs to bring together duties for records in all 
mediums from their creation to their eventual disposal. All organisations produce records, 
but many do not have a designated records manager with the key responsibility for 
ensuring an effective and efficient method to handling records and information throughout 
the organisation (Smith, 2016:5). 
 
Bakare et al. (2016) assert that an organisation simply cannot function without records as 
they are an important resource. The daily processes of any successful organisation are 
completely reliant on its records. Many organisations will not endure without proper 
maintenance and use of their records. Evans and Price (2014:119-120) argue that 
formulating a strategy encompasses the incorporation of activities, roles and assets 
throughout the organisation and that information is an important resource and a valuable 
resource in directing the strategy of an organisation. 
 
21 
 
Mbatha (2016), in her presentation, states that the strategic risk institutions can run may 
arise from adverse business decisions or the improper implementation of those decisions, 
caused by improper management of records, thereby causing the institutions to face 
litigation, qualified audit reports and even loss of credibility to stakeholders. Records 
management is an instrument for risk management, is vital in strategic decision-making, 
and may help lessen costs and risks from lawsuits. Incorporating risk management and 
records management has positive prospects as its collaboration enables not only 
identifying risks, but also business prospects, maintaining competitive lead and enabling 
the realisation of the strategic objectives of the organisation (Ngoepe, 2014:7). 
 
2.3 The influence of senior management on the management of records 
 
In their study, Maseh and Mutula (2014:159) state that the findings revealed that senior 
management did fully support records management in terms of resources, size and 
infrastructure development. For example, financial apportionment for records 
management functions is not taken into consideration. Therefore, functions related to 
records management were financed from the overall budget. In addition, the findings 
revealed that the records management function did not have a department or directorate 
like other administrative tasks. The implication of this was that there is no high-ranking 
official responsible for advocating for the records management needs relating to budgets, 
policy and more. Records are intended to be recognised as a vital administrative 
resource, which allows for stability and valuation, but this is not happening in the South 
African public sector (Yuba, 2013:105). 
 
Evans and Price (2014:117) conducted a qualitative study on public and private sector 
organisations in Australia and South Africa. They contend that information assets are 
managed through exercising information asset management (IAM) combined with 
governance. The results of their study show that chief executive officers who are the 
heads of the organisations are responsible for establishing an information management 
strategy and should encourage a strong culture of value so that the benefits of information 
assets can be measured. The chief executive officer should also establish processes to 
22 
 
ensure that information is managed in compliance with the organisation’s policies and 
procedures. Senior managers take possession and responsibility for information, 
meaning that they are accountable for decisions taken, actions and projects done to 
achieve goals. 
 
Evans and Price (2014) and Bessick (2016) state that senior managers are accountable 
for making strategic decisions, assessing performance and instituting key performance 
indicators, and consequently they require information in time). Supervisors discover that 
teams of other divisions only perform what is within their area of expertise. For a particular 
task to be completed, they should refer to different team members to give supplementary 
information that is required; however, that information is regularly unreliable and not up 
to standard (Bessick, 2015:3). 
 
Information governance is important and should consequently be obligated from 
management level. While managers look at information as an operational matter, their 
attention should be centred on the information management strategy, and the threats the 
information assets might face (Evans & Price, 2014:119-120). Intermediate managers are 
answerable for implementing objectives set by senior managers, motivating and assisting 
supervisors to realise business goals as well as being involved in daily operations. They 
make available vital information to senior management, which assists in the advancement 
of service delivery to the public (Bessick, 2016:2).  
 
Within the context of the South African government, and under the control of different 
statutes and rules, among others, the accountability for the management of information 
lies with the head of the department (HOD) of a specific provincial department. Within the 
setting of the South African Government, the premier, who is the head of the provincial 
government, director general (DG) who is accountable for provincial departments, and 
his/her deputy director general (DDG) who is accountable for a division in a provincial 
department, fulfil this responsibility. They are liable for their activities, decisions, policies 
and management, and have a duty and responsibility to account and enlighten the public 
regarding the information (Bessick, 2016:16). 
23 
 
 
The duty for the management of records must be assigned to someone of suitable 
seniority, who is well acquainted to the organisation and can encourage the employees 
to follow the records management processes and procedures, and ensure the 
implementation of efficient resources. Every employee in the organisation must know who 
the records manager is and the position needs to be acknowledged throughout the 
organisation (Smith, 2016:6). 
 
Evans and Price (2014:119) draw a direct association between the accomplishment of 
effective information management and the commitment of an organisation to an 
information management ingenuity. They also state that for information to be effectively 
managed, it should be part of the management or board agenda. The Auditor-General 
stated in his media statement that leadership should set the tone for accountability, and 
energy should be focused on correcting the system setbacks identified. He furthermore 
stated that municipalities fail to meet their objectives where there is no accountability. 
This, in turn, badly impacts on the lives of the citizens who depend on municipalities for 
service delivery. The AG’s report also highlighted that strategic officials lack suitable skills 
and capabilities in financial reporting led to over-dependence on consultants and had a 
negative influence on financial forecasting, record management and reporting (Auditor 
General, 2019:8 & 10). 
 
According to the King Report III, records are assets as they serve as evidence of business 
actions. Consequently, the company's directors should strategically manage and protect 
these records as an asset optimally. The board of directors should ensure that 
governance is reinforced by efficient and effective management of records, by ensuring 
that information and information systems are available in a timely manner, and employing 
an appropriate information security management programme, in order to ensure that 
confidential information is identified, classified and allocated appropriately, managing the 
risks related to information systems; ensuring constant observation of all the aspects of 
information, ensuring the preservation and monitoring of data quality; and instituting a 
business continuity programme addressing the information and recovery necessities, and 
24 
 
ensuring the programme is still in line with the effective implementation of the business 
actions. (King iii Report: 2009: 86-87) 
 
Based on the above, within the context of a municipal environment, the municipal 
manager is accountable for the overall management of records and processes from 
creation to disposal. 
 
2.4 Legislative requirement  
 
Records management is impacted and regulated by a number of legislative pieces, 
including:  
• Sections 141 and 195 (1) (f) of the Constitution of South Africa (1996) envisage that 
government should be accountable and transparent. Section 195 provides, among 
others, for the effective, economical and efficient use of resources; provision of timely, 
accessible and accurate information; and requires that the public administration must 
be accountable  
• Records management enables effective financial management as required in terms 
of the Public Finance Management Act (Act No 1 of 1999). 
• Promotion of Access to Information Act (Act No 2 of 2000) provides the framework 
and procedures for citizens’ exercise of their constitutional right to information. 
• Section 40(1) of the Public Finance Management Act (Act no. 1 of 1999) states that 
accounting officers of governmental bodies are required to keep complete and proper 
records of the financial affairs in accordance with prescribed norms and standards. 
• Municipal Finance Management Act (Act no. 56 of 2003) states that the municipal 
manager must ensure that full and proper records of the financial affairs of the 
municipality are kept in accordance with any prescribed norms and standards. 
• Promotion of Administrative Justice Act (Act No 3 of 2000) envisages that 
administrative action should be lawful, reasonable, fair and properly documented. 
• Electronic Communications and Transactions Act (Act No 25 of 2002) provides for 
the facilitation and regulation of electronic communications and transactions.  
25 
 
• National Archives and Records Service of SA Act (Act No 43 of 1996) envisages the 
protection of the national archival heritage. 
• Minimum Information Security Standard (MISS) provides for records to be classified 
according to their levels of sensitivity. 
 
2.5 Summary 
 
The chapter defined what a literature review is. The chapter went further to explain the 
importance of records management and the role it plays in governmental institutions, 
which includes transparency, accountability and safeguarding organisational memory 
among other advantages. The chapter listed the requirements for good organisational 
records management processes and procedures. The records lifecycle was discussed as 
a concept that brings order in the management of records. The lifecycle of a record begins 
when a records is created, maintained and used for business purposes and finally 
disposed of by either being transferred to an archival centre or being destroyed. The 
chapter pointed out that the efficiency and effectiveness of a records management 
programme, particularly in a municipality, lie with the capability and policies of a 
municipality to thoroughly evaluate and dispose records following laid-down policies, 
processes and procedures. The chapter further outlined the role that senior managers 
play in the management of records, as well as the influence they have on the way records 
are managed. The legislative requirements of records management were also discussed 
in this chapter. The next chapter will provide an overview of the methodology applied to 
conduct the research for this study. 
 
  
26 
 
CHAPTER 3: METHODOLOGY 
 
3.1 Introduction 
 
This chapter presents the research design and methodology employed in this study. The 
research design and methodology provides direction the researcher has to follow on the 
research plan and process of the study and how the study should be implemented 
(Quinlan, 2011:175). The chapter illustrates how the researcher employed the research 
design and process in order to achieve the aim and objectives indicated in Chapter 1. 
 
3.2 Research methodologies/processes 
Research methodologies or processes are the specific methods or procedures, which 
were used for the identification, selection, processing, and analysis of information 
regarding this study. 
 
3.2.1 Paradigm 
 
Bessick (2016:64) states that a paradigm influences the exploration and translation of 
knowledge. The selection of a paradigm lays the plan, inspiration and the aims for the 
study. Conveying the paradigm should be the first step, serving as the foundation, 
followed by choosing the approach, literature or research design. 
 
The study adopted a qualitative descriptive approach. By using this method, the 
researcher was able to capture the views and perspectives of the participants as well as 
gain understanding of the experiences of the participants. According to Kim, Sefcik and 
Bradway (2016:23), qualitative descriptive research is suitable for research that aims at 
discovering the who, what, and where of procedures or experiences, and for gaining 
insights from participants regarding a phenomenon they did not understand well. In the 
current study, this approach enabled the researcher to explore the opinions of managers 
regarding the management of records. 
 
27 
 
3.2.2 Research method 
 
A qualitative research method was proposed for this study. Flick (2014:11) states that 
qualitative research is aimed at exploring and discovering new theories as well as to 
develop theories that are realistically grounded rather than to investigate what already 
exists. According to Taylor, Bogdan and De Vault (2016), in qualitative research, 
researchers develop concepts, insights and understandings from the data patterns rather 
than collecting data to assess predetermined models, premises or philosophies. 
 
3.2.3 Research design 
 
The study was cross-sectional in nature, as it attempts to give a snapshot of the 
knowledge, attitudes and perceptions of managers at a given time. Through cross-
sectional analysis, the researcher may identify common patterns, similarities, differences 
and recurring patterns in the phenomenon under investigation (Willig, 2013:442-446). 
Thomas (2013) affirms that a cross-sectional study involves the study of a group of 
individuals with the same characteristics at once. 
 
The aim of the study was for the research findings not to be generalised. The study does 
not intend on having a sequel test on the subjects. The selection of this type of study was 
centred on the fact that the study happens at a single point in time, does not allow 
manipulation of variables, and it allows the research to focus on a variety of variables at 
once. 
 
One of the advantages of a cross-sectional study is that it is relatively inexpensive. Cross-
sectional studies are usually quick, easy and affordable to perform, and are performed 
using a questionnaire survey. There was no need to follow-up because participants 
completed the written survey only once (Sedgwick, 2014:2).   
 
The research designs employed for this study were descriptive and explorative. The 
researcher conducted an in-depth investigation for the qualitative study using basic 
28 
 
research principles. In order to determine the records management practices at a local 
municipality in the West Rand, descriptive research was used. Explorative research was 
applied to gain a detailed understanding of how senior managers in the municipality 
implement and adhere to the records management practices. 
 
3.3 Gathering of data 
 
3.3.1 Population 
 
This study was conducted among managers from a municipality in Gauteng, South Africa. 
The units of analysis in this study are those managers entrusted with the responsibility of 
discharging records management duties. Their attitudes, perceptions and knowledge on 
records management practices were investigated. The study population comprised 
executive and section managers in the municipality. The sample is considered 
representative as it was selected from applicable participants and respondents were 
chosen from the sampling component. 
 
3.3.2 Sampling size 
 
In this study, the managers responsible for ensuring proper records management 
constitute the study population. A sample of 16 respondents was selected to take part in 
the study. The characteristics of the sample are presented in Chapter 4.  
 
3.3.3 Sampling strategy 
 
This study followed purposive sampling procedures in selecting the study subjects. 
According to Pilankas (2015), purposeful sampling is extensively used in qualitative 
studies in order to recognise and choose cases that have enough information related to 
the phenomenon of interest. More specifically, the sample was drawn from those 
managers who are responsible for records management at the participating municipality. 
The reason for this purposive sampling was that these senior managers in the 
29 
 
municipality deal with records in executing their daily duties, as well as support in adding 
records management as one of the strategic objectives. 
 
3.3.4 Data collection instruments 
 
In this study, the researcher collected data by means of written qualitative surveys. The 
written qualitative survey consisted of open-ended questions, providing respondents 
enough space to give more detail about their responses and perspective in their own 
words. Most common qualitative studies depend on collecting data using semi- or fully-
structured (closed-ended) interviews, either orally or written. In these qualitative 
interviews, the questions were structured around the researcher’s knowledge, but also 
allowed the participants to provide more information on other questions (Percy, Kostere 
& Kostere, 2015:79). 
 
Ngoepe (2009:122) states that self-administered surveys can be distributed to a number 
of individuals and may allow privacy. This method is preferred because of its 
administration, which created an understanding and a relationship between the 
researcher and the respondents, and offers a balance between the flexibility of an open-
ended qualitative written survey and the motivation of a structured assessment. The 
method allowed the researcher to gather comprehensive information. The respondents 
were able to seek clarity on unclear questions and the researcher was able to probe in 
order to gather more desired information. The researcher therefore requested the 
selected executive managers and section managers to fill in the written qualitative survey, 
as they are easily accessible. 
 
3.3.5 Credibility, validity and reliability of the instrument/tool 
 
Because qualitative research methods are open-ended and flexible, they address validity 
issues during undertaking this research. Contrary to quantitative research that depends 
on pre-coded data collection methods such as structured interviews, in qualitative 
research data collection allows participants to contest the researcher’s expectations 
30 
 
about the meaning and weight of perceptions and categories. In this study, the researcher 
made an effort to ensure that threats to validity are minimised or eliminated when 
constructing an instrument (Mosweunyane, 2013:61).  The researcher ensured that most 
of the respondents complete the surveys in her presence to make sure the responses are 
not tempered with and that participants could ask for clarification when needed. The 
researcher also ensured that participants truly are senior managers and that the data 
collected from the participants is truly representative of their departments or section and 
will not lead to invalid results. For this study, the researcher has formulated written 
qualitative questions that are simple and clear.  
 
To ensure credibility, validity and reliability, the researcher ensured that only the most 
appropriate participants were identified for this research by communicating directly with 
the participants and delivering the questionnaires directly to them to ensure that they get 
the correct information related to the study. The researcher also ensured that the study 
explored what needs to be explored and the methods applied are reliable and suitable for 
this study. The researcher also ensured that the data collected is correctly interpreted by 
seeking a second opinion on the interpretation of that data collected in the form of a co-
coder.  
 
3.3.6 Data collection  
 
A self-developed qualitative survey, which was administered by the researcher, was used 
to gather data from the sample. The survey consisted of structured, open-ended 
questions set preceding the study. The researcher ensured that the survey consists of 
questions that will prompt the participants to share their individual experiences relating to 
the management of records within the participating municipality. The questions were 
formulated in such a way that it is in line with literature, and sufficiently covers the 
research problem and research questions. Qualitative data collection methods need to 
be done in such a way that they permit participant connotations to be heard. They need 
to be open-ended and adequately unrestricted to enable unexpected and new categories 
of meaning and experience (Willig, 2013:89-90). Adu (2014:36) states that when 
31 
 
questionnaires are designed by taking into consideration the objectives of the study, it 
helps the respondents to provide appropriate information required for the study. The 
validation for the use for the written qualitative surveys was that it assisted the 
respondents to answer the questions at their convenience and minimised respondents’ 
bias since the respondents answered the same questionnaires, and dissimilarity of 
questions is removed. The survey questions are uniform and therefore reduce bias. The 
researcher did not influence the respondents’ answers to questions. In order to collect 
relevant data and avoid misinterpretation, the researcher used simple language that is 
easily understood by the participants. The researcher delivered the questionnaires by 
hand to respondents in their offices and the researcher collected them after completion. 
The researcher allowed participants approximately one week to complete the written 
interviews. 
 
The following questions were included in the survey: 
 Are you familiar with the records management processes and procedures in the 
municipality (these are the standards and procedures for classifying, indexing, 
filing, and retrieving records, as well as the records management policy)? 
 What controls, if any, do you have in place to track files or records?  
 Are you aware of any records keeping systems (file plan, records control schedule) 
in your municipality? Please elaborate. 
 To what extent would you say you are following the records management 
processes and procedures? 
 What, if anything, do you find challenging in terms of complying with the records 
management processes and procedures? 
 Can you always find information when you require it? If not, what are the problems 
that affect information access? 
 What do you think are the strong points of the records management processes 
and procedures in the municipality currently? 
 What recommendations do you have to ensure the management of records is more 
effective and efficient in the municipality? 
 
32 
 
The data collection process started with the preparation of the data collection tool, 
followed by the collection of data and ended with the preparation of the data, which 
included recording the responses in a worksheet per survey question in order to ease the 
data analysis process. As part of the survey, the participants were provided with a consent 
form explaining the purpose of the questionnaire. The participants were assured of the 
voluntary nature of the study and their right to withdraw at any time during the study and 
that their responses will be treated with confidentiality. The respondents were requested 
to give consent for the results of the study to be used for future research.  
 
3.3.7 Data coding and analysis 
 
The researcher familiarised herself with the data and checked whether the written 
interviews are completed in a correct manner and the questions are fully answered. The 
researcher then analysed the data. According to Tumele (2015:73) and Mayer (2015:58), 
data analysis is a method of examining, categorising and testing information to derive 
patterns and descriptions and to create new theory, and is particularly vital when applied 
to qualitative research because the method in which analysis is conducted influences the 
research findings. 
 
 
The aim of the analysis is to gain an insight into the participants’ opinions and beliefs 
relating to the phenomenon being explored (Willig, 2013:287). Data analysis is about the 
inductive exploration of repetitive patterns or concepts, and then conveying into clear and 
brief understanding (Nassaji, 2015:130). Data analysis is the most important part of a 
qualitative research as it is the main influence on the results of the research conducted 
(Flick, 2014:3). 
 
The data was analysed by means of content analysis. Mathers, Fox and Hunn, (2009: 21) 
define content analysis as the logical analysis of text or transcripts to categorise and 
group common themes. The researcher devised a data analysis strategy that she draws 
from Miles and Huberman (1994). The methodology that the researcher used included 
33 
 
data reduction, which is concerned with streamlining, shortening and adapting written 
data. Coding, categories and themes were generated during this phase in accordance 
with the research questions. Charmaz (2006:40 & 46) defines coding as the important 
connection between data collection and clarifying the meaning of the data. A code is an 
expressive concept designed by the researcher to capture the main content or root of the 
data. After the data reduction, the researcher applied the data display, which 
encompasses the presentation of summarised data in structured and comprehensible 
forms. This allows the researcher to make deductions in line with the research issues. He 
further argues that scrutinising how data is collected aids to trace them. Such scrutiny 
also helps during coding and categorising, because the researcher will be able to place 
their initial analysis within its background and make more specific appraisals when coding 
data.   
 
The researcher prepared the data and transcribed all the written survey questions and 
responses onto an Excel spreadsheet, as is. The researcher then read and reread all the 
responses to each question in order to familiarise herself with the contents thereof. The 
responses with similar content were then grouped together as a single category by 
reading each sentence in order to grasp content that is the same. In some questions, sub-
categories were created in order to accurately reveal the contents of the responses. The 
study results were reported by providing clear responses per question in the written 
survey, supported by mentioning the exact responses from participants. The researcher 
provided the exact clear description of questions and responses in order to make it easier 
to understand. 
 
3.4 Chapter summary 
 
In this chapter, the research methodology, research processes and the gathering of data 
were described and discussed. Qualitative written surveys were used to obtain data from 
senior managers of the participating local municipality. The researcher visited the 
respondents and circulated the questionnaires to be completed and collected after 
completion. The following chapter will present reports on the results achieved from the 
34 
 
analysis of the data in this study. It comprises of the sample results, descriptive numbers 
of the variables, association analysis and reports on the connection between senior 
management, perceptions, records management, as well as the influence of managers 
on the management of records. 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
35 
 
 
 
CHAPTER 4: Data presentation, analysis and interpretation 
 
4.1 Introduction 
 
In the previous chapter, the research methodology followed was presented. This chapter 
will present the result of the data analysis and discuss the results of the study. The focus 
of this chapter is therefore to write up the findings of the research, which will give the 
basis of the interpretation of the answers recorded and received from the respondents. 
The aim of the study was to explore records management practices in the municipality to 
establish whether records are managed according to prerequisite records management 
values. Finally, the analysis and interpretations will provide direction and answers to the 
research objectives of the study. 
 
4.2 Report on results 
 
The data from the 16 completed written qualitative surveys was captured on Excel and 
analysed. The characteristics of the sample are presented below. 
 
4.2.1 Characteristics of participants  
 
As seen in Table 4.1, the sample ranged from 32 to 66 years of age, with the majority of 
the participants older than 50 years. The majority of the respondents were male and most 
of the participants were black (10), followed by coloured (three), white (two) and finally 
one Asian. One respondent has over 30 years’ experience in the management position, 
one has just over 15 years, while five have less than 15 years and nine respondents have 
below 10 years in management positions. 
 
 
 
 
36 
 
Table 4.1: Characteristics of participants   
Item Category Frequency Percentage 
Age 31-40 years 1 6.25 % 
 41-50years 7 43.75 % 
 51-60 years 7 43.75 % 
 61-70 years 1 6.25 % 
Gender Male  9 56.25 % 
 Female 7 43.75 % 
Cultural/ethnic group Coloured 3 18.75 % 
 White 2 12.5 % 
 Black 10 62.5 % 
 Asian 1 6.25 % 
Years in current position  1-5 years 3 18.75 % 
 5-10 years 7 43.75 % 
 10-15 years 4 25 % 
 15-20 years 1 6.25 % 
 20-30 years 1 6.25 % 
 
4.3 Questionnaire response rate 
 
The researcher distributed 20 questionnaires to the targeted respondents and only 16 
were completed and returned, resulting in a response rate of 80%. Specifically, the 
response rate of executive management was 90%, and 77% for section/unit 
management.  
 
4.4 Study results 
 
The results obtained from the study are presented and discussed below. 
 
4.4.1 Records management processes and procedures 
 
The respondents were asked whether they are familiar with the records management 
processes and procedures in the municipality (these are the standards and procedures 
for classifying, indexing, filing, and retrieving records, as well as the records management 
policy). Ten of the respondents indicated that they are not aware of records management 
processes and procedures in the municipality, but two of the ten indicated that they are 
37 
 
aware of the records management policy. Six of the respondents indicated that they are 
aware of the records management processes and procedures. 
 
4.4.2 Controls to track files  
 
The respondents were requested to indicate which controls, if any, they have in place to 
track files or records. Of the participants who indicated that they are familiar with the 
record management processes and procedures, one respondent indicated that they do 
not have any controls to track files in place. Nine of the respondents keep files/records in 
their respective offices and three of them rely on the personnel in their units to control the 
keeping of records rather than doing so themselves. Only one of the respondents 
indicated that they send some of their records to the central records office. 
 
4.4.3 Records keeping systems (file plan, records control schedule)  
 
Next, respondents were asked whether they are aware of any records keeping systems 
(file plan, records control schedule) in the municipality. All respondents indicated that 
there was a filing system in the municipality, and one of them indicated that the records 
system complies with the requirements of the oversight body (Gauteng Provincial 
Archives), except for one of the respondents who indicated that they are not aware of the 
records keeping systems in the municipality, and that they use their own referencing and 
manual filing. One respondent indicated that the file plan and the records control schedule 
were reviewed, compiled and implemented. Both documents were sent to the Gauteng 
Provincial Archives and Records Services for approval and submitted to Council for 
adoption. 
 
One respondent indicated that they are not sure how to use the file plan. One respondent 
was not sure whether the file plan is being used, whereas 13 of the respondents knew 
what is expected from them with regard to the implementation of the file plan. Although 
the participants are aware of the file plan, they have different understandings of what the 
file plan is. One respondent described the file plan as an inventory of all the files according 
38 
 
to category and that the records control schedule contains information about where the 
file is. One of the respondents is of the opinion that the records control schedule forms 
part of the file plan. One mentioned that the file plan outlines the reference numbers for 
all internal and external correspondence and that they ensure that that each letter 
includes a reference number prior to circulation. Two of the respondents referred to the 
file plan as an electronic records management system. 
 
Even though the majority of the respondents indicated that they are not aware of the file 
plan, one respondent mentioned that the file plan was communicated to all employees. 
 
4.4.4 Adherence to records management processes and procedures 
 
Respondents were requested to indicate to what extent they are following the records 
management processes and procedures. Seven of the respondents admitted to not 
following the records management processes and procedures; only one respondent 
indicated that they follow the processes and procedures. Four respondents indicate that 
they follow the processes and procedures minimally. Four of the respondents depend on 
either their subordinates or personal assistants for records. The respondents had different 
reasons for not following the records management processes and procedures. One 
respondent indicated that they use their own knowledge of record-keeping, one indicated 
that it is because there is not enough awareness of the records management processes 
and procedures; however, one of the respondents mentioned that there has never been 
a workshop undertaken to educate all the staff about records management and 
processes. One developed their own manual system, which they prefer to use. One 
remarked that the records system is not utilised in the municipality, and as mentioned, 
four respondents depend on others for records and the management thereof. 
 
Most of the respondents professed ignorance regarding the importance of records 
management processes and procedures. Only 18.75% of the respondents indicated that 
they fully follow the records management processes and procedures. 37.5% follow it to a 
lesser extent. Of all respondents, 43.75 % do not follow the records management 
39 
 
processes and procedures. Some even rely on others for the control and keeping of 
records. However, four of the respondents showed better knowledge of the importance 
of records management to the municipality. Three of the four respondents mentioned the 
importance of compliance to records management processes and procedures. 
 
4.4.5 Challenges in terms of complying  
 
Respondents were requested to indicate what they find challenging in terms of complying 
with the records management processes and procedures. Three respondents indicate 
that there is nothing challenging, it is just a matter of employees not following the 
procedures. One respondent indicated that the system works perfectly and it would be 
nice to have all the employees using it. Two respondents indicate that the processes and 
procedures are complicated. Two feel there should be training in terms of the 
management of records; however, one of them still does not take responsibility and only 
wants the admin staff to be trained. Two respondents feel that the internal compliance 
general culture in the municipality is not to comply with records management processes 
and procedures and it is not enforced.  
 
Three respondents remarked not knowing what their responsibilities are and what 
procedures to follow. Two respondents indicated that they find the filing and 
categorisation of documents challenging. Four respondents mentioned that the 
processes are complicated and not easy to follow. Though they admit to not following the 
records management procedures and processes, one of these three respondents 
mentioned that the place where records are stored was flooded and most documents 
were damaged, which might be adding to them not adhering to the processes and 
procedures. 
 
4.4.6 Problems faced in accessing records. 
 
The respondents were asked whether they can always find information when they require 
it. If not, what are the problems that affect access to information? Nine of the respondents 
40 
 
indicated that they had no problem finding information; however, one of them says they 
can only find old information from the records section, and two say that they can find the 
information because it is in their offices. One of the nine respondents mentioned that they 
encounter problems when a file is missing. Seven respondents remarked that they cannot 
always find information, believing the cause to be that information is not filed, some of the 
records personnel appearing not to be knowledgeable, information not submitted to 
records section, files getting lost or bad record keeping. Four of the respondents use their 
own referencing and processes to file records, whereas one respondent mentioned that 
there is no proper storage and stationery due to cash flow challenges. 
 
4.4.7 Rating of the records management processes and procedures  
 
Respondents were requested to indicate what they think the strengths of the records 
management processes and procedures in the municipality currently are. The 
respondents showed different views when it comes to the strongpoints of the records 
management processes and procedures in the municipality. Some of the respondents 
were of the opinion that records management practices were poor at the municipality, 
while others mentioned that the records management practices were good. Three 
respondents believe that the records officer is knowledgeable concerning the 
management of records and this eases the records management processes. Five of the 
respondents believe there are no strongpoints in the records management unit, and two 
of the above-mentioned eight indicated that the records management processes are not 
in place, whereas one indicated that there is a records management steering committee 
to help with awareness, one indicated that there is a manager assigned to manage the 
records management unit. One of the respondents is of the opinion that centralisation 
and co-ordination among all departments of the municipality is still a challenge. 
 
One of the respondents indicated that there are dedicated staff at the records section, 
another one says there is a reliable records keeping system and the other says there is 
a policy that is updated on a regular basis and is simple to understand. One of the 
respondents stated that the records management unit ensures that there is proper and 
41 
 
streamlined information storage and records for future reference. One respondent 
mentioned that the records management unit only keeps records related to Council 
agenda and reports.  
 
4.4.8 Recommendations to ensure effective and efficient management of records  
 
Respondents were asked to make recommendations to ensure the management of 
records is more effective and efficient in the municipality. Most of the respondents 
recommended that there should be awareness programmes/workshops as well as 
training for staff. Other respondents gave different recommendations, which included the 
appointment of skilled, experienced and qualified staff for the records management unit, 
that all employees must be held accountable for the management of records, that 
document management should be centralised, and that senior managers should take 
responsibility of the management of records in their units/departments.  
 
One respondent recommended training all the employees on specifically records 
management processes and procedures and that a fully-fledged records management 
unit must be established, with qualified personnel to run all records management 
processes of the municipality. 
 
4.5 Summary 
 
This chapter was dedicated on the presentation and discussion of results acquired from 
the data analysis. In some instances, substantial relationships were observed between 
senior managers and records management practices. The next chapter will present the 
conclusion, recommendations for records management practices as well as 
recommendations for future research. The responses collected from respondents through 
written surveys and observations were presented on an Excel spreadsheet and the 
results were further analysed. Out of 20 questionnaires distributed, only 16 were returned, 
which were analysed and results presented.  
 
42 
 
 
 
 
 
 
 
 
  
43 
 
CHAPTER 5:  CONCLUSIONS, LIMITATIONS AND RECOMMENDATIONS 
 
5.1 Introduction 
 
Chapter 1 of this research presented the background and scope of the study. Chapter 2 
holds the literature review, where a wide range of significant literature was gathered, 
appraised, interpreted and integrated, in line with its contribution to the research problem 
under review. Chapter 3 focused on the design of how the research would be undertaken 
to specifically suit the phenomenon under review. This research also managed to find the 
most applicable data collection techniques in the process. Chapter 4 focused on the 
results of the data gathering and analysis of information collected from the population 
group selected from the senior managers of the municipality. In this final chapter, the 
conclusions resulting from the study, as well as the limitations of the study are presented. 
Recommendations are also made for future research and practice. 
 
This study was prompted by observations made by the researcher on how municipalities 
manage their records and the involvement of senior managers in the management of 
records, which led her to the assumption that the records at the municipality are not 
managed optimally. Therefore, the aim of the study was to investigate whether the 
municipality follows an efficient records management system to promote the effective 
management of its records.  
 
5.2 Conclusions 
 
The first objective of this study was to determine to what extent management is following 
record management processes and procedures. The success of a records management 
programme is based on the fact that there should be some level of consciousness of the 
procedures, guidelines and standards that govern the management of records (Mampe 
& Kalusopa, 2012:8). Most participants indicated that they are not aware of records 
management processes and procedures in the municipality. According to the results from 
this study, 43.75 % of participants indicated that they do not follow the records 
44 
 
management processes and procedures. This suggests that most managers responsible 
for record management in the municipality do not follow the records management 
processes and procedures. When asked whether they are aware of the records 
management systems in the municipality, it was found from the results that most of the 
senior managers are not aware of records management processes and procedures in the 
municipality, and only two indicated that they are aware of the records management 
policy. All respondents indicated that there was a filing system in the municipality, and 
one of them indicated that it complies with the requirements of the Gauteng Provincial 
Archives. Only one of the respondents mentioned that they are not aware of the records 
keeping systems in the municipality, and that they use their own referencing and manual 
filing. This clearly shows that there is a non-existence of information, and likely 
communication about the record management policies and procedures in the 
municipality. The noncompliance with record management at the municipality should 
urgently be addressed.  
 
Organisations should have a records grouping structure, file referencing system or file 
plan in place. Records should be part of a standard structure so that each person in the 
organisation has access to the right information when they need it and to ensure business 
continuity where persons do not have to learn a different system (Smith, 2016:xii). 
Records are results of business transactions that provide proof of the actions. They are 
critical to protector to associate individuals relating to their role in a business transaction. 
Therefore, ensuring the obtainability of dependable and timely records is vital in 
sustaining an effective public audit (Isaa et al.2019:143).  
 
This non-compliance to records management guidelines and policies may be, according 
to Ngoepe (2010:99), attributed to an absence of understanding of records management 
by senior managers, users who prefer to file in their own way, replication of records in 
different locations resulting in lack of space, or unqualified records management staff. 
The findings of this research reveal that non-adherence to the records management 
processes and procedures practised at the municipality may be caused by ignorance to 
45 
 
some degree. In order for the records management programmes to succeed, training of 
staff members in records management is necessary (Roper, 1999:55). 
 
The second objective of this study was to determine which barriers managers experience 
in complying with records management processes and procedures. The results from the 
study indicated that some participants did find the records management system not easy 
to follow, challenging and complicated, while others believed it was straightforward. Some 
of the respondents are of the opinion that it is a general culture in the municipality not to 
comply with records management processes and procedures, and that compliance is not 
enforced. From the responses, it became evident that some of the managers do not know 
what their responsibilities are, and what procedures to follow, which seems to complicate 
the processes. The lack of clear and designated accountability in managing records has 
led to an incomplete and deficiency of records. Effective record management can only be 
realised when all the employees play their role in ensuring complete records maintenance 
from creation to disposal (Isaa et al.2019:147). 
 
The respondents were also asked whether they can always find information when they 
require it. The responses varied from some indicating that they had no problem finding 
information, only finding old information from the records section, and finding information 
because it is in their offices. Respondents also stated that they cannot always find 
information, believing the cause is that information is not filed, some of the records 
personnel appearing not to be knowledgeable, information not submitted to records 
sections, encountering problems with files getting lost or bad record keeping. Using their 
own referencing and processes to file records, as well as non-availability of proper 
storage and stationery due to cash flow challenges were also barriers to finding 
information and adherence to records management processes and procedures. The 
results from this study are in agreement with previous research suggesting that poor 
records keeping and management have been quoted as one of the major areas through 
which corruption and fraud, poor governance and lack of accountability have been thriving 
(Maina, 2016:33). 
 
46 
 
The third objective of this study was to explore what the strengths of record management 
processes and procedures are according to management. Mampe and Kalusopa (2012:9) 
state that it is vital that organisations should have an operational records management 
programme that would ensure the availability of information and records when needed. 
Records are recognised as an important resource for the effective and efficient control 
and administration, as well as a reference to previous decisions, which support an 
institution in making accurate and informed decisions. Smith (2016:6) supports this by 
stating that the individual assigned with the accountability for records management should 
be someone of suitable superiority, someone who knows the organisation well and can 
endorse and implement the functional necessities. Everyone in the organisation should 
become aware of who the records manager is. The role needs to be formally recognised 
and made known throughout the organisation.  
 
The results from the study revealed differing opinions about the strengths of the records 
management at the municipality. The respondents showed different views where some 
of the respondents mentioned the strengths of records management practices at the 
municipality, while others mentioned what they regard as weaknesses. Some 
respondents indicated that there are no strong points in the records management unit, 
that the records management processes are not in place, and that centralisation and co-
ordination among all departments of the municipality are still a challenge. On the other 
hand, some indicated that there is a records management steering committee to help with 
awareness, and that there is a manager assigned to manage the records management 
unit. A number of respondents believe that the records officer, being knowledgeable, 
eases the records management processes. It was also revealed that the staff at the 
records section are dedicated, the records keeping system is reliable and that the records 
management policy is reviewed on a regular basis and is simple to understand. Another 
strength that was identified is that the records management unit ensures that there is 
proper and streamlined information storage and records for future reference.  
The fourth objective of this study was to explore managers’ suggestions to improve the 
management of records in the municipality. From the responses it was recommended that 
there should be awareness programmes or workshops, as well as training for staff, 
47 
 
appointment of skilled, experienced and qualified staff for the records management unit, 
accountability of staff for the management of records, centralisation of document 
management, and that senior managers should take responsibility for the management 
of records in their units/departments.  
 
From the recommendations on training, one respondent emphasised the training of all 
the employees in the municipality on specifically records management processes and 
procedures and that a fully-fledged records management unit must be established, with 
qualified personnel to run all records management processes of the municipality. 
Previous research has shown that record-keeping should ideally be the responsibility of 
records professionals. This can be one of the internal control measures and would require 
skills and professional expertise. There is also a need to sensitise employees on proper 
record-keeping procedures and practices. Most organisations are not coping as there is 
still insufficient staffing in the records management field. Assignment of responsibilities is 
important for the maintenance of records, because the excellence of any records 
management structure is directly linked to the staff responsible for it. Records 
professionals have a significant role to play in taking care of records. This can help avert 
mistakes, provide rapid recognition of irregularities in the execution of assigned 
responsibilities and provide all records management services across the organisation by 
providing up-to-date information for decision-making (Keakopa, 2018:26-27). Records 
management should be seen as valuable and not as the placement for those who are 
unqualified, incompetent or idle. Consequently, from the results, most respondents 
recommended the appointment of qualified and experienced staff in the records 
management unit.    
 
In the end, what is required besides legislation is bigger investment in archives and 
records management, to ensure that the information made public is dependable, reliable 
and true, complete, available to the right people and that no information has been 
destroyed without conforming to the regulations (de Mingob & Cerrillo-i-Martíneza, 
2018:261). Katuu and Van der Walt (2016:5) also attest to this by mentioning that while 
there are wide-ranging legislative and regulatory tools that could ease the management 
48 
 
of records, a substantial number lack strategic consistency as a consequence of their 
legacy. 
 
To summarise, the municipality has serious limitations when it comes to the 
responsibilities of managers regarding the management of records, and that needs to be 
attended to as quickly as possible. The analysis of the records management practices by 
senior management proved that there is a possibility of an accumulation of archival, 
ephemeral and even obsolete records in offices instead of managing records according 
to the policy, processes and procedures of the municipality.  
 
There are a few concluding observations that were drawn from the research process. 
Firstly, there is considerable non-compliance with legislative and regulatory requirements 
in the management of records. While there are wide-ranging legislative and regulatory 
tools that could enable the management of records in local government, the municipality 
has shown, through this research, a lack of strategic consistency as a result of their 
culture. For instance, adherence to the records management legislative framework is not 
substantially addressed as a strategic management tool in the municipality. One 
respondent acknowledged that there is a culture of not adhering to record management 
processes and procedures in the municipality, which means they are aware of the 
necessity to comply with the records management regulations, but chose to ignore that. 
Beyond having a cultured understanding of the legislative and regulatory tools, there is a 
necessity for an equally cultured implementation method of the records management 
policies, processes and procedures. This means that their understanding of the 
processes and procedures has to be turned to practice through compliance in order to 
eventually improve the value of the management of records in the municipality. The 
lesson to be learned is that the unavoidability of legislation and regulation on the 
management of records necessitates that roles and responsibilities, particularly of senior 
managers in terms of the management of records, are adequately defined. 
 
 
49 
 
5.3 Limitations and recommendations 
 
5.3.1 Limitations of the study 
 
The limitations of a study are the features of the design or methodology that affected or 
influenced the analysis of the findings from the research. A number of limitations affecting 
this study were identified.  
 
One of the limitations of this study was whether the participants were willing to complete 
the written surveys, and whether they were able to provide full information. The bearing 
of this limitation on the study was whether the respondents find the study interesting and 
important.  
 
Another major limitation of the study was that some participants seemed uncertain in 
answering some questions, and the participants did not fully elaborate on some of the 
answers. Since the survey was completed by participants in the absence of the 
researcher (as opposed to a face-to-face interview), the researcher was not in a position 
to make observations or ask for clarifications. This might have led to not getting the true 
reflection or complete picture of the management on records in the municipality. 
 
The relatively small sample size and geographic limitations of the sample were a limitation 
of this study. In this study, the sample was limited to the senior managers of the 
municipality in Gauteng, and only comprised 16 participants. Therefore, the results cannot 
be generalised to the entire municipality or all public bodies in South Africa and the results 
should therefore be read and interpreted with caution.  
 
Another limitation was labour unrest during the data collection phase, which delayed the 
process. The researcher had trouble getting hold of participants during the labour unrest 
because most of them are senior managers and were at that time not available and they 
were rather focused on resolving the unrest. Consequently, the completed written surveys 
could not be collected in time from all the participants. 
50 
 
5.3.2 Recommendations 
 
The recommendations for this study include recommendations for the municipality and 
other private or public organisations that can benefit from this research and 
recommendations for future research, based on the results of earlier research and the 
current study and addressing the limitations of this study. 
 
5.3.2.1 Recommendations for practice 
 
It has appeared from the literature that records are significant as they document proof of 
business transactions. This is even more critical in financial institutions assigned with the 
accountability of managing public finances for the growth of the country. It has also 
emerged that financial records are in a state of disarray in most public institutions. It has 
been established that a number of tools such as financial acts and other legislations cover 
management of finance records and how long these should be retained. These could be 
read together with records management policies and procedures in the organisation. 
These will help guard against fraud, waste in financial losses owing to non-compliance 
and which are meant for compliance with policies, laws and regulations (Keakopa, 
2018:14 & 23). 
 
Records management is a corporate role in a similar way to human capital, finance and 
facilities management. It should be acknowledged as a special corporate plan within an 
organisation and it should get the necessary support from all levels of the organisation to 
ensure efficiency. The function needs to combine the responsibilities for records in all 
mediums from their formation to their final disposal. All organisations create records, but 
not all have a designated records manager with the key responsibility for ensuring an 
effective and efficient method to managing records and information throughout the 
organisation (Smith, 2007:5).  
 
Above having a refined understanding of the legislative and regulatory tools, there is a 
need for a similarly refined implementation plan. This means that awareness of the 
51 
 
regulatory tools has to be put to practice through adherence in order to ultimately improve 
the quality of services (Katuu & van der Walt, 2016:5). In conclusion, this research study 
has discovered that while there are a number of legislative tools that regulate the 
management of records in local government, they do not broadly address the 
requirements within the municipalities. For this tendency to be reversed, there is still a 
great deal of work that needs to be done to address the legislative and regulatory 
difference through lessons from the experiences of other countries. The changes are not 
only essential within local government, but also in the public sector as a whole and the 
private sector.  
 
In this research, it was established that there is an existing records policy within the 
municipality. That means there are records management procedure manuals or 
standards, but according to the respondents in my study, almost each office keeps its 
own records in a way they find sensible. There were also problems in accessing records 
at the records section because most offices or directorates keep their own records in their 
offices. This might also lead to duplication of records in the municipality. According to 
Toner (2017:1-2), visibility is important. While records professionals may have 
recordkeeping topics, users may not be as hands-on. In order to improve participation in 
records management training, records management training should be incorporated with 
new employee orientations, or paired with the organisation’s annually required training on 
information security or compliance. Slots may be reserved in professional development 
services programmes, or annual events or expos. He further adds on to say that once the 
employees’ attention is captured, it is time to drop some knowledge through developing 
training consultations around specific recordkeeping topics such as developing effective 
filing systems and understanding retention schedules. 
 
The study results indicated that records are not optimally managed, and that senior 
managers are not entirely involved and interested in ensuring the effective management 
of records in the municipality. Therefore, it is advised that the municipality should draw 
up an implementation plan for the records management policy as well as the processes 
and procedures for properly managing records in order to ensure consistency in the 
52 
 
management of records across the municipality. The municipality should appoint 
personnel with a records management background to resuscitate the municipality’s 
registry or records unit. A scheduled records management training must be arranged for 
municipal officials, including senior managers who need training on the basics of records 
management so that they become aware of the importance of records management to 
any organisation, and learn the correct procedures to handle and keep records. 
 
The researcher further discovered that the some of the respondents do not know what 
their responsibilities are relating to the management of records. This was not a surprise 
to the researcher since the respondents had previously indicated that they are not aware 
of any records management processes and procedures, file plans and records 
management policy in place at the municipality. In order to have effective and consistent 
engagement, strong relationships have to be fostered at employee level targeting specific 
user groups such as administrators, or IT facilitators. One-on-one consultations may be 
conducted where applicable. Outreach massages in weekly newsletters may be 
developed, as well as consistent records management training opportunities that lead to 
buy-in and trust (Toner, 2017:2).  
 
The departments or units within the municipality should evaluate and generate retention 
or disposal schedules so that the disposal of records becomes easy to implement and is 
executed in an orderly manner. These schedules will assist in resolving the unnecessary 
keeping of archival and obsolete records in offices, as well as duplication of records, 
thereby making room for active records. The records unit must be fully operationalised 
and all the records of the municipality should be centralised where a trained records 
professional will be able to manage departmental records in a specialised manner.   
5.3.2.2 Recommendations for future research 
 
It can be marked from preceding research, coupled with the findings from this study, that 
there is a fundamental need for effective management of records, and more specifically 
the understanding of the records management processes and procedures in most 
organisations. Empirical research on the mindfulness of the contributions of different 
53 
 
levels of employees to the management of records in organisations seems to be lacking, 
and therefore it is recommended that researchers increase the literature on the effective 
management by focusing on the exclusive contributions of individual employees in an 
organisation with regard to the proper management of records.  
 
In this study, there were 16 participants for the study. The researcher, due to the size of 
the study, could not confirm that the management of records is a problem for all 
municipalities, even for all employees in the particular municipality where the research 
was conducted, as the focus was mainly on senior managers. A larger sample would be 
more advantageous to fully understand the reasons behind the behaviour of senior 
managers with regard to the management of records. Future research can include more 
participants from all employee levels in the sample in order to achieve a comprehensive 
generalisability. This would extend the context to all the departments or units in the 
municipality in order to determine how records are managed at all levels, and its impact 
on the municipality. Furthermore, the processes and procedures may differ between 
geographic regions, and future research can therefore also investigate the records 
management in municipalities across different provinces in South Africa.  
 
Since the written survey utilised in this study may have resulted in short, often incomplete 
answers, it is suggested that future research should conduct in-depth interviews to obtain 
a profound understanding of the record management processes and procedures in 
municipalities. This will allow the researcher to ask probing questions, and to clarify any 
uncertainties respondents may have.  
 
5.4 Summary 
 
From the research completed, it was worth noting that the term records management is 
to some extent familiar to the senior managers of the municipality, though they have an 
average understanding of the importance of records management. Further analysis 
indicates that their knowledge about records management is limited, as most of them do 
not take it seriously and rely on other people to manage their records. The research 
54 
 
further found that the municipality had not yet conducted any records management-
related workshop for its employees as most respondents recommend it. 
 
 
 
 
 
 
 
 
 
 
 
 
  
55 
 
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