CHAPTER I

PROBLEM AND ITS BACKGROUND

This chapter includes the introduction, background of the study, statement of the
problem, significance of the study, synthesis, paradigm of the study, Methodology.

INTRODUCTION

With a Gross Domestic Product (GDP) growth average of 5-6% over the last five
years, the Philippines has become one of the fastest growing economies in the region.
Fueled by an increase in public spending, fiscal reform and renewed investor
confidence, the country is now considered a regional showcase for socioeconomic
progress. It has adopted a philosophy of inclusive growth under the slogan “Daang
Matuwid,” which equates good economics with good governance. This underscores
governance as an ingredient in achieving growth.
However, the Philippines is now faced with the challenge of sustaining its
impressive growth and making it more inclusive. This places a demand on government
to provide an environment that ensures openness, efficiency in the delivery of services,
and spaces for greater competitiveness. Such a demand, together with increased
expectations, requires the government to optimize the role of Information and
Communications Technology (ICT) in governance.
It must move on from the non-integrated path of ICT development and agency-
specific applications, toward a path that leads to an e-Government model that creates
more valuable and meaningful services through interoperability and maximization of
resources.
The E-Government Master Plan (EGMP) is a blueprint for the integration of ICTs for
the whole of government. It builds on past plans while incorporating current aspirations
to create a vision for the future.
The plan recognizes that the issue of interoperability and harmonization is not
solely a technical problem, but also includes many organizational concerns that need to
be overcome. As such, the plan also describes the systems of governance (e.g.
institutions, agencies, processes, resources and policies) that need to be strengthened to
make its implementation possible and sustainable.
This EGMP is partly based on an assessment study on e-Government development
conducted in 2012. The study was jointly undertaken by the National Computer Center
of the Philippines and the National IT Industry Promotion Agency of the Republic of
Korea. It recommended some activities that must be undertaken to achieve the ICT goals
of the Philippines (see Chapter 3). It included an assessment of the current ICT/e-
Government state of the Philippines. Benchmarking techniques were used to create a
To-Be Model that fits the Philippine context.
Based on that assessment, and with the intent to operationalize the e-Government
thrust of the Philippine Digital Strategy (2011-2016), the EGMP acknowledges the
important role that ICT plays in facilitating open and transparent government and the
delivery of efficient public services.
E-Government in the Philippines is envisioned to create “a digitally empowered and
integrated government that provides responsive and transparent online citizen-centered
services for a globally competitive Filipino nation.”
Electronic records management (ERM) is fundamental to good governance,
business efficiency and effectiveness of e-government in networking and digital society.
However, government authorities in China has faced many challenges in managing
electronic records. A study of ERM in e-government strategy in other countries would
be significant to support development of ERM in Chinese e-government strategy.
As little is known from literature on the status of electronic records management in
e-government strategy, this paper selects U.S，New Zealand and UK for case study by
means of collecting and analyzing publications, laws, regulations and policies relevant to
both electronic records management and e-government strategy.
The author first analyzes status of ERM in e-government strategy and then
discusses models and driving forces of their existences. The result of the study revealed
that electronic records are managed as national assets, resources and trusted information
in the e-government strategy. Driven by core business of e-government in different
country, there are different approaches to ERM in e-government strategy.
The implications of the study is that, to position ERM in e-government strategy, it
is significant to provide a strategic approach to ERM for shared agenda by both
government authorities and records management professionals. The findings intended to
be of use to both the effective e-government strategy and good ERM for dynamic,
interactive and proactive citizen-centered services across domains and time dimensions.
Across the regions, the importance accorded to tourism information was evident.
This shows a conscious effort on the part of the national government to promote the
country as a tourism destination in Asia. An online eLGU project update (i.e.,
“Establishment of LGU Web Presence,” dated 19 February 2004) support this
observation.
In this document, tourism development—touted as a primary engine of economic
growth—is cited as one of the government’s objectives for helping local governments
develop a web presence. It may be recalled that former tourism secretary Richard
Gordon had been known to be actively pushing for the creation of a website in each
local government as a way of helping the country improve the local tourism industry and
therefore generate more jobs in the countryside.
It seemed, however, that information on the local economy and the cities’ business
climate, which is particularly important for attracting local investments, was sacrificed
in favor of tourism-related information. Only the city websites in Regions 5, 6, and 7
gave equal importance to these kinds of information. The websites of Regions 2, 8, 13,
and ARMM had the least information on the local economy, investment opportunities,
or tourism.
About 18 percent of the websites contained information on the competitive
advantages of their cities, while 15 percent, obviously targeting tourists and visitors, had
information on how to get to their cities (Table 8). Some websites included information
on how to invest in their cities by putting their investment code (13%) and their priority
or preferred investments or industries (11%). Only 12 percent posted bid notices.
 The move to reinvent government has spread incessantly over the last two decades in
many parts of the world. Governments in developed and developing countries alike have
faced increasing pressures to improve their role in service delivery and public
administration. The reforms sought have not only called for better public service through
improved efficiency and effectiveness, promotion of transparency, and increased
responsiveness.
They have also highlighted the necessity to transform governance—to move away
from traditional, top-down approaches toward more decentralized and participatory
systems. The roots of this government reinvention can be traced back to a number of
historical causes (Heeks 1999). One of them is the challenge confronting governments to
keep or win back citizens’ trust and confidence in public institutions, which has waned
through the years with increasing reports of corruption.
Another is the influence of the neoliberal thinking that emphasizes the efficiency of
markets and the notion that the inefficiency of the public sector may be corrected by
making it as similar as possible to the private sector. Corollary to this is the intensified
pace of competition brought about by globalization, which could also explain why so
many governments pursued many reform strategies so aggressively at much the same
time (Kettl 2002).
Common in the new public sector reforms is the use of information and
communication technology (ICT)1 in improving government procedures and processes
and the linkage between government, citizens, and other groups in governance to
promote a more active and participatory political deliberation and decisionmaking—a
strategy known as e-governance.
Using the definition of Backus (2001), e-governance may be defined as the
application of ICTs in refining and strengthening the interaction between government
and citizens (G2C) and government, business and other groups (G2B), as well as
improving internal government processes (G2G) to streamline and improve public
administration.
Although e-governance and e-government sound almost congruent, Backus noted
that e-government is the utilization of ICTs by government to improve its internally
focused operations (backoffice operations) and externally focused services (frontline
operations) in order to facilitate a speedy, transparent, accountable, efficient, and
effective process of performing its activities with the public, business, and other sectors.
The right combination of ICT tools for e-governance is likewise important.
Reliance on the Internet and web-enabled applications as e-governance tools appears
unwise in the Philippines where Internet literacy and access is still in the enhancement
stage. The present reality that points to the effectiveness of SMS, given its wide
popularity, signifies the need for government to be more exhaustive in promoting its use
in service delivery. It also signals the urgency of developing more SMS-enabled
applications
Making it sustainable requires the residents to appreciate the value of the e-center in
their daily lives. Thus, groundwork activities in the community such as local meetings
and consultation prior to its setting up are crucial to ensure residents’ support.
Determining their priority information and service requirements is needed for designing
application systems and solutions that cater to their needs. The presence of these need-
specific services would highlight the uniqueness of community e-centers over privately
owned ones such as commercial Internet cafes.

BACKGROUND

The application of information and communication technology for improving

governance by enhancing government's role in service delivery, public administration,
and promotion of participatory democracy has been gaining momentum in many parts of
the world. In Philippine local government, this has been witnessed lately in the
significant rise in web presence of many cities, a development that was facilitated by the
passage of the Electronic Commerce Act in 2000 and the implementation of subsequent
programs to support the law's adoption by government.
An assessment of the content of city government websites indicated, however, the
minimal adoption of egovernance as well as the underutilization of websites as e-
governance tools. Results also showed a clear absence of substantial information and
resources that could enhance the quality and speed of service delivery, make government
more transparent, facilitate public participation in decisionmaking and, ultimately, bring
government, citizens, business, community organizations, and other groups in society
together in the governance process.

The foregoing discussion shows the extent to which city governments in the
Philippines have implemented the e-governance concept as a strategy for improving
local governance. Notwithstanding a significant rise in web presence among local
governments, this is diminished by the status of the websites, particularly the content
provided to the public. The results indicated the absence of appropriate and
substantial content that could enhance local governance, the still-static nature of the
websites, the limited use of electronic mechanisms for promoting public participation,
and the presence of sites that barely contained information—all of which reduce the
usefulness of the websites and the effectiveness of e-governance at the local government
level.
The paltry information available on the websites somehow reflects the reluctance of
local governments to share information with the public. The promotion of transparency
and accountability has been one of the main goals of the public sector reforms. The
practice of democracy demands public access to government information and services
(Caves 2004).
Much depends on the government, therefore, as the holder and supplier of
information. Unfortunately, even with new technologies that could assist the government
in facilitating public access to information, and despite the existence of laws upholding
the people’s right to information, a culture of secrecy in government is still palpable.
Although the Philippines has yet to enact a law on freedom of access to
information, it remains the only country in Southeast Asia to have enshrined in its
Constitution the right of the people to public information.
Many government workers, he said, lack skills in recordkeeping, filing, and
organizing documents in usable and retrievable form. Indeed, in many state agencies and
departments, and especially in many LGUs, the records section and library have yet to
be computerized. Hence, information available in electronic format that can be shared
through e-mails and websites is negligible.
There is clearly a dearth of substantial information and resources that could enhance
the quality and speed of service delivery, promote transparency, facilitate SIAR 159
public participation in decisionmaking, and, ultimately, bring government, citizens,
business, community organizations, and other groups in society together in the
governance process.
If the government will continue to exclude citizens’ voice and participation in local
governance and remain indifferent to their information needs, this could only exacerbate
the gap between them, which as Caves (2004) put it, may only increase citizens’
frustration over the government’s lack of adequate response and ultimately make them
even more distrustful of it.
The right combination of ICT tools for e-governance is likewise important.
Reliance on the Internet and web-enabled applications as e-governance tools appears
unwise in the Philippines where Internet literacy and access is still in the enhancement
stage. The present reality that points to the effectiveness of SMS, given its wide
popularity, signifies the need for government to be more exhaustive in promoting its use
in service delivery. It also signals the urgency of developing more SMS-enabled
applications.
At present, the use of information technologies to promote democratic governance
has barely taken off at the local government level and even at the national level. There is
little recognition by government of the democratic and development potentials of ICTs.
In general, the utilization of ICTs has remained fairly conservative, as they are mainly
used for improving internal government processes and, of late, for information and
service delivery.
E-government (short for electronic government) is the use of electronic
communications devices, computers and the Internet to provide public services to
citizens and other persons in a country or region. According to Jeong, 2007 the term
consists of the digital interactions between a citizen and his or her government (C2G),
between governments and other government agencies (G2G), between government and
citizens (G2C), between government and employees (G2E), and between government
and businesses/commerces (G2B).
The goal of government-to-customer (G2C) e-governance is to offer a variety of
ICT services to citizens in an efficient and economical manner, and to strengthen the
relationship between government and citizens using technology.
There are several methods of government-to-customer e-governance. Two-way
communication allows citizens to instant message directly with public administrators,
and cast remote electronic votes (electronic voting) and instant opinion voting.
Transactions such as payment of services, such as city utilities, can be completed online
or over the phone. Mundane services such as name or address changes, applying for
services or grants, or transferring existing services are more convenient and no longer
have to be completed face to face.
European countries were ranked second among all geographic regions. The Single
Point of Access for Citizens of Europe supports travel within Europe and eEurope is a
1999 initiative supporting online government. Main focuses are to provide public
information, allow customers to have access to basic public services, simplify online
procedures, and promote electronic signatures.
Asia is ranked third in comparison, and there are diverse G2C programs between
countries. Singapore's eCitizen Portal is an organized single access point to government
information and services. South Korea's Home Tax Service (HTS) provides citizens with
24/7 online services such as tax declaration. Taiwan has top ranking G2C technology
including an online motor vehicle services system, which provides 21 applications and
payment services to citizens.
Government-to-Citizen is the communication link between a government and
private individuals or residents. Such G2C communication most often refers to that
which takes place through Information and Communication Technologies (ICTs), but
can also include direct mail and media campaigns. G2C can take place at the federal,
state, and local levels. G2C stands in contrast to G2B, or Government-to-Business
networks.
E-Governance to Employee partnership (G2E) Is one of four main primary
interactions in the delivery model of E-Governance. It is the relationship between online
tools, sources, and articles that help employees maintain communication with the
government and their own companies. E-Governance relationship with Employees
allows new learning technology in one simple place as the computer.
Documents can now be stored and shared with other colleagues online. E-
governance makes it possible for employees to become paperless and makes it easy for
employees to send important documents back and forth to colleagues all over the world
instead of having to print out these records or fax.
From the start of 1990s e-commerce and e-product, there has rampant integration of
e-forms of government process. Governments have now tried to use their efficiencies of
their techniques to cut down on waste. E-government is a fairly broad subject matter, but
all relate to how the services and representation are now delivered and how they are now
being implemented.
Many governments around the world have gradually turned to Information
technologies (IT) in an effort to keep up with today's demands. Historically, many
governments in this sphere have only been reactive but up until recently there has been a
more proactive approach in developing comparable services such things as e-commerce
and e-business.
Before, the structure emulated private-like business techniques. Recently that has
all changed as e-government begins to make its own plan. Not only does e-government
introduce a new form of record keeping, it also continues to become more interactive to
better the process of delivering services and promoting constituency participation.
The framework of such organization is now expected to increase more than ever by
becoming efficient and reducing the time it takes to complete an objective. Some
examples include paying utilities, tickets, and applying for permits. So far, the biggest
concern is accessibility to Internet technologies for the average citizen. In an effort to
help, administrations are now trying to aid those who do not have the skills to fully
participate in this new medium of governance, especially now as e-government
progressing to more e-governance terms
An overhaul of structure is now required as every pre-existing sub-entity must now
merge under one concept of e- government. As a result, Public Policy has also seen
changes due to the emerging of constituent participation and the Internet. Many
governments such as Canada's have begun to invest in developing new mediums of
communication of issues and information through virtual communication and
participation. In practice this has led to several responses and adaptations by interest
groups, activist, and lobbying groups. This new medium has changed the way the polis
interacts with government.
The purpose to include e-governance to government is to means more efficient in
various aspects. Whether it means to reduce cost by reducing paper clutter, staffing cost,
or communicating with private citizens or public government. E-government brings
many advantages into play such as facilitating information delivery, application
process/renewal between both business and private citizen, and participation with
constituency.
There are both internal and external advantages to the emergence of IT in
government, though not all municipalities are alike in size and participation. The
adoption of e-government in municipalities evokes greater innovation in e- governance
by being specialized and localized. The level success and feedback depends greatly on
the city size and government type.
A council-manager government municipality typically works the best with this
method, as opposed to mayor-council government positions, which tend to be more
political. Therefore, they have greater barriers towards its application. Council-Manager
governments are also more inclined to be effective here by bringing innovation and
reinvention of governance to e- governance.
The International City/County Management Association and Public Technology
Inc. have done surveys over the effectiveness of this method. The results are indicating
that most governments are still in either the primary stages (1 or stage 2), which revolves
around public service requests. Though application of integration is now accelerating,
there has been little to no instigating research to see its progression as e-governance to
government.
We can only theorize it's still within the primitive stages of e-governance.
Government-to-Government (abbreviated G2G) is the online non-commercial
interaction between Government organisations, departments, and authorities and other
Government organisations, departments, and authorities.
Its use is common in the UK, along with G2C, the online non-commercial
interaction of local and central Government and private individuals, and G2B the online
non-commercial interaction of local and central Government and the commercial
business sector.
G2G systems generally come in one of two types: Internal facing - joining up a
single Governments departments, agencies, organisations and authorities - examples
include the integration aspect of the Government Gateway, and the UK NHS Connecting
for Health Data SPINE. External facing - joining up multiple Governments IS systems -
an example would include the integration aspect of the Schengen Information System
(SIS), developed to meet the requirements of the Schengen Agreement.
Government-to-Business (G2B) is the online non-commercial interaction between
local and central government and the commercial business sector with the purpose of
providing businesses information and advice on e-business 'best practices'. G2B:Refers
to the conduction through the Internet between government agencies and trading
companies.
B2G:Professional transactions between the company and the district, city, or federal
regulatory agencies. B2G usually include recommendations to complete the
measurement and evaluation of books and contracts.
E-government reduce costs, carry out all companies to interact with the
government. Electronic trading saves time compared to human doing business. No need
for driving to government and no waiting time. If the transaction is not completed, you
can use the mouse to click on the return trip rather than drive to the office. As more and
more companies are doing online conduct government business, and their transaction
costs will be reduced. More technology and less workers needed reduce the business
cost.
E-Government provides a greater amount of information that business needed, also
it makes those information more clear. A key factor in business success is the ability to
plan for the future. Planning and forecasting through data-driven future. The government
collected a lot of economic, demographic and other trends in the data. This makes the
data more accessible to companies which may increase the chance of economic
prosperity.
In addition, E-Government can help businesses navigate through government
regulations by providing an intuitive site organization with a wealth of useful
applications. The electronic filings of applications for environmental permits gives an
example of it.
Companies often do not know how, when, and what they must apply. Therefore,
failure to comply with environmental regulations up to 70%, a staggering figure most
likely to confusion about the requirements, rather than the product of willful disregard of
the law.
Over the past decade, state agencies and local governments throughout New York
State have increasingly used information technology to support their work. During this
period, dramatic increases have occurred in the use of computing and networks for
government services and internal business operations.
Since the mid 1990s, the Internet has exerted two powerful forces for change in
government use of technology. First, the Internet offers government a new and flexible
platform for information-based services. Second, through the World Wide Web, both
agencies and the public were introduced to the possibilities for more responsive and
customized services.
Together, these effects generated what we have come to call "e-government."
While the early focus of e-government has been primarily on government-to-citizen
(G2C) and government to business (G2B) services, government-to-government (G2G)
initiatives are now gaining increased attention.
The sharpening G2G focus represents a broad realization that improved services to
citizens and businesses, more efficient operations, greater transparency, and all the other
externally-focused goals of government must rest on internal operating policies and
behind-the-scenes administrative functions that are well-designed, intelligent, and
interoperable.
To achieve a high quality "back office" that supports very visible public service
goals, government needs more than advanced technology. It also needs new strategies,
thoroughly redesigned business processes, and creative incentives and mechanisms for
interagency and intergovernmental collaboration and coordination. The project reported
here explored this set of requirements through a Web-based Prototype involving state,
county, and municipal governments.
This report is organized into four chapters plus appendices. This first chapter
discusses the background of the project and the issue of G2G integration that it
addressed. This chapter also offers a vision of an ideal G2G gateway and its benefits, as
well as the barriers that stand in the way of its creation.

STATEMENT OF THE PROBLEM

Today, state and local government use of information technology is manifested in

many independent systems that each support only one business function or satisfy one
particular program need. As a result, a large and growing number of individual systems
for G2G business relationships are employed across state and local levels.
This multiplicity of systems is often a significant impediment to efficient work, as
well as a financial strain, because many applications require their own hardware,
software, security, office space, and business rules. In order to perform business
functions on each system, local government officials must sign in and out as they use
each one, requiring numerous log-ins and passwords.
Usually, data entered into one system cannot be used in another. Numerous duplicate
requests for information are made and fulfilled as individual organizations respond to
uncoordinated requests and requirements. Moreover, many local offices keep duplicate
paper or electronic copies of information they send to the State because these state-
sponsored systems are seldom interoperable or designed with local information needs or
business practices in mind.
This situation poses a significant burden on the work processes of both state agencies
and local governments and entails higher than necessary costs for everyone. If current
practices continue, this picture of multiplicity and duplication will worsen as more
individual business functions are automated.
A portion of the electronic information systems that connect state and local
governments. The figure shows a small number of each kind of government organization
and does not reflect any inter-local information systems connecting county and
municipal governments. If we extend this picture to include all existing information
systems among all state and local entities the picture would be far more complicated,
with hundreds of connections involving state agencies, counties, towns, cities, and
villages.
Efforts to streamline, simplify, and rationalize the picture of existing
intergovernmental information systems in New York State are very desirable but they
present their own complexities and challenges. Any transition to a more integrated and
coordinated way of working adds new demands for planning, management, design,
operations, and resource allocation.
The first true feature of integration is represented by a common Web interface that
can be adopted for standard use by multiple stand-alone systems. Single sign-on, which
requires identity management and role-based access, represents the next level of
integration. It allows users to have secure access to some or all of the systems associated
with their work by signing on once.
When this feature is in place, users begin to experience the benefits of integration, but
designers and system operators must accommodate higher levels of coordination and
standardization. Integrated data represents a significant increase in integration, whether
that data is integrated across programs or units of a single organization or across
multiple organizations. With this step, a wide variety of data management challenges
must be addressed.
 Technology neutrality in legislation and regulation to avoid closing off promising
options, and flexibility within broad regulatory frameworks and adaptation of current
laws to a digital world.
 Performance requirements rather than technical specifications when procuring new
technologies.
 Involvement of all stakeholders in regulatory processes.
 Increasingly looking to international co-operation to harmonise approaches to
transborder issues.
Another constraint on e-government is the difficulty with which governments are
developing services that are customer-focused. As governments are developing more
and more electronic services, they are also coming to the realisation that they often do
not know what kind of e-government citizens want.
ICT tools have provided governments with new ways to provide information and to
consult with citizens, but determining the preferences of citizens and businesses with
regard to the structure and content of electronic services rests a true challenge for OECD
countries, in part because many people would hard-pressed to be able to articulate their
expectations of government, even with a full understanding of the technological
possibilities.Countries are developing a common understanding, however, that services
should be organised and provided according to customer needs and preferences and not
according to the internal logic (or illogic) of government administrations.
The Internet has brought a quantum leap in efforts to provide a customer focus, and
OECD countries are actively developing initiatives to draw together information and
services for specific customer groups. These seamless online services aim to transcend
the agency-based structure of the supply of information and services and present users
with a coherent, integrated package of government information and services.
Such services can provide higher levels of value to customers than separate
services.One-stop shops, advice bureaux, whole-of-government telephone call centres
and services such as information kiosks have attempted to bring together information
and services from different government agencies. The capacity to offer integrated,
seamless government services so that users can interact with government as a single
organisation, however, relies not only on ICT tools, but also on deeper organisational
and cultural changes within public administrations.
The development of a customer focus requires collaboration. As services become
more complex, efficiency considerations require greater co-operation between agencies,
in areas such as authentication, shared processing and the exchange of data. The need for
collaboration between agencies thus has both “front-office” (service to the customer)
and “back-office” (efficiency in government) dimensions. From the customer’s point of
view, government should appear as one organisation; from government agencies’ point
of view, the customer should appear as a single customer.

SCOPE AND DELIMINATION

E-Government in the Philippines is envisioned to create “a digitally empowered and

integrated government that provides responsive and transparent online citizen-centered
services for a globally competitive Filipino nation.”

To achieve this objective, the EGMP aims to provide e-Government builders with a
roadmap for the following:

 For citizens, the EGMP links e-Government programs with development goals.
Recognizing the importance of efficient delivery of public services, the plan identifies
implementation areas that can ensure maximum benefits for citizens.
 For government, the EGMP provides a blueprint for implementing e-Government
initiatives. The plan places a premium on value-adding, shared services, interoperability
and the maximization of public resources. It also provides a platform for open
government, mindful of anchoring its initiatives on principles of good governance.
 For civil society organizations (CSOs), the private sector, and other partners, the
EGMP provides spaces for participation and fosters synergy in governance. The plan
highlights the importance of accountability and recognizes the role of CSOs as partners
in governance.
 For policy makers, the EGMP identifies policy and advocacy areas that need to be
addressed in creating an environment necessary for fostering an integrated, interoperable
and harmonized system of e-Governance. Furthermore, given the speed by which ICTs
and their usage evolve, the EGMP also underscores the need for institutionalizing
dedicated resources for research not only in the creation of applications, but also in
studying the implications these may have on governance policies in general.

 The establishment of a secure and cooperative interaction among governmental

agencies; Web-based service delivery; the application of e-commerce for more efficient
government transactions activities,; and digital democracy.
 Simple information dissemination (one-way communication); two- way
communication (request and response); service and financial transactions;
 Integration (horizontal and vertical integration); political participation.
 The strategic objective of e-governance, or in this case G2G is to support and
simplify governance for government, citizens and businesses. The use of ICT can
connect all parties and support processes and activities. Other objectives are to make
government administration more transparent, speedy and accountable, while addressing
the society's needs and expectations through efficient public services and effective
interaction between the people, businesses and government.
 SIGNIFICANCE OF THE STUDY

The present research is akin to some extent to a previous study conducted by

Lallana et al. (2002) that categorized Philippine government websites based on the “five
stages of e-government” developed by the United Nations-American Society for Public
Administration (UN-ASPA): emerging, enhanced, interactive, transactional, and fully
integrated. The same indicators are, in fact, being used by the eLGU Project in
monitoring the progress of the websites every quarter.
In general, the stages present a straightforward benchmark that objectively
assesses a website’s degree of sophistication (UN-ASPA 2001). Each stage is marked by
certain features in which ascending to a higher stage means that the website has not only
become richer in content but has also advanced in terms of the degree of interactivity
between the government and its target audiences.
But while the ASPA uses indicators that look into the content of a website,
its approach is very general in that the indicators are not so concerned with the “actual”
content or the exact information found on the website such as community news or
financial data like the city budget.
Additionally, while Ilago’s 2001 study reviewed local government websites’
applications and content, it utilized Klaus Lenk’s broad classification of a website’s
resources, namely, information and referral, communication and feedback, document
download, and online transaction.
The Working Group on e-Government in the Developing World has
identified five broad categories of goals commonly pursued for e-government. 11 e-
Government is a means to accomplish these broader social goals, goals that move
beyond mere efficiency of government processes to that of overall reform and
development. The goals are not listed in any particular order of importance, as each
country must determine its priorities in e-government.
Increase government staff productivity, reduce overhead from fewer offices
and less paper management, improve capacity for planning management by government
(using better tools and improving access to critical information, for example, in city
planning through the use of a GIS), and increase revenue as businesses and citizens
actually apply for more licenses, due to the fact that the process is much easier and less
corrupt.
Induce cost savings in the medium to the long term. In the short term,
however, staffing and costs tend to increase as government must offer multiple delivery
platforms (both the traditional and e-government) during the initial transition.
Streamline the operations of government. Most government processes have evolved
over many years, and usually involve many steps, tasks, and activities. Streamlining
government processes through ICT eliminates redundant procedures and helps to reduce
red tape.
This study, however, seeks to fill the gaps in, and update, these past studies
as well as those of the ongoing eLGU Project by conducting a deeper and more
comprehensive investigation of the content and information contained in each city
government website and ascertaining their scope, usefulness, degree of transparency,
and effectiveness in improving the governance process.
 SYNTHESIS

Results of the assessment indicated the minimal adoption of e-governance

by the
majority of the city governments and the underutilization of their websites as
egovernance
tools. Most of the information provided was only geared toward promoting citizens’
awareness and understanding of their community’s characteristics. Yet, whatever
information provided on this aspect also has to be enhance since it was limited to
standard information only such as demography, history and culture, and a few political
information focused mostly on the composition of the city government.
Efficiency-enhancing content such as procedures for transacting with the
city government and downloadable forms was present in only a few websites. Content
promoting citizens’ awareness of the local policymaking process and their
participation in decisionmaking was negligible. In terms of content that promotes
linkage and interaction with the citizens, only a small number of websites had contact
information (e.g., phone number and email address) and online facilities for interaction
such as discussion forums. Content fostering linkage with the business sector to support
economic development was very limited.
Transparency-promoting content, such as financial information and bids and
procurement information, was given by only a few websites. There is clearly a dearth of
substantial information and resources that could enhance the quality and speed of service
delivery, promote transparency, facilitate SIAR 159 public participation in
decisionmaking, and, ultimately, bring government, citizens, business, community
organizations, and other groups in society together in the governance process.
If the government will continue to exclude citizens’ voice and participation
in local governance and remain indifferent to their information needs, this could only
exacerbate the gap between them, which as Caves (2004) put it, may only increase
citizens’ frustration over the government’s lack of adequate response and ultimately
make them even more distrustful of it. As for the usability of the websites, the majority
lacked useful tools for navigation such as site maps and search capability. Several
websites also barely contained information while others had poor-quality images and
downloadable forms.
Also, the responsiveness of city governments was found to be poor. Only a
small percentage of city websites with email addresses responded to the simple message
inquiring about their official hours. Time and again, technological access has been
pinpointed as the most serious constraint to the slow adoption and application of ICTs
for governance. Indeed, it would take time to eradicate the digital divide, as it is not
simply an issue of connectivity, lack of access, or low computer and Internet literacy.
It is a gap that, as Sy (2002) noted, is conditioned by traditional social
divisions of class, income, education, gender, age, ethnicity, and social geography.
However, aside from the problem of digital divide, the study identified other equally
critical issues that require serious attention, because they impinge on the availability of
information itself and the organizational capacity and motivation of the government to
embrace the e-governance concept.
There is a strong opinion that the current charter on the right to information
enshrined in the Constitution is prohibitive and subjective, given its many exceptions,
hence the need for revisions or for the enactment of a separate Freedom of Information
Law, similar to what Thailand did in 1997.
A similar bill passed third reading in the 11th Congress; six bills addressing
the right to information remained pending in the Senate (Chua 2001). This suggests the
need for a more vigorous lobbying by concerned groups such as the media, grassroots
organizations, and civil society to “repeal restrictive legislation or to enact a liberal
information law” (Coronel 2001). In addressing the problem of digital divide, the choice
of appropriate strategies is critical. Otherwise, these strategies could only exacerbate the
gap and lead to greater socioeconomic inequalities.
The government seems to be on the right track for choosing the community
e-center as one of its strategies for widening access to ICTs. For one thing, providing
universal access to ICTs to every person in the country—the concept of “a computer for
every desk” or a “telephone in every home”—requires huge capital and therefore is not a
logical strategy for a cash-strapped government like the Philippines.
The concept of publicly owned, publicly accessible facilities with
community e-centers facilitates resource pooling and resource sharing, and effectively
addresses resource insufficiency. Community ownership and management of ICT
infrastructure also promote broad-based take holdership in development.

PARADIGM OF THE STUDY

E-Government as a worldwide phenomenon Besides an instrument that can
be used to make policy implementation more effective and efficient, ICT has also
innovative power. This refers to the fact that the possibilities of modern technology can
be used to initiate, stimulate or develop changes within government. As a result, ICT
moves to the heart of public sector organizations and gets connected with primary
processes. Not only is ICT used in processes of service delivery, but increasingly also in
the formulation and implementation of policy processes, in processes of allocation of
means and the accountability for them and in the execution of laws and rules (Thaens,
2006).
In this way, government is slowly transforming itself to an electronic
government in which ICTs play an important role. This transformation turns out to be a
global phenomenon. During the last years many countries, all over the world, have
formulated their dreams, visions and plans for introducing at least some form of
electronic government. Consequently, many governments are also working hard on
realizing their visions and plans. This is illustrated by results of the UN Global E-
Government Readiness Survey 2005.
This annual survey assesses more than 50,000 features of the e-Government
websites of the 191 UN Member States to ascertain the state of readiness of the
Governments around the world in employing the opportunities offered by ICT, to
improve the access to, and the use of, ICTs in providing basic social services. The 2005
survey finds that a large number of countries solidified their online presence further,
venturing into higher and more mature areas of e-service delivery. Many introduced
further e-participation features.
The total number of countries online increased to 179, or around 94 per cent
of the United Nations Member States. Twelve countries were not online, compared to
thirteen in 2004. According to the E-government Readiness rankings in 2005 the United
States is world leader, followed by Denmark, Sweden and the United Kingdom. Also the
Republics of Korea, Singapore, Estonia, Malta and Chile are in the top 25 e-ready
countries (UN, 2005). 1.2. High hopes and expectations The promises, hopes and
expectations of the benefits that e-government can bring to citizens, companies and even
the entire society are set high.
An indication for this can be found in a recent study that compares some
European modernization initiatives with ICT as drivers (Bekkers and Korteland, 2006).
This is relevant to e-government because often e-government is embedded in a reform or
modernization program within a country. The comparison shows that the main emphasis
of those initiatives lies in the improvement of the quality of public service delivery.
ICTs are supposed to contribute to more demand-orientation, more public participation
and an improvement of the openness and responsiveness of government.
In Denmark for example, the aim to the use of ICT is to alter the way that
work is performed in the public sector. The aim is to provide citizens and businesses
with better services and to release public employees for tasks that contribute directly to
the welfare of citizens. Moreover, ICT will underpin the creation of a more open, user-
oriented and 3 democratic administration. As e-Government becomes more widespread,
it is the government’s aim to allow citizens and businesses to monitor the progress of
their own cases via the Internet, and to be able to receive information on case
procedures, decisions and case processing times.
The government also desires that information technology is used to
strengthen the level of dialogue between citizens and politicians. More or less the same
goals can be identified in the policy program of the Netherlands, the UK and Germany.
In the Netherlands, besides the improvement of the quality and efficiency of public
service delivery, al lot of attention has been paid to the role of ICT as an instrument for
business process redesign in implementation chains and networks. The exchange and
sharing of information between different layers of government and agencies, as well as
semi-public and private organizations, is important to improve public service delivery as
well as the enforcement of laws and regulations.
In the UK, eGovernment is seen as an aspect of modernizing government,
which has only one purpose: to make life better for citizens and businesses. Finally, in
Germany the government adds that it wishes to use ICTs to enhance the transparency of
public administration and boost participation by the people (Bekkers and Korteland,
2006). These examples show that the ambitions for e-government in general are set high.
The comparison of them shows that in most programs improving efficiency and getting
more value for money are important goals that should be realized (Bekkers and
Korteland, 2006: 43).
Besides these high ambitions the introduction of e-Government sometimes
also involves new hopes for a better future. For instance, in the earlier mentioned UN
survey it is stated that “ICTs provide a unique opportunity for achieving higher
standards of living and greater economic and social empowerment of the millions
around the world”.
According to the United Nations, governments must therefore fully
understand the vast potential of ICTs as a tool, and the benefits and opportunities that
can accrue in the current age, if ICTs are effectively applied to human development
(UN, 2005). Finally, an illustration that the hopes and ambitions regarding e-
Government are set high, can also be found in a study on e-Citizenship, conducted by
Deloitte. In this study e-Government is identified as a vital topic in the contribution of
cities in reaching the Lisbon Agenda en thus making Europe the most competitive and
dynamic knowledge based economy in the world, capable of sustainable economic
growth with more and better jobs and greater social cohesion.

METHODOLOGY
A total of 102 websites were found to be accessible at the time of the study
in 2004. Ten websites were inaccessible and two were under construction. Thus, this
study covered a total 102 cases.
Furthermore, the set of concepts related to the use of ICT has been enriched
with the notion of e-governance as a result of new approach of public problem solving4 .
We are witnessing the transition from a consolidaded model of ‘big government” –
centralised, hierarchical and operating in close networks to new model of governance
based in self-organising interorganisational networks exchanging local and global
knowledge in the digital economy.
In today’s world neither politicians nor civil servants and administration
staff are exclusively responsible for shaping strategies and policies of a given country or
local community. Narrow approach to egovernment may lead to technocratic
government or transforming bureacracy into infocracy.
The EGDI is based on a comprehensive Survey of the online presence of all
193 United Nations Member States, which assesses national websites and how e-
government policies and strategies are applied in general and in specific sectors for
delivery of essential services. The assessment rates the e-government performance of
countries relative to one another as opposed to being an absolute measurement.
The results are tabulated and combined with a set of indicators embodying a
country’s capacity to participate in the information society, without which e-government
development efforts are of limited immediate use.
Although the basic model has remained consistent, the precise meaning of these
values varies from one edition of the Survey to the next as understanding of the potential
of e-government changes and the underlying technology evolves. This is an important
distinction because it also implies that it is a comparative framework that seeks to
encompass various approaches that may evolve over time instead of advocating a linear
path with an absolute goal.
 RESEARCH QUESTIONNAIRE ON E-GOVERNANCE
This survey is required for the successful completion of our Research
Paper and We assure you that the results will be used for research purpose
only. We shall be grateful for your valuable inputs and active co-operation.
Direction: Encircle your Answer.

1. You access Internet through:

A. Mobile
B. Laptop
C. Personal
D. Computer
E. Tablet

2. How frequently you access Internet?

A. Daily B, Twice in week C. Fortnightly D. Monthly

3. E governance means online government, Are you aware that Indian Government is
also offering many E-governance project?
YES NO MAYBE

4. Are you aware about National E-governance Plan?

YES NO MAYBE

5. Do you trust online services?

YES NO MAYBE

6. Do you believe that old government processes should be re-designed?

YES NO MAYBE

7. Before obtaining any government services do you check website of concern

department?
YES NO MAYBE

8. E-governance has reduced corruption.

YES NO MAYBE

9. E-governance offers Error free transaction.

YES NO MAYBE

10. E-governance reduces visits in government offices.

YES NO MAYBE
 CHAPTER II

REVIEW OF RELATED LITERATURE AND STUDIES

FOREIGN LITERATURE
1. E‐government and the transformation of service delivery and citizen
attitudes
DM West - Public administration review, 2004 - Wiley Online Library
“These findings are consistent with the budgeting literature, which shows that—
barring such examples ... have some form of disability access, and 6 percent
offer foreign language translation ... changes or much evi- dence of the fourth stage
of e-government—interactive democracy.”

2. Evaluating web-based e-government services with a citizen-centric approach

L Wang, S Bretschneider, J Gant - System Sciences, 2005. …, 2005 -
ieeexplore.ieee.org
“  Literature review on existing researches ... found by observing Web sites (eg
phone contact information, addresses, publications, databases, foreign language
access ... factors which account
for observed success or failure in Web-based e-government services delivery; ie it .”

3. Senior citizens' acceptance of information systems: A study in the context of

e-government services
CW Phang, J Sutanto, A Kankanhalli… - IEEE Transactions …, 2006 -
ieeexplore.ieee.org
“Towards this end, we review literature in gerontology and IS in order to identify
potential ... We focus
on a specific  e-Government service that is targeted at senior citizens, called the
Central ... tele- graph (for senior citizens staying abroad to transfer their CPF
to foreign countries).”

4.Structurational analysis of e-government initiatives: a case study of SCO

PR Devadoss, SL Pan, JC Huang - Decision support systems, 2003 – Elsevier
“ This section discusses the early literature on e-government, providing
the literary context to the
study. ... In other words, our review of literature suggests that implementing e-
government projects
can be ... and use of travel documents within our country of origin and
the foreign country.”

5.From e-government to we-government: Defining a typology for citizen

coproduction in the age of social media
D Linders - Government Information Quarterly, 2012 – Elsevier
 “out the government-to-government dimension that is commonly found in the e-
government
literature  as citizen ... their social media presence and promote interactions between
American and
foreign  youths.  ... with the means to provide feedback on the quality
of services offered.”

LOCAL LITERATURE

1.The utilization of e‐
government services: citizen trust, innovation and acceptance factors
L Carter, F Bélanger - Information systems journal, 2005 - Wiley Online Library
“ Federal, state and local governments have implemented various e-government
initiatives to enable ... After an extensive literature review, Tornatzky & Klein (1982)
conclude that relative advantage ... Moore and Benbasat conducted a thorough study
using several judges and sorting.”

2.Local e-government
2.0: Social media and corporate transparency in municipalities
E Bonsón, L Torres, S Royo, F Flores –
“Government information quarterly, 2012 – Elsevier of the EU (see Appendix A).
Bigger local governments were selected for this study as they ... the development of Web
2.0 tools and social media platforms at the local level, regression . 11 The literature on
public sector management usually considers that Anglo-Saxon and Nordic.”

3.Developing fully
functional E-government: A four stage model
K Layne, J Lee - Government information quarterly, 2001 - Elsevier
.”However, literature reports the experiences with e-government initiatives as
unmanageable and the ... This requires study of existing legislation to determine how
public or private the ... of government such as the Social Security Administration and
the local election department.”

4. Transforming local e-
government services: the use of application service providers
YC Chen, J Gant - Government information quarterly, 2002 - Elsevier
“Available online 10 December 2001. Abstract. This study examines the potential
of application service providers (ASPs) to transform electronic government
(e-government) services at the local level. The ASP model helps local.”

5. Determinants of user
acceptance of the e-Government services: The case of online tax filing and payment
system
SY Hung, CM Chang, TJ Yu - Government Information Quarterly, 2006 - Elsevier
“As well as the obvious academic value, the managerial implications of this study
will also benefit
 governmental policy makers, governmental
agencies.”

http://www.dict.gov.ph/introduction-and-overview-of-e-government-in-the-
philippines/
https://www.ctg.albany.edu/publications/reports/bridging_the_enterprise?
chapter=3&PrintVersion=2
http://unpan1.un.org/intradoc/groups/public/documents/NISPAcee/
UNPAN009486.pdf
https://scholar.google.com.ph/scholar?q=local+study+of+e-
government+services&hl=en&as_sdt=0&as_vis=1&oi=scholart&sa=X&ved=0ahUKEw
j8iNTIuLrSAhVCmpQKHaU_CMsQgQMIGDAA
 CHAPTER 3

METHODS OF RESEARCH AND PROCEDURE

3.1 Introduction
The chapter presents the methodology that is going to be used in carrying out the
study. It discusses the research philosophy and strategy utilized in the study
in pursuit of the goals of the study. The chapter further brings out merits and
demerits of making use of the research strategy utilized in this study so as to justify
its use. It also discusses the research design, the target population, sampling
techniques, and data collection instruments that were used in the study.
Furthermore, the chapter discusses how the issue of validity and reliability will be
addressed within the study. Finally it looks at the data analysis approach employed
in the study in relation to the goals of the study as well as ethical considerations
within the study.

3.2 Research Methodology

There are two research paradigms of research study namely interpretive
and positivism. The researcher chose to use the interpretive research paradigm. The
researcher discovered that it was very simple to gather information needed for the
research at DICT and the interpretive paradigm will provide adequate for the
study .Saunders ,Lewis and Thor nhill (2007:112) defines a paradigm as a way of
examining social phenomena from which particular understandings of
these phenomena can be gained and explanations attempted. The researcher will
use the inductive research which is commonly used with qualitative interviews or
ethnographic work-enquiry and discovery-focused. The researcher chose the
qualitative research over quantitative research for the following reasons: The
qualitative approach is humanistic in nature and gives room to inductive reasoning.
This point is further supported by Connaway and Powell(2010:77) who posits that,
it tend to apply to be a more holistic and natural approach to the solution of the
problem than does quantitative approach. It also tends to give more attention to the
subjective aspects of human experience and behavior. Qualitative research can be
credited for its ability to provide data that is rich and contextual in detail
[Patton,2002:25].The above points are the reason why qualitative research
approach was used in this research.
3.3 RESEARCH DESIGN
A research design is a work plan or a structure that is designed before data
collection or analysis can commence New YorkUniversity,n.d:15.Kathori(2006:31)
defines it as a conceptual structure within which research is conducted; it
constitutes the blueprint for the collection ,measurement and analysis of data
gathering, measurement and analysis. The central role of research design is to
minimize the chance of drawing incorrect causal inferences from data .A research
design is not just a work plan, for a work plan details what has to be done to
complete the project. The work plan flows from the research plan. The function of
a research design is to ensure that the evidence obtained enables us to answer the
initial question as unambiguously as possible. Yin,(1989:29) says research design
deals with a logical problem and not a logistical problem. Before a building or
architect can develop a work plan or order materials they must first establish the
type of building they required, its uses and the needs of the occupants. The work
plan flows from this. Similarly, in social research the issue of sampling, methods
of data collection [e.g. questionnaire, observation ,document analysis], design of
questions are all subsidiary to the matter of what evidence do I need to collect? The
researcher will use the case study approach in the study. Case-study research can
be well suited to an undergraduate dissertation. This approach to research uses a
narrow lens to build a rich and thick description of a single group, organization or
individual. A case study may utilize different kinds of data to build this picture,
including interview material, observation and document analysis. The emphasis is
on representing an accurate picture of the individual case and does not seek to
propose generalized results. Case studies can be used on their own as part of a
combined approach to data collection. Case study research is often used in social
work and education .Say(1996) says a case study research excels at bringing us to
an understanding of a complete issue or object and can extend experience or add
strength to what Is already known through previous research. Soy(1996) assets
that, case studies are complex because they generally involve multiple sources of
data for analysis. Researchers from many disciplines use the case study method to
build upon theory, to dispute or challenge theory, to explain a situation, to provide
a basis to apply solutions, to explore or to describe an object or
phenomenon .Goodwill[2010:36] summarizes the advantages and disadvantages
as follows;
3.3.1 Advantages of the case study
Case study makes intensive study possible. It offers a unique opportunity for in-
depth study of the unit from all aspects and thus to have deep probing which is
very essential for research work.

Subjective aspects can be studied as thorough as possible .

Case studies are multi-perspective analysis. This means that the researcher
considers not just the voice perspective of the actors, but also of the relevant
groups of actors and interaction between them.

Can be effectively used in combination with other methods such as survey and
observation

3.3.2 Disadvantages of the case study

The whole study is time consuming and requires extensive amount of data.

It is a method in which there is maximum ad-holism. It is left to the individual

researcher to pick-up a case of his choice without any criteria and to study that

Due to its holistic approach, some regard it as not having a „scientific feel‟ as

it only explores existing theory.

Danger of subjectivity, there is too much association of researcher with the unit
under study. The greater the rapport the more the subjectivity the whole process is.

3.4 Population and Sampling

In conducting research, it is essential for a researcher to choose what, where and
whom to observe and interview. The purpose of sampling is to study a
representative subsection of a precisely defined population in order to make
inferences about the whole population (Aber 1993:38). Sampling in a case study
research includes decisions researchers make with regard to sampling
strategies .There are different sampling procedures which are simple random
sampling ,systematic sampling, stratified sampling, cluster and
snowball sampling .Sampling is used when the population is too large for the
researcher (Hawkinsand Tull 1993:367)
3.5 Sampling Procedure
Sampling in case study research, is largely purposeful and selects information rich
cases for in depth study. Purposive sampling demands critical thinking about
the parameters of the population under study and choosing the sample case
carefully.

3.6 Research instruments
The researcher will use three data gathering methods which are observation,
questionnaires and interviews. instrument. The researcher also considered the face
validity of the questionnaires by looking at the appropriate options for responding.
Ensured confidentiality and anonymity was promised to the respondents in order to
increase the validity of the responses. A poor sequencing of questions, confusing
structure or design of a questionnaire threaten its validity(Gray,2004:207).The
researcher made a good sequential order of questions and a simple lay out structure
of the questionnaire to ensure its validity. The questionnaire covered the research
issues in terms of content and detail. For the interview, the physical setting will not
be changed at all. Interviews will be conducted in the respective offices of
the respondents because change of physical setting can also affect the reliability of
an instrumental the end of the day .In order to establish the content validity of a
measurement instrument, the researcher must identify the overall content to be
represented. Items must then be randomly chosen from this content that will
accurately represent the information in all areas. By using this method
the researcher should obtain a group of items which is representative of the content
of the trait or property to be measured .In order to establish the content validity of a
measurement, the researcher must identify the overall content to be represented.
Items must then be randomly chosen from this content that will accurately
represent the information in all areas .By using this method the researcher should
obtain a group of items which is representative of the content of the trait or
property to be measured.
3.8 Data Collection Procedure
The researcher will conduct a pilot study and tested questionnaires to
selected people from the DICT .Appointments will be made on time to allow the
conduction of interviews .Questionnaires will also be distributed on time allowing
the respondents to have enough time to go through them. The self-administered
questionnaires will be hand delivered to respondents in their offices and the
researcher will collect them after completion .The researcher had the advantage of
being an employee of NUST though working for a different department hence
travel expenses from one department to another were minimum Reliability and
validity will be used as important criteria for assuring the quality of the data
collection procedures. Reliability provides information on the extent to which the
data collection procedures elicit accurate data and validity provides information on
the extent to which the procedures really measures what it is supposed to
measure(Seliger,1989:184).

3.9 Data presentation and analysis procedure

Data presentation and analysis refers to the ways that the reduced data is displayed
in diagrammatic, pictorial or visual forms in order to show what the data
imply(Miles and Huberman,1994:10). Berg defined data analysis as consisting of
three concurrent flows of action which are data reduction, data display and
conclusions and verifications (Berg, 2004:38).

Data presentation and analysis ensures that all relevant and important information
is collected at the end of the study. Data presentation refers to the ways that the
reduced data is displayed in diagrammatic, pictorial or visual forms in order to
show what the data imply(Miles and Huberman,1994:10).Data will be presented in
figures and narratives for statistical analysis. In qualitative research, information
obtained from participants is not expressed in numerical form. The emphasis is on
the stated experiences of the participants and on the stated meanings they attach to
themselves, to other people, and to their participants, arguing that such quotation
are often very revealing. Berg defined data analysis as consisting of three
concurrent flows of actions, data reduction ,data display and conclusions and
verification(Berg,2004:38).Data analysis will start by sorting the data collected.
The researcher will check for completeness and internal consistency in the
questionnaire and structured interview (Hardon,2001:318).The researcher will
conduct data reduction through coding to make it more readily accessible and to
draw out various themes and patterns (Hardon, 2001:319).Observation data will be
used to corroborate data collected from other sources.

3.10 Summary
In summation, the previous chapter dealt with research methodology of the
study .It consisted of the research design to be used, population and
sampling procedures, and data collection techniques and procedures and data
analysis method. Primary and secondary sources will be used to collect data. A
pilot study
 CHAPTER IV

DATA PRESENTATION, ANALYSIS AND INTERPRETATION

Electronic records management

The majority (about 5) respondents indicated that they sometimes create and

receive electronic records. While only three indicated that they don‟t create or

receive any electronic records. The three do not have any access to the
computer .These who indicated that they create and also receive electronic records
also indicated that there is no any system at the Department manage these records
save for two who named the NAVISION as a system they are using to manage
electronic records. However on further probing through interviews the two
revealed that NAVISION is being used at other Department of the University but
the NUST Department of works said it had not been introduced.

Records appraisal
Six of the respondents indicated that they had a problem with the increase of
records accumulation in their offices. They further indicated that they had a file
which they have not accessed for the past three years. The two respondents did not
answer questions on this section while the other said he/ she had no problem with
the accumulation of records in his/ her offices. Generally the respondents indicated
that there were no records appraisal systems at the department hence the
accumulation of records. Observation by the researcher indicated that there were
no rooms including the strong room full of obsolete record.

 
National Archives usage and Records disposal
 Some respondents indicated that they have not sent records to the National
Archives before while some indicated that they were not sure if ever used the
National Archives as a repository to its enduring value records save for two
respondents who confirmed that indeed NUST had at one point sent its records to
the National Archives. Respondents further indicated they haven‟t disposed their

records ever since the formation of the National University of Science and
Technology.

Coordinated records management from the department’s top

management

Two respondents indicated that there was someone within the department top
management who had the role of overseeing records management practices within
the department. However five respondents indicated that there was no one incharge
of records management. This was further confirmed when the issue was further
probed by interviews, indeed the top management confirmed that there was
no one in charge of records management

Documented filing system i.e file coding and classification

All respondents indicated that there was no filing system within the department
ofworks and physical planning.

Rating of records management system by participants

The respondents divided themselves into two camps. The first four agreed that
records management practices were poor at the NUST works department while the
other four said that the records management practices were good or better at the
department

 4.4 Observation.
Through observation the researcher observed the following.

Registry or records

The works department had no registry or records office to manage its current
records. The administration office by design had a room demarcated as a registry
or records office but the room is not being utilized. The room is being used as a
dumping site where obsolete and useless records are stored. The office had no one
to maintain it.

Appraisal and disposal of records

The researcher observed that records were not being appraised or disposed
resulting in the accumulation of obsolete and useless records in offices the strong
room with files which are no longer current. The room designed as the registry is
also clogged with boxes and cabinets full of files which are not used at all by the
department.

Importance of records management

The researcher observed that senior officers in the department do not appreciate the
importance of records management. The department receives and dispatches mails
every day, the department keeps files, construction plans, fuel allocation records,
stores records etc.,

File and mail management

The researcher observed that there was no file management system, i.e. there is no
file classification and coding system. There is an acute shortage of file covers
which resulted in some records kept as papers tied together with elastics or strings
heaped on floors and some stuffed in boxes.

4.5 Summary

The responses gathered from respondents through questionnaires, interviews and

observation were shown on a pie chart and tables. The results were further
analyzed. Out of ten distributed questionnaires distributed only eight were returned
which were later analyzed and results tabulated. Interviews were conducted to
probe and seek clarification on certain topics of interests.

The researcher observed that senior officers in the department do not appreciate the
importance of records management. The department receives and dispatches mails
every day, the department keeps files, construction plans, fuel allocation records,
stores records etc.,

 
 CHAPTER V

SUMMARY OF FINDINGS, CONCLUSIONS AND RECOMMENDATION

records can suffer in an emergency even an event seemingly insignificant as a

leaking water pipe, a broken humidifier or a shutdown in temperature controls .
Zimmerman (1999:1) goes on to say in order to protect themselves and their assets,
including records and archives, many organizations develop
“emergency plans”, which are also called “disaster plans” or “business disaster” pl
ans. Such plans are based on the concept that an organization should identify its ass
ets-including its people, its equipment and supplies, and its critical information
sources-and then establishes procedures to protect those assets. An
emergency plan seeks to protect people and property and ensure that, in the event o
f anemergency, action is taken immediately to reduce the damage incurred and
institute recovery procedures right away.

Recovery procedures were not seen at The researcher found that there were
problems in accessing records at the Department. One respondent indicated that
they are in a habit of creating temporary files whenever they fail to locate a file in
time which is a sign of record management deterioration. The creation of
temporary files is encouraged when the file cannot be located but if the system is
implemented in an environment where records management program is not
in place it may lead to duplication of records in an office .The researcher found out
that they do create and receive electronic records but there is no system to manage
those electronic records like a repository of some sort so as to store and protect
them. However, it was noted that that other departments of the university already
are using the NAVISION software to manage their electronic records. The
researcher discovered that the word records appraisal is known at the department
and that all respondents admitted that they have files which haven’t accessed in the
past three (3) years.

This further proves that no records appraisals were ever done at the department
since the formation of the Department. The researcher found that the department
staff do not know that records have values when it comes to records appraisal
Failure to know that records have values infer that none at the department is able to
appraise and dispose records .It was discovered by the researcher, that the
Department of Works have not yet used the National Archives to preserve its
records of enduring value irrespective of the fact that the National University of
Science and Technology is a state institution. This was not a surprise to the
researcher since the respondents had previously indicated that they don’t know that
records have values and even that they do not know that the Department haven’t
done any records appraisal, nor does it have any records retention schedules which
are used to determine which records deserves archiving or destruction at the of a
records lifecycle.

Failure to send records to the National Archives of Zimbabwe and failure to

destroy obsolete records is the reason why storage equipment and offices are
clogged with records resulting in some records placed in cardboard boxes and
some on direct floors.

The researcher discovered that there was no top management support to make sure
that records are created, received, maintained, used and disposed systematically
and efficiently. Records management systems work efficiently and effectively
where top organizational management support the system.

As long as organizational top management takes less serious the management of

organizational records, the records management system will collapse leading to
corruption, delays to serve customers etcetera thereby affecting the overall
effectiveness of the organization. The researcher discovered there was no
documented filing system. Griffin and Roper(1999:31) states that records need to
be controlled, failure to control records will result in the collapse of the records
management system. Records controls includes registration of files, indexing of
files, classification, series control, appraisal and disposal of records.

 
This research study was prompted by the observations made by the researcher
during his attachment period at the Department of Physical Works and Estates
which made him make the assumption that the Department was not appraising and
disposing its records timely. Therefore, the aims of the research were to prove if
the assumptions were so and to discover if the department had an efficient records
management system used to effectively manage its records in an effort to promote
the effectiveness of the department. Furthermore this chapter will state the findings
of the research study and make recommendations.

Chapter One had the background and assumption of the study. The chapter went on
to explain the scope of the study.

Chapter Two, is the literature review chapter it defined what literature review is. A
wide spectrum of significant literature was therefore gathered, critically evaluated,
analyzed and interpreted in line with its contribution to the research problem under
review. 

Chapter Three dwelt on the design or plan of how the research would be carried
out to specifically suit the problem under review. This resulted in a purposive
research that was a non- probability sampling method. Also this research managed
to find the best alternatives or methods of data collection in process. Research
instruments , questionnaires and participatory observations were applied to try
and get the richest source of information where possible.

Chapter Four focused on the findings or results of the data gathering and analysis
of information gathered from the population group selected from the staff of the 
Department.

 
From the research done it was noted that the term records management is to some
extent familiar with the. Had they failed to know what is meant by the term was
going to be an indication for employees to appreciate the importance of records
management to the organization.

The research found that staff members at NUST Department of Works have again
an average understanding of the importance of records management although
further analysis indicates that they are not turning their knowledge into action .The
research discovered that there is none with any records management qualification
at certificate, diploma or degree level within the department. The research further
found that the department had not yet conducted any records management related
workshop for its employees.

5.3 Conclusion
The NUST Department of Works has serious records management problems which
need to be addressed as soon as possible. The analysis of the records keeping
standards proved that there was no registry or records office, no records appraisal
or disposal had ever been done. There is a huge accumulation of both archival and
obsolete records in offices filling up office space.

5.4 Recommendations
The researcher recommends the following to the department of Works :

1. The department must come up with a departmental records management

policy or a records management procedural manual or some sort of standards
to manage records so as to ensure uniformity in the management of records
within the department.

 
 2. The Department should appoint someone with a records
management background to revive the departmental registry or records
office which is being utilized. Other departmental officials need workshops
on records management so that they become aware of the importance of
records management to an organization and to learn different methods of
records in different media.

3. The department must have a records preservation plan, a vital

records protection plan and a disaster preparedness plan.

4. The departments‟ should appraise and create retention schedule

es or disposal schedules so that the disposal of records becomes a routine which is

systematic and not an ad-hoc procedure. The creation of records disposal schedules
will help to solve the unnecessary keeping of archival and obsolete records in
offices creating room for current records only in records storage equipment and
offices.

5. The registry or records office be operationalized and that all the records of

the department be centralized in the records office where a trained
records professional will be able to manage departmental records in a
professional manner.

 
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