Factors affecting the implementation of an electronic document and records management system by Ntombizandile Kwatsha Thesis presented in fulfilment of the requirements for the degree of Master of Philosophy (Information and Knowledge Management) at the University of Stellenbosch Supervisor: Mr. Daniel F Botha Faculty of Arts and Social Sciences Department of Information Science December 2010 http://scholar.sun.ac.za ii Declaration By submitting this thesis/dissertation electronically, I declare that the entirety of the work contained therein is my own, original work, and that I have not previously in its entirety or in part submitted it for obtaining any qualification. December 2010 Copyright © 2010 University of Stellenbosch All rights reserved http://scholar.sun.ac.za iii Abstract The past decade has seen a huge increase in the implementation and use of Electronic document and records management systems (EDRMS) in many public spheres. The South African government, in this case the Presidency, has now also adopted this system to comply with current legislation requiring government institutions to replace paper with electronic media as the preferred way of conducting their official business. In general, and as is evident from the available literature, it seems that Government organisations have been lagging behind in this regard. The failure to reap the expected benefits from this step by government institutions such as the Presidency forms the basis for this investigation, which examines the failures and successes in the implementation of an EDRMS and the factors affecting this process. The study used triangulation approach in order to arrive at a more reliable conclusion. Literature research has been used as a main data collection method for this study. It also serves as a basis for the approaches to subject matter that have been adopted. Data was also collected by conducting semi –structured interviews with government institutions, including the subject of this research, that have implemented EDRMS. The critical factors that have had an effect on the implementation of EDRMS were found to be of a strategic, social and technical nature. The study also found similarities in the factors affecting EDRMS implementation within government and identifies the need for further research focusing on how these factors differ between various types of organisations. http://scholar.sun.ac.za iv Opsomming Die afgelope dekade was daar ‘n ontsaglike toename in die instelling en toepassing van elektroniese dokument- en rekordbestuurstelsels (EDRMS) op talle openbare terreine. Die Suid-Afrikaanse regering, in hierdie geval die kantoor van die Staatspresident, het nou ook hierdie stelsel aangeneem om te voldoen aan huidige wetgewing wat staatsinstellings verplig om papier te vervang met elektroniese media as die aanbevole manier om hulle amptelike besigheid te bedryf. Oor die algemeen, en soos dit ook blyk uit die beskikbare bronne, lyk dit egter asof regeringsinstansies agter geraak het wat dit betref. Die feit dat die verwagte voordele van hierdie stap nie deur staatsinstansies soos die Presidensie benut is nie, vorm die grondslag vir hierdie ondersoek, wat die prestasies en weiering wat gepaard gaan met die instelling van `n EDRMS en die faktore wat hierdie proses affekteer van nader beskou. Navorsing van die literatuur is gebruik as die belangrikse datainsamelingmetode vir hierdie ondersoek. Dit dien ook as die basis vir die manier waarop die onderwerpmateriaal benader is. Data is ook ingesamel van staatsinstansies wat `n EDRMS ingestel het, soos die instansie wat hier bestudeer word. Die kritiese faktore wat ‘n invloed gehad het op die instel van `n EDRMS het geblyk van `n strategiese, sosiale en tegnies aard te wees. Die ondersoek het ook ooreenkomste gevind in die faktore wat die instel van `n EDRMS in die regering affekteer en indentifiseer ook die behoefte aan verdere navorsing wat gerig is op hoe hierdie faktore van organisasie tot organisasie verskil. http://scholar.sun.ac.za v Acknowledgements I would like to acknowledge the following people and bodies for their support and encouragement in my task: • my supervisor Mr. Daniel Botha, for his unconditional support and guidance, without which this thesis would never have been finished • my mother, for encouraging me not to quit when everything seemed impossible • the Presidency, for affording me the opportunity to base my research on their operations • the Presidency Library and Knowledge Management staff, for all the help they provided me during the research process • the various government departments that shared their experiences and knowledge with me, thereby ensuring the success of the research • my son Imana, for not begrudging me the time I spent working on my research when he needed me too. http://scholar.sun.ac.za vi Table of Contents Chapter 1 Introduction and Background 1 1. Introduction: 1 1.1 The Presidency 2 1.1.1 Business Problem: 3 1.1.2 Expected Business Benefits 4 1.1.3 Implementing the EDRMS at the Presidency 5 1.1.4 Implementation Review 8 1.2 The Research Problem 9 1.3 Research Objectives 10 1.4 Importance of the study 10 1.5 Research Design 11 1.6 Outline of the Study 12 1.7 Conclusion 13 Chapter 2 Research Methodology 14 2. Introduction: 14 2.1 Research design 14 2.1.1 The population under study and sampling 14 2.1.2 Qualitative research design 16 2.1.3 Case study research 17 2.1.4 Data collection techniques 19 2.2 Qualitative data analysis 25 2.3 Trustworthiness (reliability) 25 2.4 Limitations of the study 27 2.5 Conclusion 27 http://scholar.sun.ac.za vii Chapter 3: Public sector organisations 28 3. Introduction 28 3.1 Different types of organisations 28 3.1.1 Leadership 30 3.1.2 Organisational culture 30 3.1.3 Structures 32 3.1.4 Processes and routines 34 3.1.5 Technology 35 3.1.6 Measures 36 3.2 Public sector organisations 37 3.3 Conclusion 40 Chapter 4: Literature Study on EDRMS 42 4. Introduction 42 4.1 Information systems 42 4.1.1 Types of information systems 44 4.2 Records and documents 46 4.2.1 Records and documents management 47 4.3 Electronic Document Management System (EDMS) and Electronic Records Management Systems (ERMS) 48 4.4 Enterprise content management 52 4.5 Enterprise resource planning 55 4.6 The research focus on EDRMS 57 4.6.1 EDRMS business drivers 58 4.6.2 Benefits of implementing EDRMS 60 4.7 EDRMS Implementation 64 http://scholar.sun.ac.za viii 4.7.1 Measuring success in EDRMS implementation 66 4.7.2 Key success factors in implementing EDRMS 70 4.7.3 Change Management related to EDRMS implementation 73 4.8 Conclusion 77 Chapter 5 Framework of factors affecting EDRMS implementation 78 5 Introduction 78 5.1 Theme analysis 78 5.2 Framework on factors affecting EDRMS implementation 79 5.2.1 Strategic Factors 79 5.2.2 Social Factors 84 5.2.3 System factors 89 5.3 Interrelations between factors 92 5.3.1 Relations within the strategic factor groups 92 5.3.2 Relations within the social factor group 93 5.3.3 Relations within the system factor group 93 5.3.4 Relations across groups 93 5.4 Conclusion 93 Chapter 6 Comparison of the framework with the Presidency EDRMS implementation 95 6. Introduction 95 6.1 Relations within the strategic factors 95 6.2 Relations within the social factors 97 6.3 Relations within the system factor group 98 6.4 Relations across groups 99 6.5 Conclusion 101 http://scholar.sun.ac.za ix Chapter 7 Conclusions and recommendations 102 7. Introduction 102 7.1 Summary of findings 102 7.2 Have the objectives of the study been achieved? 103 7.3 Recommendations 104 7.3.1 Custom-made training to meets user needs 104 7.3.2 Top management buy-in, sponsorship and links with corporate strategy 105 7.3.3 Post-implementation programme 106 7.3.4 A dedicated change management programme from inception 107 7.3.5 Denying access to work on other network drives 108 7.3.6 Integration of the system before implementation 109 7.3.7 A disaster recovery plan must be in place at the start 109 7.4 Further Research 109 Bibliography 111 Appendices: 117 Appendix A: Interview Guide 117 Appendix B: Consent to participate 118 Appendix C: The Presidency value chain 119 http://scholar.sun.ac.za x List of Figures Figure 1.1: IDMS Methodology 5 Figure 1.2: Components of IDMS 6 Figure 3.1: (KMRM) KM Reference Model 29 Figure 3.2: The Structure of South African Government 37 Figure 3.3: The Presidency Organogram 38 Figure 4.1: Information Systems dimensions 44 Figure 4.2: AIIM ECM Roadmap 54 Figure 4.2: ECM Implementation Lifecycle 65