ESARBICA Journal: Journal of the Eastern and Southern Africa Regional Branch of the International Council on Archives

Editorial

Segomotso M Keakopa — 2025-03-01

Dear esteemed readers

It is with great pleasure that we announce the publication of Volume 43 of the Journal of the Eastern and Southern Africa Regional Branch of the International Council on Archives (ESARBICA). The articles cover a wide range of issues in archives and records management, including AI application and readiness in the 4^th and 5^th industrial revolution, archives and records service delivery in archives, legal and institutional challenges in archival institutions, digital curation and trustworthiness, privacy, Internet of Things, and the modernization of records management at banks. We thank the editorial board for the reviews and authors for the papers that keep the Journal active.

Digital records management in the banking industry within the Eastern and Southern Africa Regional Branch of the International Council on Archives region

Nna Motlhasedi — 2025-03-02

This paper assessed the management of digital records in commerce that has seen a rise in digitisation due to technological advancements. Therefore, specifically this paper focuses on the banking sector in the Eastern and Southern Africa Regional Branch of the International Council on Archives (ESARBICA) region. Banks constantly review ways in which they could be more competitive in-service delivery and have an edge over their rivals. To have an advantage over their competitors, some banks have adopted Internet banking to provide services conveniently and effectively electronically, thus providing online banking or e-banking services. Such innovations may pose challenges related to effective records management, specifically digital records management. The purpose of this study was to investigate the contributions made by good digital records management practices in improving the banking experiences of customers within the ESARBICA region. This study’s objectives were to investigate the role of records management on internet banking, determine the challenges of managing resultant digital records associated with internet banking and develop a framework to aid in the management of digital records within banking institutions in ESARBICA. For data collection, the study adopted a systematic review of literature and employed a thematic data analysis approach. The main findings were that there is an exponential increase in the use of technology to conduct banking by ESARBICA member states; therefore, risks associated with security and data protection were a concern. The major recommendations were that banking institutions had to improve on data protection and security of information and develop regulatory standards’ frameworks that are in sync with legislative frameworks.

A South African perspective on data privacy in consumer Internet of Things

Mfanasibili Ngwenya — 2025-03-02

The rise of the Internet of Things (IoT) raises concerns about data privacy. This qualitative study explored data privacy issues in consumer IoT using a combination of the narrative inquiry method and the Delphi technique through three rounds of interviews with experts. The study identified three levels at which personal data privacy is a concern: data collection, data transfer and data storage. Consumer data may be vulnerable at any of these stages of processing. The risks identified by the study include identity theft, financial difficulties and the unauthorised sale of personal information, location-based tracking, medical privacy and unfair discrimination due to profiling. Personally identifiable information goes beyond the consumer's known information, such as age, gender, race and other attributes. Smart devices can help consumers extend their identities. The study identified the need for legal instruments that can be used to deal with data privacy in consumer IoT in South Africa, particularly. It is concluded that IoT companies and manufacturers must be much more transparent about the data they collect and how it is processed, stored and used. It also is necessary to educate all IoT users about the dangers of using devices, which are the same as connecting to the internet.

Modernising records management in selected commercial banks in Uganda

Francis Ekwaro — 2025-03-02

Modernising records management is a key factor in ensuring smooth operations and efficiency for commercial banks. This paper is based on a study that explored the adoption and use of modern records management approaches in selected commercial banks in Uganda. The study adopted the explanatory approach to assess the current state of records management systems in Ugandan commercial banks, identify strategies to implement modern records management systems in the banks, identify the challenges faced by the banks in modernising records management, and propose solutions for enhancing the modernisation of records management for the banks. A descriptive research design was used. The study population comprised records managers, their immediate supervisors, operations managers responsible for overseeing bank operations, and human resources officers involved in their recruitment. These were selected using the non-random (purposive) sampling method. This method was used because the researchers were looking for groups which were responsible for records management in the area of study. Data was collected from primary sources and data collection involved the use of in-depth interviews, observation and document analysis. The findings revealed that commercial banks in Uganda rely heavily on paper-based systems, even though digital options like documents management systems, mobile banking applications and digital archiving systems exist. It was noted that the technology in the commercial banks was guiding the modernising of records management through streamlining workflows, automating records capture and converting paper-based records into electronic formats. The banks lacked comprehensive records management policies. This resulted in a shortage of records staff, insufficient funding for electronic records management systems, and the absence of official electronic records management systems. Potential solutions include hiring professional records managers, investing in technology to manage both paper and electronic records using official records management systems, upgrading paper record storage facilities, developing retention and disposal schedules, and providing records management best practices training to all bank employees.

Perceptions of staff at the University of Dar es Salaam on establishing an archival repository

Iddy A Ndimbo — 2025-03-02

An archival repository preserves essential evidence of an institution and provides information that promotes its mission internally and in its extended community, among others. However, despite the significance of such a facility, the University of Dar es Salaam (UDSM) is yet to establish its own. The absence of this facility always contributes to damage and loss of archival materials. As such, this study sought to establish the perceptions of staff towards its establishment. Specifically, the study sought to examine the perceived importance of its establishment among university staff. The study adopted a descriptive research design which adopted both quantitative and qualitative research approaches. The study used a structured and standardised self-administered questionnaire with open and close-ended questions to gather data from 66 respondents. Along this method, interviews were conducted with 3 key informants while observations were used to note some of the resources available. The study’s quantitative data were analysed using SPSS version 21 while content analysis was used to analyse qualitative data. The key result has discovered the presence of archival collections in paper and electronic media, storage places and facilities. In addition, the study has found the presence of archival policy and some positive attitude towards its establishment. However, the study has found the presence of several barriers that include lack of staff training, lack of awareness among users of the presence and the importance of archival materials, and primitive methods of handling archival materials. In addition, the study reports that staff have inadequate archival collection management skills and expertise and that there is shortage of space. Based on these findings, the study concludes that UDSM has a favourable environment that supports the establishment of an archival repository. The study, therefore, recommends that UDSM should establish a formal archival repository and promulgate the existing university archival policy.

The ‘invisible hand’ of archives and records management in the Malawi 2063 vision

McDonald Mike Baluti — 2025-03-02

Transparency, accountability, and well-informed decision-making are key components of Malawi's growth plan, the Malawi 2063 Vision. Proper archives and records management serves as the foundation for the Malawi 2063 aspirations. This crucial element is disregarded, though. This article looks at how important archives and records management is to Malawi's 2063 vision. The study highlights the opportunities and challenges facing Malawi's archives and records management through a qualitative examination of the policy document and focus group discussion. The results highlight how important strong records management systems are to guaranteeing accountability, transparency, and evidence-based decision-making. This paper also highlights some of the opportunities and challenges that the field of archives and records management is facing. Towards the end, the article suggests ways that archives might have been incorporated into the Malawi 2063 Vision to enhance the nation's ability to fulfil its development goals. The study adds to the expanding body of research on the value of archives and records management in advancing development goals and suggests that Malawi's archives and records management practices be strengthened.

Government AI readiness in the ESARBICA community

Liah Shonhe — 2025-03-02

This paper investigates the readiness of the Eastern and Southern African Regional Branch of the International Council on Archives (ESARBICA) governments to implement Artificial intelligence (AI) solutions to improve public services. The study employed a desktop research approach, analysing quantitative data from the Oxford Insights Government AI Readiness Index (AIRI) 2022. The findings revealed that South Africa, Botswana and Kenya have demonstrated dedication in harnessing the power of AI for their advancement and progress. Interestingly, the ESARBICA countries perform well in the data and infrastructure pillar, especially on the data representativeness dimension. The region's readiness for AI adoption is below average due to numerous factors such as the technology sector not being mature enough for AI deployment, lack of human capital, lack of innovation and digital capacity and governments not having an AI strategy in place. This may impact economic competitiveness, innovation, job market, technological divide, public service improvements, global collaboration, social and ethical considerations, and resilience to future challenges. The study recommends investing in education and training programmes, allocating resources and investing in critical infrastructure, and promoting innovation ecosystems to foster AI development in the region. Additionally, policymakers should focus on developing comprehensive policies and regulatory frameworks, prioritise mapping a vision for AI deployment in African governments, and invest in public awareness campaigns to inform the public about the benefits and challenges of AI. By addressing gaps in infrastructure, human capital and strategic governance, ESARBICA member states can not only modernize their archival practices but also position records and archives management as a key contributor to the digital transformation and socio-economic development of the region.

Artificial intelligence to support public digital archiving in South Africa

Mashilo Thomas Modiba — 2025-03-02

The use of artificial intelligence in digital archives has the potential to support public archives in the provision of quality archival services in the fifth industrial revolution. Digital archives can be made more effective in providing quality services and become more accessible through artificial intelligence and intelligent robotic machines in the fifth industrial revolution. This study sought to explore the use of artificial intelligence to support public digital archiving in South Africa. Public archives preserve crucial records of communities for ease of access. There is a need to incorporate the use of artificial intelligence and intelligent robotic machines to support the preservation of, and access to, records in the public archives of South Africa. The study was based on a literature review and the experience of the researchers in respect of the application of artificial intelligence for records and archival management in South Africa. Artificial intelligence can be used to support the digital archives in ensuring that digital archives are safe, protected and accessible. A framework on the application of artificial intelligence was also recommended to assist with the utilisation of artificial intelligence for the management of public digital archives in the fifth industrial revolution.

Management of cartographic archives in Namibia

Beauty Matongo — 2025-03-02

The arrival of modern technologies and their peripherals in the electronic world cannot be undermined in the management of cartographic archives. Cartographic materials under Namibia's Ministry of Works and Transport is no exception. This study adopted a qualitative method and employed multimethod research design, which enabled the researcher to use interviews and observation as data collection strategies. Interviews were carried out with four participants and an observation checklist was used. The study revealed that despite the changes in the management of records brought about by application of information and communication technologies, it is yet to be felt completely in the traditional archival settings where access to cartographic archives are limited due to several issues, including their uniqueness, lack of qualified archivist, inadequate staff capacity, limited space, inadequate budget for the management of archives and lack of computerised systems for the management of digital cartographic archives. The study recommends that more attention should be given to keeping abreast with new innovations through the establishment of a specific file plan for the management of cartographic archives and introduction of an archives system for managing digital archives since development in this field is dynamic.

Trustworthiness of digital records in the public sector of Zimbabwe

Munyika Sibanda — 2025-03-02

The increasing reliance on digital records in the public sector of Zimbabwe has necessitated the implementation of comprehensive measures and policies to ensure their trustworthiness. This paper seeks to investigate the measures put in place to ensure the trustworthiness of digital records in the public sector of Zimbabwe. The focus was on the authenticity, accuracy and reliability of digital records in the public sector of Zimbabwe. A qualitative research approach was employed, combining interviews and observations to collect data. The study revealed gaps in the public sector of Zimbabwe in ensuring the trustworthiness of digital records. These gaps were the failure to capture metadata, inadequate digital records security control mechanisms, lack of electronic documents and records management systems (EDRMS), inadequate records management and information and communication technologies (ICT) skills among records professionals and inadequate legal frameworks and policies for managing digital records. Furthermore, the findings revealed that the trustworthiness of digital records is directly influenced by authenticity, accuracy and reliability. The study found that public acceptance of digital records depends on trust and confidence. As a result, it suggests implementing effective legislation, policies, training programmes and resources to ensure proper management of these records. This research aided in establishing a robust digital records management system in Zimbabwe's public sector, aligning it with international standards and best practices.

Legal and institutional issues for the management of electronic records at an archival institution in Zimbabwe

Godfrey Tsvuura — 2025-03-02

This study examined the institutional and legal issues in managing e-records at the National Archives of Zimbabwe (NAZ). The NAZ developed a Public Sector Digital Records Management Framework in 2018 in response to the need to manage e-records at the national level. However, the implementation of this framework is yet to be realised. Besides this digital framework, the NAZ also operates within the framework of the National Archives of Zimbabwe Act [Chapter 25:06] of 1986, as amended by Act 22 of 2001. This amendment did not fully address the issues of digital records management; hence, the digital framework needs to align with the national legislation. Electronic records management is new to most records officers and archivists and requires an institutional and legal framework; training; guidance on policy implementation and standard operating procedures. The pragmatism of the electronic records management system has been described as a revolution that has dominated and challenged the traditional paper record-keeping system. Data was collected from interviews with key participants, complemented by document reviews of the NAZ Act and the Public Sector Digital Records Management Framework. For analysis it was organised into broad themes and reported in a narrative form. The researchers used an emergent framework to code and categorise the data and group them into themes. The study found that records managers and archivists at the NAZ are still grappling with the advent of electronic records management in terms of legislative, policy and skills requirements. The study recommends that the NAZ should first address institutional and legal issues such as the allocation of resources; development of implementation strategies of the framework; standard operating procedures for the whole public sector; skills training and the amendment of the NAZ Act for effective management of electronic records. The study deepens the understanding of electronic records management, and records managers and archivists at the NAZ can use to implement and manage e-records at national level properly.

Implementation of records management provisions of archival legislation in the provincial departments of Limpopo province, South Africa

Ouma Malatji — 2025-03-02

Archival institutions – especially those considered public – are mandated by archival legislative frameworks to for ensuring that all public records in different government administrative institutions are properly managed, in line with the stipulated laws of the country. This study sought to investigate Implementation of records management provisions of archival legislation in the provincial departments of Limpopo province, South Africa. The study employed a multi-method approach, using a questionnaire and interviews with employees of Limpopo’s provincial departments. The study revealed that although provincial archive institutions provide almost all the necessary services for records management, there is a lack of collaboration between them, which hampers efforts to improve records management services, as required by legislation. The recommendation is that the archival institutions initiate collaborative relations with the provincial departments and other institutions they serve, to help improve records management in those departments.

Digital curation of records at the National Archives of Zambia

Abel M’kulama — 2025-03-02

The Zambian government enacted the Electronic Government Act of 2021 to provide for digital transformation of government services. Through the SMART Zambia Institute, Zambia has been rolling out digital government services with the aim of improving service delivery and bettering the lives of Zambians. Digital transformation has resulted in the generation of electronic records which require curation and preservation in digital formats by the National Archives of Zambia (NAZ) for posterity. Therefore, this paper assessed the preparedness of the NAZ for digital records curation in light of Zambia’s digital government. Using qualitative research methods and the Digital Preservation Capability Maturity Model (DPCMM), preparedness was assessed using parameters of awareness, knowledge and skills capabilities, and adequacy of infrastructure. A total of five (5) senior archivists in management positions were purposively selected and recruited to participate in interviews. The data were analysed using thematic analysis and presented using themes. Results revealed that there are efforts by the NAZ towards digital transformation including on-going engagement with the SMART Zambia institute on capacity building, establishment of, and recruitment of an ICT expert to lead ICT section and amendment of the National Archives Act of 1995 to ensure responsiveness to digital transformation. However, results also showed that the NAZ in its current state is inadequately prepared for digital records curation as participants showed limited awareness, were not knowledgeable in digital records curation and lacked the skills to champion digital records curation. Results also revealed inadequate infrastructure capabilities as there was no institutional policy and strategy to guide digital records curation at NAZ. Based on the findings, this paper ranked preparedness for digital records curation at level one or minimal preparedness “in which no systematic digital preservation program exists” or records management programme exits only on paper. Therefore, the study recommends training of archivist in digital records curation; revision of the NAZ Act and records management policy to include digital curation; investment in relevant infrastructure including a secure digital repository for preservation of records.

The state of records management at the University of Zimbabwe

Njabulo Bruce Khumalo — 2025-03-02

Records management is the lifeblood of effective and efficient service provision in any organisation including institutions of higher learning. Over the years, decision-makers have had to learn it the hard way as their sidestepping of records management has in some cases led to litigation, financial loss, and the failure to locate important records or even recover after a disaster. However, a number of organisations have come to realise the need to manage records throughout their life cycle. The current study came against the backdrop of the establishment of the administrative records management function at the University of Zimbabwe (UZ). This noble development called for an analysis of the state of the records management at the UZ. Such an analysis would unpack and or reveal the status quo and thus inform any developments needed to establish or strengthen the records management function at the UZ. A qualitative research methodology and a case study research design were applied. The study findings pointed to the absence of a records management system within the eleven faculties at the UZ. Moreover, records were neglected, and records of enduring value were not preserved for posterity. The study recommends the establishment of a university archive and the development of records management tools such as the records policy, retention, and disposal schedule, and the records procedures manual, among other recommendations.

Innovative provision of archival services at the National Archives of Zimbabwe during and post Covid-19 era

Peterson Dewah — 2025-03-02

The COVID-19 era brought many changes that negatively impacted service delivery to archival institutions in developing countries during and after the COVID-19 pandemic. This study sought to investigate the innovative practices that the National Archives of Zimbabwe (NAZ) embarked on in order to continue delivering service to its clientele. The study used a qualitative research methodology and employed a case study design. Data were gathered through face-to-face in-depth interviews with the NAZ management and selected archivists who were purposively sampled. There were 10 participants. The findings indicate that the NAZ traditional systems on service delivery were rendered inaccessible by the lockdown restrictions in the absence of virtual access. Instead of closing down, the NAZ embarked on innovative ways to bring services to the people through digitisation, virtual access, online enquiries and community archiving. The NAZ introduced an online payment system to facilitate ISBN issuance. These support services enabled partnerships and collaborations for service delivery. From the lessons learnt, the study concluded that the NAZ encountered challenges, and the pandemic triggered a sense of urgency in the formulation of policies that promoted remote service delivery even during lockdowns. The study recommended that archival institutions should be prepared to deal with disruptive tendencies of pandemics and access to archival material should not be disrupted by any disaster. Digitisation should be prioritised in archival institutions to avoid disruption of service delivery to its valued customers.