This document provides an overview of the author's research on records and documents management (RDM) in public universities and its relationship to governance, audit, and risk (GAR). The research aims to explore this relationship and identify an appropriate RDM model that can foster GAR. The methodology involves a literature review, interviews with university staff, questionnaires, observation of RDM systems and GAR structures, and collecting documents during fieldwork at several universities in Southern Africa. The conclusion questions whether improved RDM could help foster better GAR, as RDM is often neglected despite its potential role in supporting transparency and accountability.

1. My research: An overview
Records and Documents Management in Public Universities
Governance, Audit and Risk in Perspective
Mathews Phiri
HATII
University of Glasgow
m.phiri.1@research.gla.ac.uk
Third Annual iDocQ – Aberdeen 24 June 2013
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2. Outline
 Introduction
 Research questions
 Research methodology
 Conclusion
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3. Introduction: Self
 Working in public universities
 On study leave
 Records management as area of interest
 A subset of information management
 Currently in the second year of my PhD
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4. Introduction: My research
 Aim
 Exploring the relationship of records and documents
management (RDM) with governance, audit and risk
(GAR) in public universities
 Rationale
 Promotion of GAR and neglect of RDM
 Overwhelming evidence in Sub-Saharan Africa
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5. Introduction: RDM
 Records and documents
 “Talking things…” (Levy, 2001)
 “Traces…” (McKemmish, 2005)
 Can be represented by writing
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information medium/technology

6. Introduction: RDM cont…
 R ↔ D
 Blank form a document not record
 Oral communication a record not in document form
 R and D relationship overlapping
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R ∩ D
RD

7. Introduction: RDM cont…
 My working definition of RDM
 Management of organisation’s information in form of
records and/or documents
 Records management
 Documents management
 Record keeping / recordkeeping
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RDM elements

8. Introduction: Governance
 Governance in general
 System by which organisation is directed and controlled
(UKLFHE,2011)
 Pillars of good governance include:
 Transparency, accountability, rule of law (UNESCAP, 2012)
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Information
should be freely
available, accessi
ble and in
understandable
form and media
Recorded information
to provided evidence
of ones’ action
The law must be accessible
(Tom Bingham, 2010)

9. Introduction: Governance cont…
Integrated
Governance
Academic
Governance
i.e.,
Scholarship
Originality/Innovation
Quality/Impacts
Scholarly Reputation
Accountability
Assurance
Safeguard Resources
Income Enhancement
Financial Bottom Line
Resource Utilisation
Corporate
Governance
i.e.,
Conformance
University
Governance
Business
Governance
i.e.,
Performance
• University Governance
Source: Carnegie
and Tuck, 2010 9

10. Introduction: Audit
 Public inspection (Shore and Wright, 2000)
 For performance, transparency and accountability
 Audit culture in the academia
 How is the inspection conducted?
 What is the role of RDM?
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11. Introduction: Risk
 Risk in omission or commission
 Risk management
 Mitigate hazards
 Opportunity for improved performance
 Part of strategic corporate governance (OECD, 2012)
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12. Introduction: GAR
 GAR elements overlapping
 Transparency and accountability/performance/good governance
G
A
R
G ∩ A ∩ R: GAR: Good Governance:
Transparency and Accountability
and Performance
• Working definition of GAR:
An attempt to move on the positive side of the governance scale
and/or an attempt to have an effective audit regime and/or an attempt to
have an effective risk management system
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13. Introduction: Universities
 Early universities
 Grew out of cathedral and municipal schools
 Teaching and preserving established culture
 Assured of autonomy and academic freedom
 Simple governance systems
 Manual record keeping system
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14. Introduction: Universities cont…
 Modern universities
 New and transformed early universities
 Teaching and research
 Partners for development in developing countries
 Use of public resources
 Accountability inevitable; in conflict with autonomy
 Political interference in Sub-Saharan Africa
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15. Introduction: Universities cont…
 Modern universities: 21st century digital era universities
 To outsource the research function?
 Variety of instruction methodology and materials e.g.
moodle, blackboard
 The rise of e-learning and online universities
 Complex governance and record keeping systems
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16. Research questions
1. How are records and documents managed?
 First attempt to relate RDM with GAR
 Sound RDM system pillar for GAR (PARBICA, 2005)
 RDM equals GAR equation receives mixed reaction
2. What is the relationship of RDM with GAR?
 Attempt to identify GAR structures and their relationship with RDM
3. How do external factors affect RDM?
 Attempt to identify the extent external factors affect RDM
4. What is an appropriate RDM model that can foster GAR?
 Attempt to redefine the role of RDM
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17. Research methodology
 Qualitative social science methodology
 Extensive review of literature
 Purposive sampling
 Southern Africa region
 Fieldwork
 Data analysis
 Manual
 Computer applications
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18. Research methodology: Fieldwork
 Itinerary
Zomba: UNIMA
Johannesburg: WITS & UJ
Cape Town: UCT &UWC
Lilongwe: NAO &
DHE
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19. Research methodology: Fieldwork cont…
 Data collection
 Face-to-face interviews with academic and administrative staff
 Self administered questionnaires
 Observation of GAR structures and RDM systems at work
 Acquiring special collections
 Networking for more data and information
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20. Conclusion
 GAR promoted
 Competitive service delivery
 Transparency and accountability
 RDM neglected
 Can it foster GAR?
 Role more than mechanics of filing
 Require more attention as GAR
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