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Factors Affecting the Implementation of Electronic Document & Records

Management Systems in the Public Sector:

A Case Study of the East African Community Secretariat

By

Cranimer Mukwaya
September 2015

The work contained within this document has been submitted by the student in partial fulfilment
of the requirement of their course and award
FACTORS AFFECTING THE IMPLEMENTATION OF ELECTRONIC DOCUMENT &
RECORDS MANAGEMENT SYSTEMS IN THE PUBLIC SECTOR:

A CASE STUDY OF THE EAST AFRICAN COMMUNITY SECRETARIAT

Author: Cranimer Mukwaya

Student ID: 6134808 - MBAITM/0217/T14

Course Title: Master of Business Administration in Information Technology Management

Module: MBAITM Dissertation

Date: 28th September 2015

A Dissertation Submitted In Partial Fulfilment of the Requirements for the Award of Master of
Business Administration in Information Technology Management of Coventry University
CERTIFICATION
I, the undersigned certify that I have read and hereby recommend for acceptance by Coventry
University the dissertation entitled: “Factors Affecting the Implementation of Electronic Document &
Records Management Systems in the Public Sector: A Case study of the East African Community
Secretariat” in fulfilment of the requirements for the degree of Masters of Business Administration in
Information Technology Management of Coventry University.

…………………………………………………….
Mr. Victor Ngessa
(Supervisor)

Date ………………………………

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DECLARATION
I, Cranimer Mukwaya declare that this dissertation is my own original work and that it has not been
presented and will not be presented to any university for similar or any other degree award.

Signature…………………………………………

Date………………………………………………

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COPYRIGHT

© Copyright
This paper should not be reproduced by any means, in full or in part, except for short extract in a fair
dealing, for research or private study, critical scholarly review or discourse with an acknowledgement.
No part of this dissertation may be reproduced, stored in any retrieval system, or transmitted in any
form or by any means without prior written permission of the author or Coventry University.

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ACKNOWLEDGEMENTS

I would like to extend my heartfelt appreciation to my supervisor Mr Victor Ngessa for his patience and
guidance towards the completion of this study. May the LORD richly bless him

To my family, thank you for the support, confidence and encouragement accorded to me during the
course of this study. I also acknowledge the support given to me by my classmates and friends.

To the EAC management, my colleagues at EAC and Mr Julius Noble Ssekazinga who provided me
with relevant literature and responses regarding this dissertation

Lastly, I reserve the best gratitude to the LORD Almighty for enabling me to successfully accomplish
yet another degree in my lifetime. It has not been easy, but it was worth it. Thank you.

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DEDICATION
I dedicate this dissertation to my Mother Mrs Celia Nyanzi, My Late Father Mr John Wilson Nyanzi, My
brothers Frank Mawejje, Godfrey Sentamu and my Sister Anne Nanyanzi. Thank you all for your
support.

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LIST OF ABBREVIATIONS

COMESA Common Market for Eastern and Southern Africa


DSG Deputy Secretary General
EA East Africa
EALA East African Legislative Assembly
EACJ East African Court of Justice
EADB East African Development Bank
EAC East African Community
EABC East African Business Council
ECA Economic Commission for Africa
EDRMS Electronic Document & Records Management System
EDM Electronic Document Management
HP Hewellet Packard
ICT Information Communication Technology
LVBC Lake Victoria Basin Commission
LVFO Lake Victoria Fisheries Organization
MEAC Ministry of East African Community
MEAA Ministry of East African Affairs
RECs Regional Economic Communities
SG Secretary General
TRIM Total Records Information Management
UNICTR United Nations International Criminal Tribunal for Rwanda

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ABSTRACT

The use of electronic document and records management systems (EDRMS) has gained prominence in
the public sector. Despite usefulness of such a system, studies indicate that adoption rates are low and
sometimes total implementation fails due to a number of reasons. This research sought to contribute to
an understanding of factors that affect implementation of electronic document and records
management systems in the public sector using the East African Community as a case study.

Objectives included: assessing the state of implementation of the EDRMS, identify how technical know-
how affects the implementation of the EDRMS, examine how management support affects
implementation of the EDRMS, identify strategies that can be undertaken to address challenges limiting
implementation of EDRMS. To achieve these objectives, this study conceptualized affecting factors to
fall under three categories; personal related factors, management related factors and IT related factors.

A total of 44 respondents were interviewed, all respondents indicated that the EDRMS was being used
in their respective departments. Most respondents (65.9%) rated the EDRMS as being averagely used.
Although all personal attributes influenced system use in varying ways, most respondents rated
experience as having a very strong influence (62.5%), attitude towards system use was the variable
rated by most respondents (85.7%) as having a strong influence on system use. Respondents
highlighted that management had strong influence on EDRMS use. Among the assessed management
related factors, respondents indicated that management had exhibited commitment in supporting the
EDRMS by putting in place necessary systems, establishing improved policies and procedures,
emphasizing EDRMS use and provided leadership among others. Despite these however, management
was said of as having not fully supported EDRMS implementation. IT support and related aspects also
had a strong influence with most respondents (59%) rating the availability of EDRMS support as having
a very strong influence on use of the system. Training too had a strong influence.

This study recommends that: the East African Community Secretariat (EACS) designs initiatives to
continuously train its employees on the EDRMS according to department requirements; management
needs to take strong leadership in supporting EDRMS use through appropriate strategies; a post
implementation review of the EDRMS use at the EACS needs to be undertaken to substantiate
preliminary findings of this study.

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TABLE OF CONTENTS

CERTIFICATION ........................................................................................................................................................ i
DECLARATION ......................................................................................................................................................... ii
COPYRIGHT ............................................................................................................................................................ iii
ACKNOWLEDGEMENTS .......................................................................................................................................... iv
DEDICATION ............................................................................................................................................................ v
LIST OF ABBREVIATIONS........................................................................................................................................ vi
ABSTRACT ............................................................................................................................................................. vii
List of Tables............................................................................................................................................................. x
List of Figures........................................................................................................................................................... xi
CHAPTER ONE ........................................................................................................................................................ 1
1.0 INTRODUCTION .......................................................................................................................................... 1
1.1 Background to the study ....................................................................................................................................... 1
1.2. Statement of the Problem ................................................................................................................................. 3
1.3. Aim of the Study ............................................................................................................................................. 4
1.4. Research Questions ....................................................................................................................................... 4
1.5. Research Objectives ....................................................................................................................................... 4
1.6. Scope of the Study .......................................................................................................................................... 5
1.7. Significance of the Study .................................................................................................................................. 5
1.8 Brief on the organization of the dissertation ......................................................................................................... 5
CHAPTER TWO ........................................................................................................................................................ 6
LITERATURE REVIEW .............................................................................................................................................. 6
2.0. Empirical Review ............................................................................................................................................. 6
2.1. Electronic Documentation and Records Management ......................................................................................... 6
2.2. Electronic Document and Records Management System at the EACS .................................................................. 7
2.2.1. Digitizing of EAC Reports Phase I 2006-2010 ........................................................................................................ 8
2.3. Digital Government, E-governance and Electronic Records Management ............................................................. 9
2.4. EDRMS Implementation ................................................................................................................................. 10
2.5. Benefits of Using Electronic Document and Records Management Systems ....................................................... 11
2.6. Influence of Management Support on Implementation of EDRMS ....................................................................... 12
2.7. Influence of Technical Know-how and Support on the Implementation of EDRMS ............................................... 14
2.8. Research Gap ............................................................................................................................................... 15
2.9. Conceptual Framework .................................................................................................................................. 16
CHAPTER THREE .................................................................................................................................................. 19
RESEARCH METHODODLOGY ............................................................................................................................... 19
3.0 Introduction.................................................................................................................................................... 19
3.1. Research Design ........................................................................................................................................... 19
3.2. Area of Study ................................................................................................................................................ 19
3.3. Population of the Study ............................................................................................................................................ 20
3.4. Sampling Method for Study Measurement Unit and Respondents....................................................................... 20
3.5. Sampling Strategy ......................................................................................................................................... 21
3.6. Data Collection Methods ................................................................................................................................ 22
3.6.1. Tools ..................................................................................................................................................................... 22
3.6.2. Techniques............................................................................................................................................................ 22
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3.6.3. Interview ................................................................................................................................................................ 22
3.6.4. Observation ........................................................................................................................................................... 23
3.7. Data Analysis and Presentation ...................................................................................................................... 23
3.8. Documentary Review ..................................................................................................................................... 23
CHAPTER FOUR PRESENTATION AND DISCUSSION OF FINDINGS ....................................................................... 24
4.0. Description of Respondents Interviewed .............................................................................................................. 24
4.1.1. Departmental Obligations towards Implementation of the EDRMS ...................................................................... 25
4.1.2. Respondents Rating of the Use of the EDRMS .................................................................................................... 26
4.2. Factors Influencing Effective Implementation of the EDRMS .............................................................................. 27
4. 2.1. Influence of Personal Factors on EDRMS Implementation .................................................................................. 27
4.3. Influence of Managerial Related Factors on Implementation of the EDRMS......................................................... 29
4.4: Influence of IT Related Factors on Effective Implementation and Use of the EDRMS ........................................... 32
5. EDRMS at EACS ................................................................................................................................................. 36
CHAPTER FIVE ...................................................................................................................................................... 37
SUMMARY, CONCLUSION, RECOMMENDATIONS AND POLICY IMPLICATIONS ...................................................... 37
5.0. Introduction ................................................................................................................................................... 37
5.1. Summary of Findings of the Study ................................................................................................................... 37
5.1.1. State of Implementation of the EDRMS at the EACS ........................................................................................... 37
5.1.2. Factors Influencing Implementation of the EDRMS .............................................................................................. 37
5.2. Conclusion.................................................................................................................................................... 39
5.3. Recommendations......................................................................................................................................... 39
5.3.1. Appropriate Training.............................................................................................................................................. 39
5.3.2. Management Commitment .................................................................................................................................... 40
5.3.3. Post Implementation Programme.......................................................................................................................... 40
5.3.4. Change Management Programme ........................................................................................................................ 41
5.3.5. Integration of the System With Other Systems ..................................................................................................... 42
5.3.6. Disaster Recovery Plan......................................................................................................................................... 42
5.4. Limitations of the Study .................................................................................................................................. 42
5.5. Policy Implications ......................................................................................................................................... 43
5.6. Areas of Further Research ............................................................................................................................. 43
CRITICAL EVALUATION OF THE STUDY ................................................................................................................. 44
6.0. Introduction ................................................................................................................................................... 44
6.1. Experiences Faced when Conducting this Study............................................................................................... 44
6.1.1. Positive Experience............................................................................................................................................... 44
6.1.2. Negative Experiences ........................................................................................................................................... 44
6.2. Project Management Techniques .................................................................................................................... 45
REFERENCES ........................................................................................................................................................ 46
APPENDIX 1: QUESTIONNAIRE .............................................................................................................................. 49
APPENDIX 2: OBSERVATION GUIDE ...................................................................................................................... 58
APPENDIX 3: INTERVIEW GUIDE ............................................................................................................................ 59
APPENDIX 4: DEPARTMENTS FROM WHICH RESPONDENTS WERE DRAWN FOR THIS STUDY ........................... 60
APPENDIX 5: RESEARCH SCHEDULE .................................................................................................................... 61
APPENDIX 6: ECM Implementation Lifecycle ............................................................................................................. 62
APPENDIX 7: HP TRIM EDRMS SCREEN SHOTS .................................................................................................... 63

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List of Tables
Table 1.1 Constructs of Different User Acceptance Models and Theories Affecting Use of Technology.............. 17

Table 3. 1. Departments and or divisions randomly selected and included in the study 22
Table 4. 1. State of Implementation of the EDRMS at the East African Secretariat (N=44) 24
Table 4. 2. Rating of Respondent Use of the System (N=40) ................................................................................................. 26

Table 4. 3: Rating of how Experience, Ease of use and Attitude affect Effective Implementation and use of the EDRMS .... 27

Table 4. 4: Rating of How Encouragement, Personal job expectations and Motivation affect Implementation and Use of the
EDRMS .................................................................................................................................................................................... 28

Table 4. 5: Rating of how achieving expected output quality, job relevancy and meeting expected long term benefits
influence EDRMS use .............................................................................................................................................................. 30

Table 4. 6: Rating of how relative advantage, cross learning, Training and availability of facilitating conditions influence
implementation of EDRMS....................................................................................................................................................... 31

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List of Figures

Figure 1.1: Conceptual framework for understanding factors affecting implementation of the ERDMS at the EAC
secretariat ............................................................................................................................................................. 18

Figure 4. 1: Departmental Obligations in Using the EDRMS (N=44) 26


Figure 4. 2: Management commitment towards supporting implementation of the EDRMS ................................ 32

Figure 4. 3: Respondent perception of whether assessed IT related factors affect use and implementation of the
EDRMS (N=44) ..................................................................................................................................................... 33

Figure 4. 4: Respondent rating of how assessed IT variables affect implementation and use of the EDRMS
(N=44) ................................................................................................................................................................... 34

Figure 4. 5: Justifications for how assessed IT related variables affect effective implementation and use of the
EDRMS ................................................................................................................................................................. 36

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CHAPTER ONE

1.0 INTRODUCTION
This chapter presents the background to the study, statement of the problem, aim, objectives, research
questions, significance and scope of the study.

1.1 Background to the study


Information and Communications Technologies (ICTs) are often seen as a catalyst for democratic
processes, freedom of speech and fraud solution. E-governance has been said to have the potential to
establish an environment for improved service delivery, increased transparency, accountability and
proper electronic document management (OECD 2003, Ndou, 2004, Dawes 2008, Klopp et al, 2013).
Current advancements in ICTs have led to an evolution of electronic records and document
management systems (ERDMS). According to Ngulube, (2004) an EDRMS is a system that uses
electronic document and records management software to collect, organize, and categorize born digital
records to facilitate their preservation, retrieval, use, and disposition. These systems support the
creation, use and maintenance of electronically created records for the purpose of improving an
organization’s workflow.

S. Harries (2001) argues that EDRMS have recently received a lot of attention in government because
of the need to comply with legislation. Other driving forces behind their popularity are the benefits that
these systems can bring: cost reductions, better service delivery and a general improvement in
business processes. Given the known benefits accrued from using these systems, the public sector of
most governments have sought the use of these systems with the expectation of gaining real benefits
from their implementation (E. Shepherd, 2006). Regrettably, most EDRMS implementations encounter
challenges that can impinge negatively on the expected results; any unsuccessful attempts to improve
effective use of the systems often result in millions of shillings in fruitless expenditure.

According to Bishop (2001), the use of computers for electronic document management became widely
spread in public sector organizations for the last 25 years and new terms were created to label the
revolution of electronic commerce (e-commerce) and electronic business (e-business). For example the
Government of Uganda (GoU) adopted ICT as part of its e-governance agenda in 2003. E-governance
has led to the use of information technologies and the continued use of the technologies has led to the
proliferation of electronic information of which digital records are a part. Shepherd, (2006) further
argues that most government departments have sought out these systems with the expectation of
gaining real business benefits from their implementation.
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At regional level, the East African Community Secretariat (EACS) adopted the EDRMS in its operations.
The East African Community Secretariat is a regional intergovernmental organization established under
Article 2 of the Treaty for the establishment of the EAC that entered into force on 7th July 2000 (EAC
Treaty, 2002). The membership of the Community comprises of the Republic of Kenya, Uganda,
Rwanda, Burundi and the United Republic of Tanzania. The objective of the EAC is to develop policies
and programs aimed at widening and deepening co-operation among the Partner States in political,
economic, social and cultural fields, research and technology, defence, security and legal and judicial
affairs, for their mutual benefit.

In order to achieve the above objective, the EAC Treaty provides for the Partner States to establish
among themselves Customs Union, which is the entry point of the Community, thereafter a Common
Market, subsequently a Monetary Union and ultimately a Political Federation in order to strengthen and
regulate the industrial commercial, infrastructural, cultural, social, political and other relations of the
Partner States to the end that there shall be accelerated, harmonious and balanced development and
sustained expansion of economic activities, the benefit of which shall be equitably shared (EAC Treaty,
2002).

Kagoda-Batuwa (2011) writes that since the establishment of the EACS, a lot of data, information and
knowledge, has been generated. This includes among others, important official correspondences,
agreements, memorandums of understanding, protocols, instruments of accession, instruments of
ratification, policies, work plans, budgets and various studies on the integration process. Such
information needs to be stored and easily accessed.

Given the need to efficiently archive, manage and use all records and documents at the EACS, the
EACS implemented an electronic document and records management system project in 2005 using an
electronic document & records management system called HP TRIM. The EDRMS was implemented
with the aim of providing a well-defined records management system and service for the safe handling,
custody, storage, retrieval, exploitation and disposition of all EAC records and documents regardless of
the format/medium. The long term goal of the project was to establish a digital archive for the EAC
records including those of the defunct EAC. Over the years, there has been tremendous progress
regarding implementation of this ERDMS including digitisation of all EAC agreements, protocols,
memorandum of understanding, incoming and outgoing correspondence (from 2008 to date) and
training of all EAC staff on how to use the EDRMS.

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Currently the Management Information Division which oversees the use and implementation of the
EDRMS is extending the use of the system to the EAC coordinating ministries in the Partner states,
EAC organs, institutions and digitisation the records of the defunct EAC. It is envisioned that on
accomplishing this project, information will easily be accessible to stakeholders (EAC, 2011).

The successful implementation and effective use of the ERDMS in the public sector warrantees full
understanding of the factors affecting use of these systems. Effective implementation and use of the
ERDMS at EACS faces some challenges; the Performance Plan of the East African Community
Secretariat for 2013/2014 indicates that there is poor implementation of the electronic document &
records management system in the EACS but it is not known whether this is attributed to lack of record
management skills and archiving, lack of management commitment to implementation of the system,
technical know-how, carelessness of responsible officers in records management or none adherence to
internal controls and general weakness in the East African Community’s record management systems.
The adoption rate regarding the use of the system is still at 56% which is a decline compared to the
80% rate after implementation for a period of 2005 to 2008. (EAC, 2013)
This research therefore aimed at identifying factors affecting the implementation of the EDRMS in the
public sector using the East African Secretariat (EAC) as a case study.

1.2. Statement of the Problem


The EACS adopted implementation of an EDRMS in 2005 using an electronic document & records
management system software called HP TRIM with the aim of providing a well-defined records
management system and service for the safe handling, custody, storage, retrieval, exploitation and
disposition of all EAC records and documents regardless of the format/medium. The ERDMS is a
system that uses electronic document and records management software to collect, organize, and
categorize born digital records to facilitate their preservation, retrieval, use, and disposition. These
systems support the creation, use and maintenance of electronically created records for the purpose of
improving an organization’s workflow (Ngulube, 2004).

According to Michelle Linton et.al (2011), EDRMS projects are reported to take on average of four or
more years to achieve adoption rates of above 75%. Many stories also abound about totally failed
ERDMS projects and seemingly successful ERDMS projects where the effective uptake at the
organizational level was high but adoption at the personal level was poor. Poor adoption at the personal
level leads to embarrassment, reputation damage, and multi-million dollar financial losses.

At present, implementation of the ERDMS at the EAC Secretariat has brought about clear changes to
the processes and the way the staff do their work, but many users view this change as a threat while
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some do not see any benefits in using the system. About 10 years after the implementation of the
system, the EDRMS monthly statistics and system usage reports further show that not all staff
members are using the system on a regular basis and that so far only about 56% of the targets stated
in the EDRMS implementation plan have been achieved (EAC, 2012).

In view of the current EDRMS performance at the EACS, it is probable that the public sector faces
similar challenges. It is thus vital that factors limiting the effective implementation and use of the
EDRMS in the public sector are investigating and documented so that appropriate recourse
mechanisms can be initiated. This research sought to understand the factors affecting effective
implementation and use of the EDRMS in the public sector using the EACS as a case study.

1.3. Aim of the Study


The aim of the study is to ascertain the factors affecting the implementation of electronic document &
records management systems in the Public sector focusing on the East African Community Secretariat.

1.4. Research Questions


i. What is the state of implementation of the electronic document and records management
system at the EACS?
ii. How does technical know-how affect implementation of the electronic document & records
management system at the EACS?
iii. How does management support affect the implementation of an electronic document and
records management system at the EACS?
iv. How can the EAC Secretariat address challenges affecting effective implementation of the
EDRMS?

1.5. Research Objectives


i. To assess the state of implementation of the electronic document and records management
system at the East African Community Secretariat
ii. To examine the extent to which technical know-how affects the implementation of the electronic
document and records management system at the East African Community Secretariat
iii. To find out how management support affects the implementation of the electronic record and
document management system at the EACS
iv. To use study findings to make recommendations for improving effectiveness and efficiency of
the electronic document & records management system

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1.6. Scope of the Study

The study was carried out at the East African Community Secretariat (EACS) in Arusha, the United
Republic of Tanzania. In terms of content the study was focused on the EACS user departments.
Specifically the study was limited to how management support affects the implementation of EDRMS,
the state of electronic document and records management system, how technical know-how affects the
implementation of EDRMS and how to use study findings to make recommendations for improving
effectiveness and efficiency of the electronic document & records management system at the East
African Community.

1.7. Significance of the Study


The study will contribute to an understanding of the factors affecting the implementation and use of
EDRMS in the public sector. Given that the study focus was the EAC secretariat, findings and
recommendations of the study will help the EAC Secretariat to realize its impact in promoting effective
use of the EDRMS. Further, the empirical evidence generated by this study will be useful for the public
sector in all the EAC member states (Burundi, Rwanda, Uganda, Kenya, and Tanzania) to improve
effective implementation of EDRMS in their public sectors.

1.8. Brief on the organization of the dissertation


This dissertation is organized into five chapters, chapter one gives the introduction to the study, chapter
two presents the literature review of the study, chapter three presents the research methodology,
chapter four presents and discusses the findings of the study, chapter five presents the summary,
conclusion and recommendations of the study, it also gives the policy implications and the critical
evaluation of the study.

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CHAPTER TWO

LITERATURE REVIEW

2.0. Empirical Review


This chapter reviews relevant literature to the study. The reviewed literature has been done under the
following sections: electronic document management, benefits of using electronic document
management systems, state of electronic document & records management system in the EACS, how
management support affects the implementation of electronic document & records management
system, the extent to which technical know-how affects the implementation of the electronic document
management system at EACS, Digital governance (egovernance) and EDRMS implementation.

2.1. Electronic Documentation and Records Management


According to Bell Hellen (2015) electronic documentation represents an era where the survival and
development of human kind are ultimately defined by the use, production, and consumption of
information. An electronic document management system (EDMS) is a software program that manages
the creation, storage and control of documents electronically. The primary function of an EDMS is to
manage electronic information within an organization’s work flow. The EDMS provides different
functions including: Security control, this function controls which users have access to specific
information. The South Carolina Freedom of Information Act states that any system used must be able
to protect confidential records (Ngulube 2004).

The African Information Initiative adopted the digital agenda in 1996 in order to transform stagnating
African economies (ECA, 1996). In 2001, the 34th session of the Commission for Africa reaffirmed that
Information Communication Technology (ICT) was key to the economic and social development of the
African continent (Ngulube 2004). With the renewal of the EACS, embracing the digital era was
paramount for improved service delivery and yet records management is key to attaining this outcome.

Bell Hellen (2005) argues that Civil servants depend on paper and electronic records (including emails
and their attachments) to make decisions, approve actions and otherwise carry out their
responsibilities. They depend on the ability to search and retrieve information contained in records in
order to bring together the complete story concerning how a decision was made, a policy developed, or
a financial transaction completed. Senior managers depend on statistical and other reports that help
inform their decisions about the future direction of the organisation. Most of the rich and timely
information contained in the reports comes from records, which themselves must be authoritative and
reliable.
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2.2. Electronic Document and Records Management System at the EACS
The EAC started a regional e-Government Programme in 2004 when EAC partner states recognized
the need for exploring the use of ICT to achieve an overall vision of regional integration and also to
create wealth as well as to raise the living standards of all people of East Africa. The EAC Regional e-
Government Programme aimed at efficient use of ICTs in public administrations combined with
organizational change and development of new skills. The Programme further aimed at enhancing and
extending public services delivery, democratic processes that would support regional integration for
political, economic, social and cultural development of the regions as per the relevant provisions of the
Treaty for the Establishment of the East African Community. (EAC, 2011).

Various information systems are in use at the EACS to support a wide range of programmes. All
systems depend on information that is accurate, complete, timely and accessible. The systems used
include those managing financial processes, the payment of salaries, the management of assets &
inventory, the council decisions, the monitoring of health and the management of natural resources and
those for document and records management. All systems require information drawn from records that
must be authentic, reliable and accessible; ERDMS essential fill this gap. (EAC, 2011).

The EACS adopted the use of the ERDMS in the year 2005; its use is in line with the EAC corporate
ICT policy guidelines on use of ICT and the EAC records and archives management policy. Adopting
the use of the ERDMS was premised on the following anticipated outcomes: providing a well-defined
records management system and service for the safe handling, custody, storage, retrieval-, exploitation
and disposition of all EAC records and documents regardless of the format/medium. As well as
establishing a digital archive for the EAC records including those of the defunct EAC.

The ERDMS used at the EACS is the HP TRIM software. According to Hewlett-Packard Development
Company (2010), HP TRIM software is a document and records management system software which
lets you capture, manage, access and make more secure your enterprise information, from electronic to
physical records and from creation to ultimate disposal. It is also a proven records management system
that provides a scalable, policy driven foundation to your information governance strategy driving
business efficiency and records integrity. The HP TRIM solution offers these key customer benefits
which include;; Proven records management for your enterprise, faster Increased compliance and
faster response to legal discovery requests, Improved employee productivity, business process
efficiencies, transparent records management and site archiving.

HP TRIM is a complete highly configurable document and records management solution built on a

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single code base to the international standards of records management. HP TRIM is licensed as a base
system with additional optional modules. The base package license includes HP TRIM functionality
delivered through either a rich client, web client or with the HP TRIM for SharePoint module where
users can access HP TRIM functionality from SharePoint.

According to Batuwa K. (2011), a lot has and is still being done to ensure that documents and
management systems are digitized. Since establishment of the East African Community Secretariat in
1999, the Community has generated a lot of information and knowledge through its various integration
processes of a Customs Union, Common Market and Monetary Union. And with the already existing
information, the secretariat is resorting to transforming the library into an electronic information resource
centre that will act as a central access point for EAC information and knowledge. The EAC Information
Resource Centre was established with the aim of collecting, organizing and disseminating EAC
information to the stakeholders to support the EAC integration process. Since 2000, the EAC
Information Resource Centre has initiated and completed a number of projects aimed at finding suitable
mechanisms for disseminating information to partner state stakeholders including a computerized
library catalogue; a directory of information sources database; printing and publishing of EAC reports; a
bibliographic database of Lake Victoria Basin information resources; and the establishment of EAC
deposit libraries in partner states.

Digitizing the EAC information resources is being implemented in two major phases with sub-phases,
subject to availability of resources. The major phases include the digitization EAC Reports (policy
documents), 2006-2010, transforming the current Information Resource Centre into a digital information
resource Centre 2011-2016 as elaborated below. (Batuwa K. 2011). Digitizing of the EAC reports was
done in different phases

2.2.1. Digitizing of EAC Reports Phase I 2006-2010

This phase was aimed at digitizing the EAC reports, Summit, Council policy decisions and technical and
mission reports. The objective of the project was to provide easy access, follow up and implementation
of decisions and directives emanating from of the organs of the Community, such as the Summit of the
Heads of States and Council of Ministers. The process of digitizing the reports included; Project
proposal writing, sourcing for funding, collecting and organizing all reports, engaging a consultancy
/developing a database; recruiting of temporary staff, scanning of all documents and data entry, editing
and commissioning of the database. (Batuwa K. 2011)

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2.2.2. Phase II, 2011-2016

This phase was marked by transforming the existing resource centre into an electronic Information
Resource Centre. In view of the reasons advanced for digitizing the EAC Library the EAC Development
Strategy 2011-16 has set out broad strategic goals for transforming the current Information Resource
Centre into a digital Information Resource Centre (East African Community, 2011). The major objective
of this was to develop a digital museum documenting the EAC integration process, accessible from a
single point. The project aims at digitizing and providing online access to the EAC’s cultural heritage to
remote users (policy makers, researchers, students and the general public) as well as preserving the
EAC institutional memory for posterity. The digitized collections were expected to chronicle the regional
integration process of the East African Community.(ibid). during the whole process of implementation,
there existed some of the expected challenges which included lack of digitization policy, guidelines and
knowledge, limited appreciation of the importance of the project and resistance to change, funding, with
regard to the capital outlay for equipment, information technology infrastructure, that is required to start
the project and the recurrent operating costs, and insufficient human resource capacity to implement
the project.

2.3. Digital Government, E-governance and Electronic Records Management

A digital government strategy was conceptualized in the 1990s throughout the world with various
interpretations. (Z. Fang, 2002). Emerging with e-government is the digitalization of public
organizations, leading to structural and process change in public administration. (Fang,, 2002), e-
government is not primarily motivated by fiscal stress, administrative and/or political crisis, or
dissatisfaction among public managers. Rather, it is a technology-driven reform movement for
improving the delivery of public services and reducing costs. (K. Schedler and M. C. Schaf, 2002)

E-government initiatives have come with dozens of digital applications that can be implemented across
a broad range of functional government areas. These technologies serve a variety of different ends,
including transactions between government and business, government and citizen, government and
employee, and among different units and levels of government. (Fang, 2002), they collect and analyse
data; monitor budgets, and execute legally mandated government activities. These government
services require monitoring which result in imposing requirements for effective information and records
management. Government should be able to document their services delivered through ICT
application. It is now almost impossible to study the outcome of digital government and egovernance
processes without touching digital records since they appear to be part of the digital era as various
authors in the literature argue. For example, Nolan regarded the use of ICT systems as a dominant

9
reform model for the public service when he linked the implementation of ICT to effective documenting
of government services and knowledge sharing (Nolan, 2001),

Governments are now striving to manage their digital records in order to reap digital dividends
envisaged in the social, economic and political spheres, and lately to achieve the United Nations’
Millennium Development Goals (MDGs). Among the digital dividends envisaged is e-governance that
would enhance citizens’ engagement with their governments. There is a link between RM and e-
governance as the implementation and sustenance of e-governance systems are predicated upon
efficient, pervasive and affordable information access and service principles. Many studies show that e-
government services are derived from using ICTs. For example L. Forlano (2004), G. D. Garson (2004)
argues that the reasons and goals for e-governance were to improve service delivery through use of
ICTs. Studies by Basu (2004) and Forlano (2004) reported that the enthusiasm for e-governance has
been widespread among both developed and developing countries although the opportunities and
challenges differ from country to country. However, in line with Forlano, Lipchack and McDonald note
that absence or weaknesses in legislation, policies and guidelines and technological requirements are
factors hampering the implementation of e-governance in developing countries. (A. Lipchack and J.
McDonald, 2003)

2.4. EDRMS Implementation

The actual EDRMS implementation involves complex technical and social issues. Laudon & Laudon
(2006) state that the implementation outcome can be determined by the role of users in the
implementation process, the degree of management support for and commitment to the implementation
effort, the level of complexity and risk of the implementation project and the quality of management of
the implementation process. An EDRMS implementation typically takes anything from 12 months for
small, simple enterprises to 36 months or longer for complex multi-divisional enterprises. For example,
PRONI’s EDRMS project had three stages, a preparation stage of 14 months, an implementation stage
of three months, followed by an operation stage which lasted for four months (Smyth Z.A.2005). The
implementation process begins with the selection of the system and only ends with the training of the
users and post-implementation support. Al Mashari, M. (2002) also claims that implementation always
takes longer than planned. Delays are usually due to scheduling conflicts, technical preliminaries, and
the priorities of keeping the business running. A good plan has allowances for schedule and cost over-
runs. To understand EDRMS implementation requires an understanding of its implementation life cycle.
The AIIM ECM implementation lifecycle has been widely used, although it has been adjusted by most
organizations. EDRMS implementations have also adopted similar implementation lifecycles. The AIIM

10
ECM implementation lifecycle identifies 12 steps to an ECM implementation lifecycle; the ECM
implementation cycle has been attached herewith as appendix 6.

2.5. Benefits of Using Electronic Document and Records Management Systems


According to Shiri (2003) Use of the ERDMS offers a number of advantages to the user institution in as
far as improving documents and records management. One key noted advantage of the ERDMS is its
ability to foster transparency in documentation sharing and records keeping. Transparency as a
concept has different meanings to different actors. On a general level, transparency can be defined as
‘the release of information by institutions that is relevant to evaluating those institutions’ (Florin 2000).
Williams (2014) defines transparency as a process of increasing the amount of information available to
interested parties. By putting the above definitions into consideration, it clearly brings out the benefits of
records management.

According to the USA department of Energy (2006) effective records management provides significant
benefits to user departments including: allowing for efficient retrieval of information capabilities to help
employees do their jobs; legal protection of the rights of citizens and the Government; proper
accountability and responsiveness to other Government organizations and the public; institutional
memory; preservation of the historical records.

Best David (2002) adds that other notable advantages of using ERDMS are derived from the ability of
these systems to facilitate faster access to information, centralization of information, flexibility of
information retrieval, and reduction in mass filing. Albeit the advantages of using the ERDMS, the
California Records and Information Management department notes that such systems also have
limitations. Such limitations vary from the cost of developing such systems including software being
expensive, need for additional expertise to administer and operate electronic systems, and recurrent
costs of maintaining duplicate systems (paper or microform documents) for legal of historical
requirements (ibid.)

Records are indispensable to the efficient and economic operation of organizations. They serve as the
organizational memory, the evidence of past events and the basis for future action. When created,
maintained, and disposed of in a systematic and orderly fashion, records are tremendous assets to an
organization (State of Montana. Montana Historical Society, 2002)

Records are invaluable. Keeping complete records from the beginning can save time and money.
Records are also viewed as an important tool to ensure that obligations of an organization are met.
11
Furthermore, they are also of value for reference and management decisions. Accuracy of records will
also prevent excessive residues by ensuring that withdrawal time has been met (Poultry Industry
Council, 2004)

A good records management system should be brief, understandable and easy to update. According to
the Academy of Business Excellence Limited (2003:1), advantages of good records management are
as follows:
 Enabling organizations to keep track of its progress, Records show whether sales are up or
down, which clients are spending and which are not, and whether any changes are needed.
Without adequate documentation, making reliable business forecasts or looking back to see
where an organization has been successful in the past is considerably more difficult.
 Fundamental to the preparation of financial statements, All organizations rely on their financial
statements to decide on future action. Financial statements are necessary when dealing with
banks and creditors, and also allow for quick and systematic access to information on assets,
liabilities and equity related organizations.
 Reliable source to identify the source of income, Organizations receive money and property
from a variety of sources on a regular basis. By using accurate records, they can identify where
their various receipts come from, and separate non-business receipts from taxable income.
 Acts as supplement to organizational memory, without an adequate records management
system, organizations would not be able to claim deductible expenditure. When tax falls due, it
could be a loss, which could be particularly detrimental to organizations. Records are therefore
of crucial importance to any organization’s tax returns. They need to reflect the income,
expenditure and credits that organizations note on their tax returns. Furthermore, keeping good
records will ensure that organizations have accurate figures available for official inspection at
all times. This would also help during auditing and financial reporting.

2.6. Influence of Management Support on Implementation of EDRMS


Management has got great implications on the electronic document and records management system.
The loss of control of those records and information systems, particularly in electronic environments, is
a highly significant global problem. In the electronic age, sound records systems are critical to the
public sector so as to be accountable and transparent as well as to improve services to citizens
especially in the poorer countries like for example improving the delivery of information and services to
citizens and businesses, to streamline public sector functions, and to increase citizen participation in
government. In some instances this is just a matter of providing electronic access to existing
information. In others, electronic services, such as land searches or submission of tax returns, are
being delivered online. (Wamukoya J. & Mutula, M. S. 2005)
12
Management should always be involved in implementation of electronic records management systems
because records management has long been seen as the graveyard of information i.e. a place to store
documents and records that have passed their sell by date however new technology has changed the
picture. The corporate record becomes the corporate memory, capable of informing and influencing
everything that is done. Records need to be recognized as a vital and reusable asset, a source of
content context and knowledge, hence knowledge management, information management and
information technology (Sutcliffe, 2003:53)

A well-managed e-records system provides opportunities for governments throughout the world and a
strong foundation for enhancing accountability, transparency, democratic governance, poverty
eradication, elimination of corruption and efficient use of donor-funded resources. The electronic
government has the potential to transcend constraints imposed by distance and increase the speed of
service delivery, but it also poses a number of challenges for accountability, the rule of law and the
maintenance of organizational memory. (Wamukoya J. & Mutula, M. S. 2005)

According to Wamukoya J. et al (2005) within an e-environment, the role and participation of the private
sector is critical especially with regards to e-commerce and e-business tractions, in order to achieve
this, governments need to provide a conducive environment through enabling legislations, and
regulatory frameworks. Chronic weaknesses in government record keeping can adversely affect private
sector investment. For example, overseas firms may hesitate to invest in a country if they feel its courts
do not handle civil cases (especially commercial cases) efficiently. Likewise, large -scale infrastructure
investments, such as the construction of gas pipelines, may be delayed or may incur significant
additional costs if government land registries cannot provide complete and definite statements.
(Wamukoya J. & Mutula, M. S. 2005)

Records management is portrayed as means of good information management, improving and


enlightening the management of organisations (Yusuf and Chell, 1999). Information is a broader
concept within which records management falls. In other words the main purpose of records
management is to manage and control the flow of records with the necessary information within a
particular organisation.

Organisations need information to carry out their activities and to documents actions and decisions.
That’s why management has to be involved from day one when implementing a records management

13
system. Management has to make sure that records are managed so that they are easily accessible
and usable when they are needed. (Cowling, 2003)

A uniform filing system and method should be applied in an organization. Personal and departmental
filing systems and methods should be discouraged in favour of a centralized filing system and method.
(Fang, 2002), In support of the above recommendation, Garson, G. D. (2004) observe that a lack of
consistency in the filing System and method results in backlogs of records accumulated and congested
in repository centres. Records are dumped randomly or rudimentary tools are used for retrieving them
so that they can be easily accessible to users. Management should design working uniform filing
systems and methods before implementation of electronic document and records management
systems

2.7. Influence of Technical Know-how and Support on the Implementation of EDRMS


According to Johnston, Gary P. et al (2005) new technology is making significant contributions to
improving government programmes and services, achieving development goals and advancing e-
government strategies. However, records management is not being given the attention it requires in the
transition to the electronic environment. In too many cases, ICT systems are introduced without the
essential processes and controls for the capture, long-term safeguarding and accessibility of electronic
records. This undermines the ability of civil servants and citizens alike to trust the information generated
by government ICT systems. Governments need to act to ensure that ICT systems provide trusted
information that is reliable, complete, unaltered and useable. This requires records management
solutions to be integrated in ICT systems during their planning and design, rather than be added on
during or after implementation.

According to Hendrickson H.Z & Andersen (2008) System factors mostly relate to the usability of the
system, he states that a lack of usability is a possible obstacle and recommends flexibility and user-
friendliness as important aspects. Maguire (2005) takes a lesson from implementing EDRMS at the
Estate Department of British Library, in that one needs to choose a system that is as user-friendly as
possible. According to Moses Makhura (2005) there are many causes of poor records management for
example lack of qualified staff such as a records manager or user who do not meet the basic
requirements on how to use computers.

According to Gross (2002) records management is closely becoming an IT function and not an
administrative function. Technological progress and the unsettling changes it produces will require
significant attention to records management education. Information technology skills are therefore of
the utmost importance to the end-users in order to guarantee their positive reaction to records. Lack of
14
IT skills would affect end-users access to records in general negatively. Apart from IT skills,
organizations should also ensure that employees are equipped with relevant IT equipment. Keeping up
with technological advancement in records management is of critical importance in dealing with
electronic records management.

According to Neal, Kenneth Laurence (2014) the lack of records management skills indirectly affects
the information user behaviour of employees to achieve competitive performance. The current means
of communication dictates the manner in which records are managed. Since electronic means of
communication are used most often, records management is drastically shifting from manual to
electronic. It is recommended that the records management function should form part of performance
appraisal evaluation and that all members of staff should be evaluated in terms of their record-keeping
skills.

To alleviate information illiteracy and encourage end-users to read the records at their disposal, it
remains important for records management staff to offer training on the records management system in
use this greatly affects the implementations of electronic records systems (De Wet and Du Tait,
2000:84).

According to De Wet and Du Tait (2000).Lack of training and filing procedure manuals can hamper the
implementations of EDRMS and information user behaviour in an organization. If employees do not
have guidelines on how to operate and are not trained in how to use the filing or electronic system,
productivity cannot be improved. Before any filing system can be introduced, all those affected must be
trained. Lack of training would result in poor competitive performance in many fields, for example
inactivity of the system and service delivery. Ngulube (2004) argues that in order to implement a
records management program successfully, relevant records management training and workshops
should be conducted to provide staff with knowledge on how to use a system. Ngulube adds that
organizations should avoid a leapfrog approach with regard to training: Relevant training should be
offered before employees are expected to use the system.

2.8. Research Gap


According to the International Records Management Trust, (2011), significant gaps exist in the EACS
regulatory framework for records management, especially in areas such as policy, capacity, and the
position and strength of the records and archives authority. Records management issues are found in
all five governments range from poorly positioned and weak archives and records authorities, to the
absence of policy, the lack of capacity (especially to deal with electronic records), and the overall lack
of awareness of records management and its importance. Although certain countries have taken major
15
strides in building components of the required regulatory frameworks for records management, others
have yet to take the first steps. All are far from having put into place the basic building blocks of an
adequate regulatory framework for records management. If the issues are as significant as they
appear to be, steps will need to be taken to ensure that the risks are addressed before they have an
irreversible impact on existing and planned ICT/ e-Government which calls for the research to be
undertaken.

2.9. Conceptual Framework


This research conceptualised the effective implementation and use of the EDRMS at the EACS is to be
dependent on a number of factors both internal and external to the EACS itself and the actual users of
the system. In their research, Venkatesh et al. (2003) show how various factors influence the use of
information technology. They identify influencing factors affecting use of IT as including: performance
expectancy, effort expectancy, attitude towards using a technology, social influence, facilitating
conditions, self-efficacy, and anxiety. Accordingly, these factors are derived from eight different user
acceptance models which include the Innovation diffusion theory, Technology acceptance model,
Theory of Reasoned Action (TRA), Theory of planned behaviour, Motivational model, Model combining
theory of technology acceptance model and theory of planned behaviour (C-Tam-TPB), Model of PC
utilisation (MPCU), and the Social cognitive theory (SCT). Each theory or model has previously been
widely tested to predict user acceptance (Venkatesh and Davis, 2000; Thompson et al., 1991) as
summarised in Table 1.1.

16
Table 1.1. Constructs of Different User Acceptance Models and Theories Affecting Use of
Technology
Models and Theories Constructs
Theory of Reasoned Action (TRA) by Fishbein and Ajzen (1975) derives from Attitude
psychology to measure behavioural intention and performance. Subjective norm
Technology Acceptance Model (TAM) by Davis (1989) develops new scale with Perceived Usefulness
two specific variables to determine user acceptance of technology. Perceived Ease of Use
Subjective Norm*
Technology Acceptance Model 2 (TAM2) by Venkatesh and Davis (2000) is Experience*
adapted from TAM and includes more variables. Voluntariness*
Image*
Job Relevance*
Output Quality*
Result Demonstrability*
* indicates TAM2 only
Motivational Model (MM) also stems from psychology to explain behaviour. Davis Extrinsic Motivation
et al. (1992) applies this model to the technology adoption and use. Intrinsic Motivation
Theory of Planned Behaviour (TPB) by Ajzen (1991) extends TRA by including Attitude
one more variable to determine intention and behaviour. Subjective norm
Perceived Behavioural Control
Combined TAM and TPB (C-TAM-TPB) by Taylor and Todd (1995). Perceived Usefulness
Perceived Ease of Use
Attitude
Subjective norm
Perceived Behavioural Control
Model of PC Utilization (MPCU) by Thompson et al. (1991) is adjusted from the Social Factors
theory of attitudes and behaviour by Triandis (1980) to predict PC usage Affect
behaviour. Perceived Consequences (Complexity,
Job-Fit, Long-Term Consequences of
Use)
Facilitating Conditions
Habits
Innovation Diffusion Theory (IDT) by Rogers (1962) is adapted to information Relative Advantage*
systems innovations by Moore and Benbasat (1991). Five attributes from Rogers’ Compatibility*
model and two additional constructs are identified. Complexity*
Observability*
Trialibility*
Image
Voluntariness of Use
* indicates Roger’s constructs.
Social Cognitive Theory (SCT) by Bandura (1986) is applied to information Encouragement by Others
systems by Campeau and Higgins (1995) to determine the usage. Others’ Use
Support
Self-Efficacy
Performance Outcome Expectations
Personal Outcome Expectations
Affect
Anxiety
Unified Theory of Acceptance and Use of Technology Model (UTAUT) by Performance Expectancy
Venkatesh et al. (2003) integrates above theories and models to measure user Effort Expectancy
intention and usage on technology Attitude toward Using Technology
Social Influence
Facilitating Conditions
Self-Efficacy
Anxiety

17
Based on the different constructs of theories and models in Table 1.1, four categories of factors
including; personal related factors, work/job performance related factors, management
expectations/output related factors and IT related factors were conceptualised and developed. For each
of these categories, a number of constructs from the theories and models that relate to the given
category were identified and a conceptual framework (Figure1.1) developed to guide the whole
research process. Based on the developed conceptual framework, it was hypothesized that factors
affecting effective implementation and use of the EDRMS are interrelated. This research proceeded
then by finding answers that would be analysed to examine the inter-relations and hence the factors
affecting use of the system itself.

Management expectations/output IT related factors


related factors Compatibility
Perceived Usefulness Complexity
Result Demonstrability Support
Extrinsic Motivation Accessibility to hard and software
Facilitating conditions
Others’ Use
Perceived consequences
Performance Expectancy

Effective Implementation
of the ERDMS at the
EAC Secretariat

Work/Job Performance related factors Personal factors


Job Relevance Experience
Output Quality Perceived Ease of Use
Relative Advantage Intrinsic Motivation
Long-Term Consequences of Use Perceived Ease of Use
Facilitating Conditions Self-Efficacy
Personal Outcome Expectations
Encouragement by Others
Attitude toward Using Technology

Figure 1.1: Conceptual framework for understanding factors affecting implementation of the
ERDMS at the EAC secretariat

18
CHAPTER THREE

RESEARCH METHODODLOGY

3.0 Introduction
This chapter presents and discusses the choice of the research design, area and population of the
study, sampling strategy, data collection methods and instruments, data analysis and presentation.

3.1. Research Design


This study used an exploratory cross-sectional study design and employed triangulation techniques to
obtain data. The choice of the design was based on the need to explore how various factors affect
implementation of the EDRMS at the EACS. Factors explored included management expectations and
support, IT related factors, work/job performance related factors and personal factors. Both qualitative
and quantitative techniques were used to capture views and attitudes of respondents so as to obtain
data that led to a comprehensive understanding of the factors affecting use of the EDRMS.

3.2. Area of Study


This study was carried out at the EACS headquarters. The EACS is broad in terms of staffing levels as
summarised by its organogram in Figure 3.1. It is located in Arusha, the United Republic of Tanzania
and is housed in its new headquarters commissioned in 2009. The construction project was officially
commissioned by the EAC Heads of State on 20 November 2009, although actual construction work
began on 28 January 2010. The project was fully funded by the Federal republic of Germany to the
tune of 14.8 million euros. The Heads of State of the EAC Partner States officially opened the new EAC
headquarters 28 November 2012.

19
Figure 3. 1: Organogram of the EACS

3.3. Population of the Study

The population of interest for this study were all user departments of the EDRMS system at the EACS.
Given that the EDRMS is used in almost all directorates of the EACS, all directorates at the level of the
Deputy Secretary General (DSG) office were given an equal chance of participating in the study.
Throughout the study, it was noted that the EACS Management Information Division is the centre for all
incoming and outgoing correspondences of the EACS and that the staff in this department are the key
users of the EDRMS. As such, staff in this department were included and interviewed about the
technical aspects of the EDRMS.

3.4. Sampling Method for Study Measurement Unit and Respondents

Sedgwick (2011) describes study measurement units as the persons and or entities for which the data
collected refers and respondents as the persons from whom the data is collected. The measurement
unit for this study was the EACS while respondents were selected staff working in the different
departments/divisions under the level of DSG. This is explained in table 3.1 below.

20
3.5. Sampling Strategy
The Sampling strategy for the measurement unit and respondents differed. For the measurement unit,
intent was to get views from all departments under the different DSG offices. However, given that not all
departments could be reached, the sampling without replacement random method was used to choose
half of all the user departments from each of the DSG offices. This method entailed for each DSG:
writing down each of the respective directorates; noting the user departments or divisions under each
directorate on an individual piece of paper; rolling this paper into a small ball and placing it in a bowel;
vigorously shaking the bowel and then picking out half the rolled pieces of paper; writing down the
names of departments/divisions on a piece of paper for inclusion in the study; and repeating this
process until all DSGs were covered. The use of this method gave an equal chance for all departments
and or divisions under each DSG to be participate in the study. Table 3.1 below summaries all the
EACS directorates and respective departments and the specific departments or divisions that were
eventually selected and included in the study. A total of 24 departments/divisions were selected out of
the 48 departments/divisions of the 5 DSGs.

Having selected the departments to be included in the study, the selection of respondents from each
department or division was done using purposive sampling techniques. Purposively, two respondents
were selected and interviewed per sampled department/division. The selected respondents per
department/division were those mainly using the EDRMS in the given department/division and thus
considered to be information rich with ability to contribute to in-depth information about the contribution
of the factors EDRMS.

It is important to note that the methodology for this research also allowed for the replacement of a
department for another in case the respondents in the initially planned department were unavailable to
be interviewed during the time of data collection. This was done to ensure that the number of planned
respondents was not significantly affected. As such, actual interviewed respondents and departments
from which these were drawn differed in some aspects. Appendix 3 details the departments in which
actual interviews were eventually done.

21
Table 3. 1. Departments and or divisions randomly selected and included in the study
DSG Political DSG Finance & Administration DSG Productive and Social Sections
Federation
Political Affairs Director of Director of Human Director of Director of Social Sectors
Department Finance Resources and Admin Productive Sectors
International Finance Dept* Human Resources Agriculture, food Education, culture &
Relations Dept.* Management Dept.* security and rural sports sciences &
development* technology Dept.
Peace and Expenditure Human Resources Energy, environment Gender, community
Security Control Centre Management Division and natural Development and civil
Department resources society Dept.*
Accounts Training Division* Tourism & wildlife Health Dept.*
Division* development Dept.*
Payroll Division Administrative Dept. Industrial Labour and Immigration
Development Dept. Dept.
Budget Dept.* Protocol Division
Funding Division Procurement Division DSG Planning and Infrastructure
DSG Customs & Trade Conference Division* Directorate of Directorate Infrastructure
Planning and
Investment
Director of Director of Trade Stores Management Planning, Research, Transport and works
Customs M&E Dept.* Dept.*
Tariff and Internal Trade Security Division Statistics Dept.* Meteorology Dept.
Validation Dept. Dept.*
Procurement International Estates Management Fiscal and Monetary Civil Aviation and
Dept.* Trade Dept.* Division Affairs Dept. Airports Dept.
Prevention and SQMT Dept. Information Tech Dept.* Investment & Private Communications Dept.*
Enforcement Sector Promotion
Dept.* Dept.
Management Information Director of Human
Division* Resources and
Admin.
Information and Directorate of
Communications Division* Planning and
Investment
Library and Documentation Planning, Research,
Division* M&E Dept.*
*Represents 24 departments/divisions that were randomly selected and included in the study

3.6. Data Collection Methods

3.6.1. Tools

This study made use of two major tools for collecting data; these included a questionnaire with mainly
open ended questions and an interview guide. The questionnaire used is as attached in Appendix 1
while the observation guide is as attached in Appendix 2 and interview guide as appendix 3
3.6.2. Techniques

The techniques for obtaining data also varied from one on one interviews and observations
3.6.3. Interview

In-depth interview method was applied in the data collection, with aid of an interview guide. The
interviews were preferred for the effectiveness in capturing views and attitudes, and also at the same
22
time ensuring probes leading to capture in-depth information, knowledge and data concerning the
phenomenon of study.
3.6.4. Observation

This method was used to supplement and complement interviews in data collection. This involved
observing the current mechanism for the usage, work flow processes, information dissemination in the
EACS electronic document & records management system, the type of clients that use this information,
the number of clients that use the electronic document system, type of information inquiries received in
the management information division and the physical location of the users. This helped to identify the
main factors and their origin.

3.7. Data Analysis and Presentation


Primary data consisted of both quantitative and qualitative data. Quantitative from the questionnaire
was analysed by the computer using Statistical Package for Social Scientists (SPSS). Qualitative data
analysis involved editing of the data to sort out anomalies during and after field activities on daily basis,
coding data into themes and sub-themes, deriving meaning out of the data, interpretation of the data,
and summarizing, concluding and discussing the data.

Secondary data from documents was content analysed. According to Sedgwick (2011) Content
analysis is a “research technique for making replicable and valid inferences from data according to their
context”. In particular, the content analysis methodology places and codifies the text of a narrative into
different categories based on selected criteria (Weber, 1990). The chosen unit of analysis for the
objective means of content analysis is the sentence because it provides “complete, reliable, and
meaningful data for further analysis” (Milne and Adler, 1999, p. 243). After content analysis, key
findings were summarized and listed, and then subjected to interpretation.

3.8. Documentary Review

The study collected data from the review or relevant documents concerning, content, access and use of
the Electronic Document Management systems, with the purpose of capturing documented evidence
about the system.

23
CHAPTER FOUR
PRESENTATION AND DISCUSSION OF FINDINGS

4.0. Description of Respondents Interviewed


A total of 44 respondents were interviewed for this study. These comprised 26 males and 18 females.
The respondents mean years of experience at the EAC were computed as being 6.1 years. Also, the
mean age of respondents was 45.4 years. Data collection for this research was done in the month of
august 2015 (see appendix 5). Contrary to the initially planned departments to be interviewed, there
were variances in respondent’s employment departments. Appendix 4 shows the full list of departments
from which interviews were conducted while section 3.8 explains the rationale for which changes in
respondents departments were made.

4.1. State of Implementation of the EDRMS


Use of the EDRMS system in most departments at the EACS started in 2005. This study revealed that
use of the system had reached high adoption rates at the EACS as all respondents interviewed used
the system. As summarized in Table 4.1 the main use of the EDRMS system was found to be the
management of official records and documents by 47.7% of the respondents.
Table 4. 1. State of Implementation of the EDRMS at the East African Secretariat (N=44)
Category Valid % Category Valid%
Whether department uses the EDRMS Whether respondent receives support towards EDRMS
use
Yes 100 Yes 95.5
Main use of the EDRMS by the department Forms of support received towards EDRMS use (N=44)
Management of official records and 47.7 Refresher training 36.4
documents
Business process management 20.5 Study tours 4.5
Storage of information 31.8 Orientation on system user guides 31.8
How regularly the EDRMS is used by the department Continuous technical support 27.3
Daily 100 Further Support required to improve efficiency in using
EDRMS
Regular training 47.7
Factors driving use of the EDRMS in different Management support towards use of the 4.5
departments system
usefulness of the system to the job 31.8 Policies governing system use 4.5
Easy accomplishment of tasks 43.2 More computers for interns 11.4
using system increases productivity 20.5 More software 11.4
not so useful 4.5 More updated technologies 4.5
Successes achieved in using the system More technical support 4.5
increased productivity and work life balance 47.7 Cooperation with others 6.8
Easy retrieval of information 27.3 More staff needed 4.5
Reduced costs of operation 20.5
Tracking records and time tabling 4.5
Challenges encountered in using the EDRMS
System still being complicated to use 20.5
Lack of proper training and support 20.5
Incompatibility of the system with other 4.5
systems
Lack of management commitment in 47.7
supporting system use
Preference for old model computer systems 6.8
24
Other uses included using the system for storage of information and business process management by
31.8% and 20.5% of the respondents. The factors driving use of the EDRMS ranged from the systems
ability to easily facilitate accomplishment of tasks (43.2%), usefulness of the system to the job (31.8%)
and the systems’ ability to increase productivity (20.5%). Amongst the notable successes; the system
was credited as having increased productivity and work life balance (47.7%), facilitated easy retrieval of
information (27.3%) as well as for having facilitated reduction of operation costs (20.5%) and the
tracking of records and time tabling (4.5%). Use of the system was found to be hindered by some
challenges; the key challenge was cited as being the lack of management support in using the system
(47.7%) of the respondents. Other noted challenges included the lack of proper training in using the
system (20.5%), system still being found complicated to use (20.5%) and the incompatibility of the
system with other systems (4.5%) of the respondents.

Contrary to the identified challenges faced in implementing the EDRMS, this study revealed that most
respondents (95.5%) had actually ever received support towards using the system and that the support
received varied from refresher trainings in using the system (36.4%), orientation on system user guides
(31.8%), continuous technical support (27.3%) and some forms of study tours (4.5%). When asked to
identify needed areas of support to improve their efficiency in using the EDRMS, most respondents
(47.7%) were in favour of regular trainings followed by those in need for more software and computers
for interns (each at 11.4%). Other required forms of support included the need for technical support,
updated technologies and increased staffing (see Table 4.1).

4.1.1. Departmental Obligations towards Implementation of the EDRMS

The three highest perceived obligations of using the system by respondents included using the system
for research (about 32.5% of respondents), communication (about 20% of respondents), capturing data
and archiving of information (each scored by 10% of respondents) as summarised in Figure 4.1.

25
35

P 30
e Procuring requisitions
r 25
Research
c
20 Capturing data
e
n communication
15
t Archiving
a 10
Data analysis
g
e 5 Validation of records

0
Departmental Obligations in Using the EDRMS

Figure 4. 1: Departmental Obligations in Using the EDRMS (N=44)

4.1.2. Respondents Rating of the Use of the EDRMS

Most respondents interviewed (65.9%) rated the EDRMS as being averagely utilized. Those who rated
the system to be efficiently utilized were 27.3%, a few respondents (6.8%) rated the system as being
lowly utilized. Among the underlying reasons given to justify the ratings, the fact that the EDRMS is
used most of the time, the lack of proper training on using the system and the need for more
management support were ranked most highly by 29.5%, 18.2% and 15.9% of the respondents
respectively (see Table 4.2).

Table 4. 2. Rating of Respondent Use of the System (N=40)


How respondents rate use of the
EDRMS
Averagely Efficiently Lowly Valid
utilized utilized utilized %
Lack of proper training on using
13.6 0 4.6 18.2
the system
Not much utilized in department 4.5 0 2.3 6.8
used all the time 15.9 13.6 0 29.5
Reason for respondent rating of Sometimes complicated to use 6.8 0 0 6.8
the system Not bad but would do better 9.1 0 0 9.1
Some elements need to be added 4.5 06 0 4.5
Need for more management
11.4 4.5 0 15.9
involvement
Nothing is done outside the
0 9.1 0 9.1
system
Percent 65.9 27.3 6.8 100

26
4.2. Factors Influencing Effective Implementation of the EDRMS

The researcher looked at personal, managerial and IT related factors when doing the following
research.
4. 2.1. Influence of Personal Factors on EDRMS Implementation
This study assessed how personal attributes affect using of the EDRMS at the EACS. Assessed
personal attributes comprised of: experience in using the EDRMS; perceived ease of use of the
EDRMS; attitude towards using the EDRMS; encouragement by others towards using the EDRMS;
personal job outcome expectations when using the system and motivation towards use of the EDRMS.
Results are presented in Tables 4.3 and 4.4.

Table 4. 3: Rating of how Experience, Ease of use and Attitude affect Effective Implementation
of the EDRMS
Experience using the EDRMS Justification to how experience affects using the EDRMS (N=40) Percentage
Does Extent to which System Sometimes Lack of
Experience experience experience system is slow System is experience
affect EDRMS affects use of eases doing especially when reliable makes it hard to
use the EDRMS work working online carry out tasks
Yes Weak 0 0 0 12.5 12.5
Yes Strong 12.5 7.5 5 0 25
Yes Very strong 32.5 0 12.5 17.5 62.5
% 45 7.5 17.5 30 100
Ease of use of the EDRMS Justification to how ease of the EDRMS affects its use (N=40)
Using system is
Does ease of Extent to which
System is easy System is System easy mandatory
use of the ease of the
to use and somehow to understand whether it is
EDRMS affect EDRMS affects
understood complicated with training easy to use or
its use its use
not
Yes Weak 0 2.5 0 7.5 10
Yes Strong 45 10 2.5 2.5 60
Very strong 12.5 5 10 2.5 30
Yes
% 57.5 17.5 12.5 12.5 100
Attitude towards use of the Justification to how attitude towards the EDRMS affects it use
EDRMS (N=42)
Extent to which
Whether Positive Negative
attitude Find the system
attitude affects attitude allows Prefer old attitude biases
towards at mediocre
use of the me to use the system how the system
EDRMS affects level
system system more is viewed
its use
Yes Strong 66.7 9.5 4.8 4.8 85.7
Very strong 14.3 0 0 0.0 14.3
Yes
% 81.0 9.5 4.8 4.8 100

Table 4.3 shows that of the three personal attributes (experience in using the system, ease of use of
the system and attitude towards using the system) experience had the highest percentage of
respondents (62.5%) rating it as having very strong effect followed by ease of use of the system (30%)
and attitude had only 14.3% of respondents rating it to have very strong influence. Although rated least
27
amongst the three factors in regards to having very strong influence, attitude had the highest
percentage of respondents (85.7%) scoring it as having strong influence on the EDRMS, it also did not
have any respondents scoring it as having weak influence. In general, summary statistics in Table 4.3
also indicate that attitude had all respondents (100%) scoring it as being strong and very strong, this
was followed by ease of use (90% of respondents) and experience 87.5% of respondents.

Table 4. 4: Rating of how encouragement, personal job expectations and Motivation affect
Implementation of the EDRMS

Encouragement Justification to how encouragement by others affects use of the EDRMS (N=44) Percenta
ge
System
Extent to Everyone Many
sharing Most Every
which Easy if effectively people Some
has led employe one
encourage System Best one has communic use it employe
to loss es have uses
ment used by option so the ates and to refer es use
of learnt the
affects use all far right receives to system
stored the syste
of the training data anythin wrongly
docum system m
EDRMS effectively g
ents
Weak 4.5 2.3 0.0 0.0 0.0 0.0 0.0 0.0 0.0 6.8
Strong 22.7 6.8 9.1 4.5 9.1 0.0 0.0 0.0 2.3 54.5
Very
9.1 2.3 0.0 2.3 0.0 2.3 18.2 2.3 2.3 38.6
strong
100.
% 36.4 11.4 9.1 6.8 9.1 2.3 18.2 1 4.5
0
Personal Job Expectations Justification for job
expectations (N=42)
Expect Expect System
Extent to
all data to have simultane Organises More
which Offers
processe accurat ously work, the space Eases
personal System more
s to be e work shares more for daily Very
factors is very security
streamlin and informatio organised archivi work good
affect use fast on bio
ed and more n with the work ng of routine
of the data
processe time different the better files
EDRMS
d saved users
Weak 7.1 4.8 0.0 0.0 0.0 0.0 0.0 0.0 0.0 11.9
Strong 7.1 4.8 0.0 0.0 4.8 0.0 0.0 0.0 0.0 16.7
Very
14.3 26.2 4.8 4.8 9.5 2.4 4.8 2.4 2.4 71.4
strong
100.
28.6 35.7 4.8 4.8 14.3 2.4 4.8 2.4 2.4
% 0
Motivation Justification as to how motivation affects using EDRMS (N=44)
Syste
Inadeq System
m has
Extent to Managers uate graphic Very
System Shared Made Everyone to be
which have not time to s and organiz
produce use of routine is taught used
motivation shown the exploit databa ed and
s some work how to wheth
affects use urgency of usefuln se easy to
accurate machin manage use the er
of the using the ess of demoti docume
work es able system motiva
EDRMS system the vate nt files
ted or
system use
not
2.3 0.0 6.8 0.0 0.0 0.0 4.5 0.0 0.0 13.6
Weak
0.0 0.0 4.5 0.0 0.0 2.3 9.1 0.0 0.0 15.9
Strong 4.5 4.5 6.8 2.3 4.5 0.0 0.0 18.2 0.0 40.9
Very
2.3 0.0 9.1 0.0 2.3 0.0 0.0 4.5 13.6 29.5
strong
100.
% 9.1 4.5 27.3 2.3 6.8 2.3 13.6 22.7 13.6
0
28
The rating of how encouragement, personal job expectations and motivation affect effective
implementation and use of the EDRMS is summarized in Table 4.4. Personal job expectations had the
highest percentage of respondents (71.4%) rating its influence on implementation of the EDRMS as
being very strong. Fewer respondents (38.6% and 29.5%) respectively rated motivation and
encouragement to very strongly influence the effective implementation and use of the EDRMS. The
biggest drivers under personal job expectations were identified as being the expectation that “all data
processes can be streamlined and processed” by using the EDRMS (28.6% of respondents) and the
expectation that by using the EDRMS users can have “accurate work and more time saved” (35.7% of
respondents).

4.3. Influence of Managerial Related Factors on Implementation of the EDRMS

This study assessed the role management plays in influencing effective use and implementation of the
EDRMS. Managerial influence was assessed based on the following; ability of the system to achieve
expected work output quality, relative advantage of using the system compared to other methods,
expected long term benefits of using the system, availability of facilitating conditions to use the system,
training and support towards using the system, training on ICT and records management and related
polices, cross learning with other institution and management commitment in using the system.

As regards to system ability to achieve expected output quality (see Table 4.5), most respondents
(60%) rated the systems’ influence as being strong. Justifications for this rating by most respondents
included: the system having capabilities that make work easy (20%), ability of the system to securely
store data (20%) and the ability to use system for undertaking surveys (7.5%).

Relevancy of the system to job requirement was noted as being very strong by majority of respondents
(61.9%) with 21.4% of all respondents noting that the EDRMS is fast, accurate and fosters
transparency in work. Amongst all justifications regarding system relevancy to work, its nature of being
fast, accurate and with ability to foster transparency was the most given justification (31% of all
respondents). This was followed by that the fact that the EDRMS is useful in data storage (16.7%) of
respondents and that the system is compatible (14.4%) as summarized in Table 4.5.
Rating of the EDRMS Vis a vis its ability to meet long term benefits had the highest majority of
respondents (63.6%) scoring the system as having a very strong influence towards implementing and
using the EDRMS. The major justification for this rating was that the system allows easy storage and
retrieval of data (refer to Table 4.5).

29
Table 4. 5: Rating of how achieving expected output quality, job relevancy and meeting
expected long term benefits influence EDRMS use
Achieving expected Justification for which using the system supports achieving expected output quality (N=40) Percenta
quality output ge
Extent to System System Securel Surveys We use Allows Provide Maintain
which database has y basing on the easy s s backup
EDRMS understoo inbuilt stores data system in separati valuable copies of
supports d by capabiliti data collected the on of and well records
achieving evaluation es that can be employee confiden accurat
expected teams make done managem tial e data
output work ent records
quality very system
easy
Yes Weak 0 0 0 7.5 0 0 0 0 7.5
Yes Strong 2.5 20 20 7.5 5 0 2.5 2.5 60
Very
Yes 2.5 15 10 0 0 5 0 0 32.5
strong
Percentag
5 35 30 15 5 5 2.5 2.5 100
e
Relevancy to job Justification as regards to relevance of the EDRMS to job requirements (N=42)
requirement
Whether Extent to EDRMS Supports EDRM Facilitates Securely Rarely Is
EDRMS is which is fast, organizin S is easier stores use the compati
considere EDRMS is accurate g useful decision data system ble
d relevant considere and database in data making
to d to job fosters s and storage through
requireme requireme transpare simplifyin quicker
nts nts ncy g access to
calculati informatio
ons n
Yes Weak 0 0 0 0 0 9.5 0 9.5
Yes Strong 9.5 0 7.1 7.1 0 0 4.8 28.6
Very
Yes 21.4 9.5 9.5 7.1 4.8 0 9.6 61.9
strong
Percentag
31 9.5 16.7 14.2 4.8 9.5 14.4 100
e
Meeting expected Justification on how expected long term benefits of using the EDRMS affects its use (N=44)
long term benefits
Do Rating of Allows Provides System Is cost Allows systems A wider Maintaini
expected how easy accurate allows effective correction can be researc ng of
long term expected storage data for faster since of used for h base records
benefits of long term and easy executi work is databases data is security
using the benefits retrieval executio on of stored created storage expecte
EDRMS affect use data n of tasks electronic with and for d to be
affect its of the tasks ally mistakes future covered
use EDRMS referenci
ng
Yes Weak 6.8 0 0 0 0 0 0 0 6.8
Yes Strong 6.8 13.6 4.5 4.5 0 0 0 0 29.5
Very
Yes 31.9 0 9.1 2.3 2.3 4.6 4.6 9.1 63.6
strong
Percentag
43.2 13.6 13.6 6.8 2.3 4.6 4.6 9.1 100
e

Further, all respondents highlighted that using the system had relative advantage over other systems
and that this relative advantage very strongly influenced the effective use and implementation of the
EDRMS (80% respondents). The most justifications given to explain the rating of relative advantage
included the ability of the EDRMS to reduce search time for documents (45%), the EDRMS being fast,
accurate and efficient (25%) and the ability of the system to prevent overwriting of records (15% of
respondents) see summary statistics in Table 4.6.
30
Table 4. 6: Rating of how relative advantage, cross learning, Training and availability of
facilitating conditions influence implementation of EDRMS

Relative Advantage of using Justification of EDRMS relevance to job requirements (N=40) Percentage
EDRMS
Is use of the Extent to EDRMS is faster, EDRMS Facilitates EDRMS EDRMS
EDRMS of which EDRMS accurate and reduces easy records are prevents
relative use is or efficient in search time for information less likely to overwriting of
advantage to relative sharing and documents sharing be records
other advantage to storing of compared to destroyed
systems? other systems requisitions for reading books compared to
future reference papers
Yes Strong 10 10 0 0 0 20
Yes Very strong 15 35 10 5 15 80
Percentage 25 45 10 5 15 100
Cross learning Justification for responses on whether cross learning about use
of the EDRMS with other institutions affects its use (N=38)
Does cross To what extent Enables Allows There has Has
learning does cross identification of comparison for not been improved
affect use of learning affect gaps within improvement engagement utilisation of
the EDRMS? use of the system as much as the EDRMS
EDRMS? it should
Yes Weak 0 0 7.9 0 7.9
Yes Strong 21.1 13.2 7.9 10.5 52.6
Yes Very strong 15.8 10.5 2.6 10.5 39.5
Total Percentage 36.8 23.7 18.4 21.1 100
Training in ICT and records Justification for responses on why training in ICT and records affects use of the
EDRMS (N=40)
Does training To what extent Results in more Management received Need for Management
in ICT and does training knowledge and has training and more gives less
records in ICT and hence efficiency emphasized refresher training attention to
affect records affects using EDRMS courses on staff training
EDRMS use of the through use of
use? EDRMS? training EDRMS
Yes Weak 0 0 0 5 0 5
Yes Strong 15 20 5 5 0 40
Yes Very strong 27.5 17.5 7.5 12.5 7.5 55
Percentage 42.5 37 12.5 7.5 7.5 100
Availability of facilitating Justification for reasons on how availability of facilitating conditions affects use
conditions of the EDRMS (N=40)
Whether Extent to Improves System is well Computers Updated System
availability of which efficiency in using backed up are well systems sometimes
facilitating availability of the system distributed make work crushes and
conditions facilitating more liable support takes
affects use conditions long, making it
of the affects use of unreliable
EDRMS the EDRMS
Yes Strong 12.5 7.5 5 7.5 5 37.5
Yes Very strong 25 15 5 10 7.5 62.5
Percent 37.5 22.5 10 17.5 12.5 100

Further to managements’ commitment in supporting implementation and use of the EDRMS,


respondents highlighted that management had undertaken the following measures; put in place
necessary systems (25% of respondents), procured necessary hardware (20% of respondents),
emphasised use of the EDRMS (15% of respondents) and established improved policies and
procedures for implementing the EDRMS (12% of respondents). Other measures highlighted included
the established of restrictions regarding EDRMS use, provision of leadership and supporting training by
8%, 10%, 10% of respondents respectively.

31
Management Commitment towards Use of the EDRMS

Put in Place Necessary Systems


10%
Established Improved policies
25% and procedure for EDRMS
Emphasizes use of EDRMS
20%
Established restrictions on
system usage
Provides Leadership
12%
10%
Procured necessary hardware

8% 15% Supported Training

Figure 4. 2: Management commitment towards supporting implementation of the EDRMS

4.4: Influence of IT Related Factors on Effective Implementation and Use of the EDRMS
This study assessed for respondent views on how different IT related factors affect the EDRMS
effective implementation and use. Assessed factors varied from training in use of the EDRMS,
complexity of the EDRMS, compatibility of the EDRMS, availability of system support, availability of
EDRMS soft and hardware and EDRMS ability to yield results. The questions used for assessment
initially required the respondents to give their views on whether the assessment variable affected
effective use and implementation of the EDRMS, respondents would then be asked to rate how the
assessment variable affects using a scale of weak effect, strong effect and very strong effect; having
rated respondents would then be asked to justify their reasons for rating. The Figures 4.3 Present
results based on respondent’s perception of how IT related factors were perceived to affect use and
implementation of the EDRMS.

Summary results in Figure 4.3 indicate that all of the respondents found the assessment variables to
have an influence on EDRMS use and implementation. With exceptions of training and EDRMS ability
to yield results which all respondents noted as having influence, availability of the EDRMS soft and
hard wares, availability of system support, compatibility of the EDRMS and complexity of the EDRMS
were reported to have influence on effective use and implementation of the EDRMS by 95.5%, 95.5%,
68.2%, and 84.1% of respondents.

32
Figure 4.3: Respondent perception of whether assessed IT related factors affect use and
implementation of the EDRMS (N=44)

The rating of the extent to which the different variables were perceived to affect effective
implementation and use of the EDRMS also varied. The availability of EDRMS system support had the
most respondents (about 59%) rating it as having a very strong influence. This was followed by
compatibility of the EDRMS (about 41%) and complexity of the EDRMS (about 23%) of respondents.
The other variables were highlighted as having either a strong or weak influence. Availability of the
EDRMS soft and hardware had the most respondents (about 80%) rating it as having a strong
influence, followed by the EDRMS ability to yield results (about 73%) of respondents. Training on the
use of the EDRMS had the highest score of respondents (rating it as having a weak influence on
EDRMS effective use and implementation (see Figure 4.4).

33
Figure 4. 4: Respondent rating of how assessed IT variables affect implementation and use of
the EDRMS (N=44)
Justification for the given ratings also varied per variable. For training, the most respondents (about
41%) were of the view that training improved efficiency and all trained personnel in essence become
conversant on use of the system, this was followed by those who felt that training had made use of the
EDRMS simpler and faster. In as far as regards complexity of the EDRMS, most respondents (about
36%) highlighted that the system sometimes became complex to use. The others (20.5%) highlighted
that the system was not complex and that some machines are complex to use (also 20.5%). In regards
to compatibility, the most respondents (27.4%) indicated that the system was very compatible given its
availability in English and that the systems compatibility improved with efficiency of use (25%). The
most reason respondents justified their rating of system support indicating that system support was
sometimes not received timely (38.6%) and that management had given less attention in monitoring
system support (29.5%). Justification for availability of EDRMS soft and hardware had the majority
respondents (50%) saying that soft and hardware was readily available from the IT department while
most respondents (about 43%) gave the justification that that EDRMS is faster, efficient and produces
accurate information to justify the EDRMS ability to yield results. The justifications for different IT
related variables are as summarised in Figure 4.5.

34
35
Figure 4. 5: Justifications for how assessed IT related variables affect effective implementation
and use of the EDRMS

5. EDRMS at EACS

It was observed that EACS uses an EDRMS called HP TRIM Software; the current version is 7.2.1
Build 3519. Screen shots for the HP TRIM system are attached herewith as Appendix 7.

36
CHAPTER FIVE

SUMMARY, CONCLUSION, RECOMMENDATIONS AND POLICY IMPLICATIONS

5.0. Introduction
This chapter presents the summary, conclusion, recommendations and policy implications of the factors
affecting the implementation of an electronic document & records management system at the East
African Community Secretariat.

5.1. Summary of Findings of the Study

5.1.1. State of Implementation of the EDRMS at the EACS

A total of 44 respondents were interviewed, all acknowledged use of the EDRMS in their respective
departments and that use of the EDRMS started as way back in 2005. Some uses of the EDRMS
included: the management of official records and documents (47.7%), using the system for storage of
information and business process management 31.8% and 20.5% of the respondents respectively. The
factors driving use of the EDRMS ranged from the ability of the system to facilitate accomplishment of
tasks (43.2%), usefulness of the system to the job (31.8%) and the ability to increase productivity
(20.5%). Amongst the notable successes; the system was credited as having increased productivity
and work-life balance (47.7%), facilitated easy retrieval of information (27.3%), facilitated reduction of
operation costs (20.5%), enabled the tracking of records and time tabling (4.5%). Challenges hindering
EDRMS use reportedly included: the lack of management support in using the system (47.7%), the lack
of proper training in using the system (20.5%), system still being found complicated to use (20.5%) and
the incompatibility of the system with other systems (4.5%) of the respondents. Contrary to identified
challenges, this study revealed that most respondents (95.5%) had actually ever received support
towards using the system. Identified needed areas of support to improve efficient use of the EDRMS
included need for: regular trainings (47.7%), more software and computers for interns (each at 11.4%),
need for technical support, updated technologies and increased staffing.
Overall, 27.3% of respondents rated the EDRMS as efficiently utilized, 65.9% as averagely utilized, and
6.8% as lowly utilized.
5.1.2. Factors Influencing Implementation of the EDRMS

Influence of Personal Factors


Assessed personal attributes comprised of: experience in using the EDRMS; perceived ease of use of
the EDRMS; attitude towards using the EDRMS; encouragement by others towards using the EDRMS;
personal job outcome expectations when using the system and motivation towards use of the EDRMS.
Of experience, perceived ease of use of the system and attitude, experience had the highest
37
percentage of respondents (62.5%) rating it as having very strong effect followed by ease of use of the
system (30%). Attitude had only 14.3% of respondents rating it to have very strong influence, it
however had the highest percentage of respondents (85.7%) scoring it as having strong influence on
the EDRMS and did not have any respondents scoring it as having weak influence.
The rating of how encouragement, personal job expectations and motivation affect effective
implementation and use of the EDRMS indicated that personal job expectations had the highest
percentage of respondents (71.4%) rating its influence on implementation of the EDRMS as being very
strong. Fewer respondents (38.6% and 29.5%) respectively rated motivation and encouragement to
very strongly influence the effective implementation and use of the EDRMS. The biggest drivers under
personal job expectations were identified as being the expectation that “all data processes can be
streamlined and processed” by using the EDRMS (28.6% of respondents) and the expectation that by
using the EDRMS users can have “accurate work and more time saved” (35.7% of respondents).

Influence of Managerial Related Factors


Managerial influence was assessed based on the following; ability of the system to achieve expected
work output quality, relative advantage of using the system compared to other methods, expected long
term benefits of using the system, availability of facilitating conditions to use the system, training and
support towards using the system, training on ICT and records management and related polices, cross
learning with other institution and management commitment in using the system.
As regards to system ability to achieve expected output quality, most respondents (60%) rated the
systems’ influence as being strong. Justifications for this rating by most respondents included: the
system having capabilities that make work easy (20%), ability of the system to securely store data
(20%) and the ability to use system for undertaking surveys (7.5%). Relevancy of the system to job
requirement was noted as being very strong by majority of respondents (61.9%) with 21.4% of all
respondents noting that the EDRMS is fast, accurate and fosters transparency in work. Rating of the
EDRMS Vis a vis its ability to meet long term benefits had the highest majority of respondents (63.6%)
scoring the system as having a very strong influence towards implementing and using the EDRMS. The
major justification for this rating was that the system allows easy storage and retrieval of data. Further,
all respondents highlighted that using the system had relative advantage over other systems and that
this relative advantage very strongly influenced the effective use and implementation of the EDRMS
(80% respondents).

Influence of IT Related Factors


Assessed factors varied from training in use of the EDRMS, complexity of the EDRMS, compatibility of
the EDRMS, availability of system support, availability of EDRMS soft and hardware and EDRMS ability

38
to yield results. All respondents found the assessment variables to have influence on EDRMS use and
implementation. With exceptions of training and EDRMS ability to yield results, availability of the
EDRMS soft and hard wares, availability of system support, compatibility of the EDRMS and complexity
of the EDRMS were reported to have influence on effective use and implementation of the EDRMS by
95.5%, 95.5%, 68.2%, and 84.1% of respondents.
In rating how the variable influence implementation and use of the EDRMS, the availability of EDRMS
system support had the most respondents (about 59%) rating it as having a very strong influence
followed by compatibility of the EDRMS (about 41%) and complexity of the EDRMS (about 23%) of
respondents. The other variables were highlighted as having either a strong or weak influence.

5.2. Conclusion

This study concludes that: the East African Community Secretariat (EACS) designs initiatives to
continuously train its employees on the EDRMS according to department requirements; management
needs to take strong leadership in supporting EDRMS use through appropriate strategies; a post
implementation review of the EDRMS use at the EACS needs to be undertaken to substantiate
preliminary findings of this study.

5.3. Recommendations
The study makes the following recommendations;
5.3.1. Appropriate Training

One of the challenges for a company implementing EDRMS is to find an appropriate plan for training
end-users so that they will continue to use the system after it has been implemented (Ngulube, 2012).
At the East African Community, users are given one-on-one training on the basic functionalities of the
system. The training needs to be paced according to unit requirements. For users to fully understand
how the system impacts on their function, they need to understand the various business processes
behind the EDRMS. Training new users of the system also creates some difficulties, including the
diversity of the users, the complexity of the new systems and the variety of training methods. It is
recommended that the training method be paced correctly, with a lot of practice sessions in between;
so that employees are given time to fully understand the system and what they are supposed to do.
Manuals must be simplified and adapted so that knowledge transfer is effectively done. People need
step-by- step/graphical guides and easy tips to follow, for them to adapt to the new system. Internal
training capacity needs to be developed to deal with ongoing training needs. What came out of the
interviews was the lack of policies and procedures that support EDRMS implementation. In most cases
the policies and procedures only came long after the implementations, usually as corrective measures
once it became evident that the users were not complying. It is important to ensure that EDRMS
processes and procedures are part of the way that people do their jobs, that these processes and
39
procedures are integrated in policy and procedure documents and induction packs and that this is
communicated formally in briefing and training sessions to the intended users.

5.3.2. Management Commitment

The interviewees felt that the EDRMS lacked alignment, a leadership function, with organizational
strategic objectives. Top management should be able to see an EDRMS as part of the broader
organizational strategy and business goals. If top management embraces this approach EDRMS will be
given the necessary support and sponsorship it deserves. There is a need for a clear and shared vision
of where the organization is going and how the project fits into the journey. Effective strategies should
be put in place to deal with issues of management involvement. (EAC, 2011)
Laura Smith, (1998) provides evidence that the EDRMS project cannot succeed without the
involvement of the leadership, who must understand the system, the needs of their departments, how
the system impacts on the business as a whole and their branch’s procedures in particular. Effective
strategies that can be adopted to deal with issues of leadership involvement include:
 getting a higher authority to direct leadership to get involved in the project
 the project team changing their approach to getting this involvement
 Providing the leadership with support and coaching on their roles for chance.

The last strategy could be effective in getting leadership involvement in the project. Once managers
understand their role in the project, a formal contract can be put in place, which can be included in their
performance contract and measured.

5.3.3. Post Implementation Programme

An EDRMS should not be allowed to continue indefinitely without a post-implementation review in place
(Ngulube, 2012). EAC doesn’t have had a post-implementation programme in place, while the lack of
post-implementation evaluation measures meant that any shortcomings in the implementation and
operational processes are left undetected. Ngulube, (2012) argues that the most important aspect of
the post-implementation programme is ensuring that its benefits were being realized. All benefits,
tangible and intangible, need to be well managed. For tangible benefits, financial implications need to
be managed to ensure that the EAC gets a return on its investment from its EDRMS. Dis-benefits, both
tangible and intangible, will also need to be managed. Tangible dis-benefits include implementation
cost, ongoing system management, ongoing costs of system management and administration, training
and scanning.
For the EAC one of the dis-benefits that need to be managed are people who print documents from the
system when travelling to other centers. This is viewed as a dis -benefits because of the high cost of

40
printing and also users not completing the automated processes on the system. Monitoring user
feedback and acting on it need to be included in the post-implementation programme. The help desk
report will provide the EAC records team with a baseline for assessing how users are coping with the
new system. The team should have standing meetings to access problems/issues that users are
experiencing. An electronic questionnaire as part of the post-implementation review will also throw light
on how users are interacting with the system. This could be distributed via MS Exchange and the
feedback will give pointers to areas that need further enhancement and attention.

5.3.4. Change Management Programme

Change management has been widely cited in EDRMS implementation literature and the EDRMS
implementation literature and most of the interviewees at EACS stress the need to include a change
management from day one. The implementation of an EDRMS has a great influence on how people
work and they will need cognitive and emotional support throughout the implementation process and for
a reasonable time after the implementation. There should be a dedicated change manager to
implement the adopted change management strategy and plan. The plan should provide details of
change management interventions in the following components:
 Leadership and sponsorship
 Stakeholder commitment
 Change-specific communication
 Organization alignment, and
 Change team and change capacity.

Continuously marketing of EDRMS by using a push-pull approach should be made a priority.


Communication about the system investigated was not adequate; communication needed to commence
as soon as possible, which did not. There is a need for a continuous and visible campaign with
consistent key messages to create awareness of and credibility for the project.
To improve creditability, high-level messages need to be communicated regularly by the leadership.
Interactive communication to provide opportunities to engage employees and enable them to
participate in the success of the project should also be put in place. By institutionalizing change, there
is a greater chance of making it permanent. By including the proper use of EDRMS processes and
procedures in the performance management process of employees it becomes measurable; employees
are encouraged to use it as it affects their ratings at the end of the year. Another benefit of including it
in the performance management process is that interventions can be implemented and monitored
where employees are not adhering to the new processes.

41
5.3.5. Integration of the System With Other Systems

EDRMS Systems need to consider linking a number of solutions such as electronic document
management system, electronic records management system, and workflow solutions into a unit. If the
system is to be integrated, especially with third-party software systems, some aspects need to be
considered during the business case stage. (Forlano, L. 2004).The EAC implementation team should
look at cost versus benefits, the risks involved, how the implementation will be done and what the
dependencies are. Planning should be done in such a way that there are competent resources for
completing the integration. If integration is left until very late in the implementation, it could delay the
implementation process. File plan design and deployment have a major impact on the usability of the
system, so their design and deployment must maximize ease of use and performance for users. The
file plan should go through the user consultation and approval process following the EAC records &
archives management policy. The file plan needs to be started as early as possible and users have to
be involved from the outset. In the project plan, enough time should be set aside for consultation
meeting and workshops with various departments. The integration of the EDRMS with the file plan is
important in the implementation process. Each element of the integration should be planned and the
right people need to be involved, for example, IT, Records Officers, and users.

5.3.6. Disaster Recovery Plan

Although interviewees acknowledged the importance of a Disaster Recovery Plan, most did not have
one in place after the system implementation. If this is left until after implementation, it will have a
serious impact if the system goes down, as documents will not be available.

5.4. Limitations of the Study

i. The participants were so busy due to the different work schedules, most of them were always in the
field, and when they are at their desks, they had limited time. The researcher interviewed the
participants whenever they were available and on appointment. Most of them were cooperative.

ii. Sometimes the interviews were interrupted by phone calls, visitors, in this way time was consumed
as the researcher had to wait while the participant attends to the phone call or visitor.

iii. Some of the participants did not want to be interviewed, for fear of giving information that will lead
to the downfall of the organization. The researcher informed the participants, that the information
provided will be used strictly for academic purposes.

42
5.5. Policy Implications

This research study will suggest that the EAC partner states, council of ministers and EAC
management come up with policies on how they can improve and promote more the use of electronic
records and document management systems in information sharing, communication and collaboration
between the EAC organs, institutions and coordinating ministries in the partner states. This can be so
by fast tracking the electronic transactions bill 2014 which will allow the use of electronic documents,
emails, digital signatures as mode of communication in the East African Region and beyond.

5.6. Areas of Further Research

The research covered only the East African Community Secretariat departments. The time limitation for
this research did not allow for a comparison between findings on different types of organizations i.e.
The East African Court of Justice (EACJ), The East African Legislative Assembly (EALA), EAC
institutions, EAC organs, EAC partner coordinating ministries in the partner states and other
organizations.
Since the focus was only on the East African Community Secretariat departments, further research
could focus on how these factors differ among various types of organizations, i.e. between Government
organizations, EAC organs, institutions, and the private sector. Different conclusions might therefore be
derived by studying different types of organizations. Research needs to be undertaken to establish
whether the impact of identified factors may differ between smaller organizations.
Further research could also be conducted on the two strategic factors, top management commitment,
appropriate training and change management, that have proved to have significant impact and are
extremely important in an EDRMS implementation.

43
CRITICAL EVALUATION OF THE STUDY

6.0. Introduction
This chapter presents a critical evaluation of the factors affecting the implementation of an electronic
document & records management system at the East African Community Secretariat.

6.1. Experiences Faced When Conducting this Study


This study was conducted in three months July – September 2015. The scholar went through the
following experiences.
6.1.1. Positive Experience
The researcher is an IT and records management enthusiast, was driven by the fact that electronic
records & document management is a new phenomenon in Africa. Most IT and Records Management
experts in East Africa are just picking up on the concept of electronic records and document
management system implementation. The researcher conducted a study visit to the United Nations
International Criminal Tribunal for Rwanda (UNICTR) and was overwhelmed with the electronic records
management projects that have been implementation and the vast systems they are using to manage
records. This learning tour inspired the researcher to learn more about electronic records and document
management systems. This is one of the reasons why the researcher decided to carry out a research
on electronic records and document management systems (ERDMS)
In addition the research also used this study to attain more knowledge on electronic records and
documents implementation and how they can be used to transform organizations from manual
processes to electronic or digital processes. The study also made known to the researcher that once
the EAC completes the automation its manual records and digitization most of the manual processes it
will be a model for other Regional Economic Communities (RECs). Others RECs in the region have not
yet automated their records and records management processes (Sarah Kagoda – Batuwa, 2011). For
example COMESA, SADC
The researcher was impressed by the respondents’ comments or responses that showed that they had
interest in the electronic records and document management systems and viewed it as the best way to
management records within the organization.
6.1.2. Negative Experiences
However, the researcher faced inadequacies as below;
i. The participants were so busy due to the different work schedules, most of them were always
in the field, and when they are at their desks, they had limited time. The researcher interviewed
the participants whenever they were available and on appointment. Most of them were
cooperative.

44
ii. Sometimes the interviews were interrupted by phone calls, visitors, in this way time was
consumed as the researcher had to wait while the participant attends to the phone call or
visitor.

iii. Some of the participants did not want to be interviewed, for fear of giving information that will
lead to the downfall of the organization. The researcher informed the participants, that the
information provided will be used strictly for academic purposes.

6.2. Project Management Techniques


Time management was one of the project management skills applied when carrying out this study.
Attached to this report is the appendix showing the research schedule.
The researcher also sourced for financial resources to fund the travels, secretarial typing, printing and
photocopying, binding, information access using internet services and library services.
The information presented in this study is smart and measurable, by the number of people who use the
electronic document and records management system and has policy implication.
Given a chance to repeat this same project I would do a more in-depth literature review, reach out to
the East African Community Ministries in the partner states, EAC organs and Institutions. Visit other
international electronic document & records management implementation projects for example the
United States Department of Defense that has one of the largest electronic document and records
management system databases. In other words the research would not be limited to only the EACS
staff, but also the EAC institutions, organs and EAC coordinating ministries in the partner states.

45
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48
APPENDIX 1: QUESTIONNAIRE

INSTITUTE OF ACCOUNTANCY ARUSHA COVENTRY UNIVERSITY (UK)

IN COLLABORATION WITH

RESEARCH TOPIC: FACTORS AFFECTING THE IMPLEMENTATION OF ELECTRONIC


RECORDS AND DOCUMENT MANAGEMENT SYSTEMS IN THE PUBLIC
SECTOR: A CASE STUDY OF THE EAST AFRICAN COMMUNITY
SECRETARIAT

Dear Respondent,

My name is Cranimer Mukwaya; I am a graduate student from the Institute of Accountancy Arusha (IAA). IAA is
in collaboration with Coventry University, UK. I am pursuing a Master of Business Administration – Information
Technology Management (MBA – ITM).

This questionnaire forms part of a Master’s Degree research project. The project aims at examining the factors
affecting the implementation of an electronic document and records management system at EACS. It also seeks
to come up with an appropriate model for improving the implementation and use of the system. Because you
work for one of the organs/institutions of the EAC, and/or you are a user of the system, I request you to
participate in this study by completing the attached questionnaire.

There is no compensation for participation, nor is there any known risk. To ensure that all information remains
confidential, please do not include your name. Honestly answer all questions and return the completed
questionnaire to the signed person/office or send it by email. The data collected will provide useful information
for improving the implementation of the electronic records and document management system at EAC.
Completion and return of the questionnaire will indicate your willingness to participate in this study. If you require
additional information or have questions, please contact me at the number listed below.

Thank you for taking the time to assist me in my educational endeavour.


Sincerely,
Cranimer Mukwaya
49
Instructions:
Please tick against appropriate box (es) that represent your choice(s) for each question and/or complete the
entry spaces (where applicable)
Section A: Contact Information
Position held ___________________________________________
Sex of respondent _______________________________________
Age in Years ___________________________________________ (Years)
Number of Years/Experience in the position___________________
Name of Directorate and Department_________________________

Section B: State of the Electronic Records and Document Management System at the EAC
1. What is the major use of ICT in your section?
1. Communication
2. Research
3. Data Storage
4. Data Processing
5. Other (please explain) ___________________________
2. Has your department/section used ICT in records management?
1. Yes
2. No
3. Do not know
3. Does you directorate/department use the electronic records management system?
1. Yes
2. No
3. Not Sure
4. When did the use of the digital records management system start in your department?
1. 1999
2. 2005
3. 2008
4. Not Sure
6. In what format are the electronic records stored by your department?
i. Images Files
ii. Data Files
iii. Text files
iv. Databases
v. Other, (please explain)
_________________________________________________________________
7. What is the electronic records management system mainly used for by your department?
1. Management of official Records and Documents
50
2. Business process management
3. Storage
4. Other, (Please explain)
______________________________________________________________
8. How regularly do you use the electronic records management system?
Daily
At least once a week
At least once a month
Once in a long while
Others (specify)

9. What factors drive the use of the electronic records management system by your department?
1. I find the system useful in my job
2. Using the system enables me to accomplish tasks easily
3. Using the system increases my productivity
4. Other, (Please explain)
___________________________________________________________________
10. What successes have you as a directorate/department achieved in using the electronic records management
system?
1. Increased productivity and work-life balance
2. Easy retrieval of information
3. Securely sharing of information
4. Reducing costs through decreased paperwork
5. Other, (Please explain)
__________________________________________________________________
11. What challenges have you encountered in using the electronic records management system?
1. The system is complicated
2. Lack of proper training and support
3. The system is not compatible with other systems
4. Lack of management commitment regarding system use
5. Other, (Please Explain)
_____________________________________________________________
12. Do you receive support towards use of the electronic records management system?
1. Yes
2. No
3. Not Sure
13. What forms of support have you or your directorate/department ever received towards use of the electronic
records management system?

51
1. Refresher training
2. Study tours
3. System User Guides
4. Technical support
5. Other, (Please Explain)
___________________________________________________________________
14. What further support do you require to improve the efficient use of the electronic records
management system?
___________________________________________________________________
12. How would you rate the current state of use of the electronic records management system at the
EAC?
1. Very poorly utilised
2. Averagely utilised
3. Efficiently utilised
Justify your response stated above
__________________________________________________________________________________
____________________________________________________
13. What are your department’s obligations in using the ERDMS at the EAC? (Please list the different
obligations)
__________________________________________________________________________________
____________________________________________________________________

52
SECTION C: Assessment of Factors Affecting Effective Implementation of the electronic document and records management system at the EAC
Based on your position and experience, I request you to assess how each of the following factors INFLUENCES YOUR EFFECTIVE USE AND IMPLEMENTATION of
the electronic document & records management system at the EAC

Factors/constructs Does it Strength/Extent of the Effect Justification/Reasons for choices


affect Key:
(Y/N) 1 = Weak
2 = Strong
3 = Very strong
Personal Factors
Experience in using system
Motivation to use system
Ease of use of the system
Attitude towards using the system
Encouragement by others
Personal job outcome expectations
Other factors (please list and rate as
above)

53
Based on your position and experience, I request you to assess how each of the following FACTORS INFLUENCES YOUR EFFECTIVE USE AND
IMPLEMENTATION of the electronic document & records management system at the EAC

Factors/constructs Does it Strength/extent of the Effect Justification/Reasons for choices


affect (Y/N) Key:
1 = Weak
2= Strong
3 = Very strong
Management/ Work/ Job Related factors
Relevance of the system to job
requirements
Use of the System to achieve expected
output quality
Relative Advantage in using the system
compared to other methods
Expected long-term benefits of using the
system
Availability facilitating conditions to use
the system

54
Training and support on use of the
system
Training on ICT and records
management policies
Cross learning about use of the system
with other institutions
Other factors (please list and rate as
above)

Based on your position and experience, I request you to assess how each of the following FACTORS INFLUENCES YOUR EFFECTIVE USE AND
IMPLEMENTATION of the electronic document & records management system at the EAC

Factors/constructs Does it Strength/extent of the Effect Justification/Reasons for choices


affect (Y/N) Key:
1 = Weak
2= Strong
3 = Very strong
IT system related factors
Training to use the system
Complexity of the system
Compatibility of the system

55
Lack of System support
Availability and accessibility to soft and
hardware for using the system
Availability of electronic Records
Management system
Other factors (please list and rate as
above)

Based on your position and experience, I request you to assess how each of the following FACTORS INFLUENCES YOUR EFFECTIVE USE AND
IMPLEMENTATION of the electronic document & records management system at the EAC

Factors/constructs Does it Strength/extent of the Effect Justification/Reasons for choices


affect (Y/N) Key:
1 = Weak
2 = Strong
3 = Very strong
Management expectations / Output related factors
Ability of system to yield results
Management Commitment
Perceived consequences of using the

56
system
Performance Expectancy in using the
system
Perceived Usefulness of the system
Policy directive to use the system
Availability of facilitating
conditions/factors e.g. Trainings to use
the system
External Motivation to use the system
Other factors (please list and rate as
above)

Section D: Recommendations for improving the effective use and implementation of the ERDMS at the EAC Secretariat
In what ways can effective use of the ERDMS be done at the following levels?
Managerial level
_______________________________________________________________________________________________________________________________
Personal/employee level
_______________________________________________________________________________________________________________________________
Technical support level
____________________________________________________________________________________________________________________
Thank you for your Participation

57
APPENDIX 2: OBSERVATION GUIDE

1. Observe the content of the EACS Electronic Document & Records Management System
(EDRMS)

2. Observe the functionalities of the EACS Electronic Document & Records Management System
(EDRMS)

3. Observe the accessibility of information from the EACS Electronic Document & Records
Management System (EDRMS)

4. Observe the equipment that used to host the EACS Electronic Document & Records
Management System (EDRMS)

5. Observe the information services offered in the EAC Management Information Division

58
APPENDIX 3: INTERVIEW GUIDE

1. What is your job designation/title

2. Describe your job activities

3. How long have you been working in EAC

4. Are you aware of the Electronic Document & Records Management System (EDRMS)

5. Do you use the Electronic Document & Records Management System (EDRMS)

6. How effective has been the Electronic Document & Records Management System content
to you nature of work

7. Have you found the Electronic Document & Records Management System content useful

8. What are the strength and weaknesses of the current Electronic Document & Records
Management System

9. Do you have any suggestion on how the EAC Electronic Document & Records
Management System can be improved

59
APPENDIX 4: DEPARTMENTS FROM WHICH RESPONDENTS WERE DRAWN FOR THIS STUDY

Department of Respondent (N=15) Number of respondents (N=44)


Library and Documentation 1
Communications 1
Investment and Industrial Sector Promotion 1
Stores Department 1
Customs 1
Health 1
Peace and Security 1
International Relations 1
Fiscal and Monetary Affairs Department 1
Agriculture, Food Security and Rural Development 1
Resource Mobilization 1
Metrological Department 1
Transport and Works Department 1
Energy, Environment and Natural Resources 1
Corporate communications and Public affairs Planning 1
Department 1
finance 1
Statistics department 1
Social sector 1
Library and documentation 1
Labor and immigration 1
Transport & work department 1
International trade 1
M &E 1
Human resource and admin 1
Energy , environment and natural resources Finance 1
department 1
Corporate communications and public affairs 1
Procurement department 1
Tourism & wild life department 1
research 1
Management information division 1
ICT department 1
Customs department 1
Political affairs department 1
Security department 1
Labour and immigration 1
Conference division 1

Mean Age of respondents (years) 45.4


Mean Experience of Respondents at the EACS (years) 6.09
Sex of Respondents Males (26), Females (18)

60
APPENDIX 5: RESEARCH SCHEDULE

INPUT July July Aug Aug Aug Oct 9th


15th -27th 27th – 1st – 20th 5th – 26th–
31st Aug 25th 30thSept
Literature Search
Development of
Instruments
Conducting
Interviews
Analysis of data
Report Writing and
Binding
Presentation of the
report

61
APPENDIX 6: ECM Implementation Lifecycle

62
APPENDIX 7: HP TRIM EDRMS SCREEN SHOTS

63