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The purpose of this paper is to investigate the relationship between corporate governance and records management in the context of higher education in Sub-Saharan Africa.

This is a qualitative research taking the form of a collective case study of six institutions.

That good records management can and does contribute to effective corporate governance and accountability. However, this relationship is not necessarily present in all circumstances.

That further corporatisation in higher education is likely to be supported by, and result in, better records management.

The paper proposes governance record keeping as an approach to managing records and documents in the world of governance, audit and risk.

Using as its basis the Australian Records Management Standard (AS 4390 – now superseded by the International Records Management Standard, ISO 15489), the National Archives of Australia (NAA) has developed an extensive range of detailed and practical standards, guidelines, policies and manuals to assist Australian public sector organisations to implement strategies to make and keep full and accurate records. The NAA committed to this course of action in response to evidence of widespread poor record keeping in the Australian Government, the result of changes to work practices in the public sector including the spread of electronic business systems and the devolution of managerial responsibility. This article describes the major components of the “e‐permanence”’ suite of best practice record keeping guidance and discusses implementation strategies pursued by the Archives in support of these products.

Particular attention to the issue of information management will be required to meet the expected growth in IoT-devices and the data they generate. As government agencies start collecting and using such information, they must also deal with the issue of privacy, to comply with laws and regulations. The approach discussed here shows that record-keeping principles may form part of a solution to the issue of managing IoT-data for government agencies.

This study uses the generally accepted record-keeping principles as a basis for a high-level discussion on how IoT-data can be managed. This is followed by a presentation and discussion on how the Norwegian record-keeping standard, Noark, can be extended to highlight practical issues.

Record keeping has principles that are relevant to the management of IoT-data. Further an implementation of the chosen use-cases is possible based on an existing record keeping standard. Record keeping is one of many information science approaches that can manage IoT-data.

The main limitations are that the discussion cannot cover all types of IoT-devices, nor can all issues be captured with a limited choice of examples. The results should be seen within the context of the types of devices discussed and limited to the chosen use-cases. However, the level of abstraction used means the results may be applicable to similar scenarios.

The approach shows that record-keeping principles may be used as an approach to manage IoT-data. This discussion is useful when compared with other information science approaches, e.g. big-data or semantic Web approaches. The practicalities of a record-keeping approach are also discussed and relevant strengths and weaknesses are showed.

The purpose of this paper is to investigate the recognition of record management profession in the Namibian Public Service. The objectives of the study are to determine appreciation of the importance of records record management; establish policies that support records management; find out the promotion of the records management function in the public service; establish training and job opportunities available for the record management professionals; and come up with recommendations on how the recognition of the record management profession could be enhanced in the public service of Namibia.

This case study used qualitative data collection methods, namely, focus group discussions and interviews. The two ministries and records keeping staff who took part in the focus group discussions were conveniently selected, whereas the two government offices where one key informant each was interviewed were purposively selected.

This study revealed that the records management profession was not well recognised in the public service of Namibia. The hiring of staff with low educational qualifications and the hiring of records keeping staff with some Diploma qualifications into the same positions as those without qualifications were all evidence of this. In addition to these was the failure to re-grade the records keeping staff through the establishment of a records management cadre.

The study recommends the creation of record management units in all offices, ministries and agencies headed by qualified record managers supported by qualified records management staff, finalisation and implementation of the records management policy, as well as the creation of a records management cadre.

The findings of the study on which this paper is based could inform policy for decision makers, and for the records management keeping staff, a strategy for advocating for recognition of their profession was planned.

To explain the Securities anld Futures Commission of Hong Kong’s new FAQs on external electronic data storage.

The article analyses the existing legal and regulatory requirements relating to the keeping of records as well as the circular and FAQs on the use of external electronic data storage. It also discusses the practical implications of the newly added FAQs.

The SFC has relaxed the requirement as regards the appointment of two Managers-In-Charge in Hong Kong for the purposes of the circular on the use of external electronic data storage. The SFC has offered more flexibility with respect to the undertaking by electronic data storage providers in the FAQs. The FAQs have also provided more certainty with respect to the approval requirements pursuant to section 130 of the SFO where non-Hong Kong affiliates are concerned.

The additional guidance from the SFC regarding external electronic data storage in the form of the new FAQs shows a helpful clarification in the SFC’s approach on the practical implementation of the relevant requirements under the circular on the use of external electronic data storage.

The article offers practical guidance in respect of the implications of the newly added FAQs on the external electronic data storage regime from experienced financial services and asset management lawyers.

The purpose of this paper is to summarize record‐keeping requirements for Securities and Exchange Commission (SEC)‐registered advisers of private investment companies, especially hedge funds.

Summarizes the important record‐keeping provisions of Rule 204‐2 under the Investment Advisers Act of 1940 (the Advisers Act) in categories including accounting records; records of orders to purchase and sell securities; written communications; documents supporting performance information; lists of discretionary accounts; powers of attorney; written contracts; codes of ethics; personal securities transactions; disclosure documents; client solicitation agreements; written policies and procedures; records for advisers with custody; investment supervisory or management services; proxy voting records; coded designation for certain clients; the time, place, and manner for retention of records; records for advisers exiting the business; duplicate records; records for nonresident advisers; records for advisers previously registered with a state; and hedge fund records.

Pursuant to new Rule 203(b)(3)‐2 under the Investment Advisers Act of 1940 (“Advisers Act”), most advisers of private investment companies, especially hedge funds, will be required to register with the SEC as investment advisers. Registered investment advisers must comply with the rules and regulations of the Advisers Act, including the recordkeeping requirements of Rule 204‐2 under the Advisers Act. Although the subject of recordkeeping is perhaps unexciting, recordkeeping is a key area of regulatory focus for the SEC and its examiners, particularly as they seek to gauge the adequacy of adviser compliance and internal controls.

A useful summary of record‐keeping requirements for hedge funds and other private investment companies.

Records and archives professionals around the globe have been grappling for some time with the challenge of preserving technology‐dependent records. A variety of approaches and solutions have been developed, many of which are working effectively now. The State Records Authority of New South Wales (State Records) has developed a range of strategies, rules and tools on this issue for its own jurisdiction – Government organisations in the State of New South Wales, Australia. The latest product developed by State Records is a set of online guidelines titled, “Future proof: ensuring the accessibility of equipment/technology dependent records”. In this article, the background to the development of the guidelines is discussed, and the strategies they contain are described. Some considerations for the management of technology‐dependent State archives are also outlined.

Instrumental vaginal delivery is an area often responsible for indefensible claims. One of the important reasons for this is poor medical record keeping. The standard of record keeping for instrumental vaginal deliveries within our unit was audited with a view to improving deficiencies. A retrospective analysis of 100 case records of women having an instrumental vaginal delivery was made over a period of one year. After identifying deficiencies in the quality of record keeping a pre‐printed standard record form was introduced and a further 50 cases audited. Deficiencies were identified in the documentation of clinical obstetric findings, type of anaesthesia, estimated blood loss, type and size of ventouse cup used. Analysis of cases using the standard record form has demonstrated 100 percent compliance with adequate record keeping.

The electronic document and records management system model (EDRMS) served for most of the noughties (the decade from the year 2000) as an orthodoxy that united the records management profession. The purpose of this paper is to address two questions: “Does the stagnation and retreat of the EDRMS model towards the end of the noughties call into doubt the theory that lay behind that model, namely DIRKS and the records continuum?”, and “Is a new records management orthodoxy likely to emerge over the course of the next five years, and if so what form might it take?”.

The paper looks back at the author's readings of DIRKS and the records management continuum at different times over the period 1993‐2010, and links those readings with the prevailing fortunes of the EDRMS model that was build on top of that theory. It gives a personal perspective of a consultant/practitioner on the chances of a new records management orthodoxy arising in the course of the next five years.

The loss of momentum of the EDRMS model does not invalidate the insights of DIRKS and the records continuum. Both frameworks support alternative readings from those that underpinned the EDRMS model. But any future orthodoxy is likely to be less directly derived from theory. One possible future orthodoxy is the “records repository model” – where a business classification scheme is held in a back end system, and applied to content held in the various applications used by colleagues. However this model has not yet received sufficient practitioner attention, and there are unanswered questions as to how it would work in practice.

The paper looks at the ways in which the records management community has used orthodoxies in both theory and implementation models to keep itself united during an extended period of upheaval and change since the commencement of the networked digital age. It outlines the challenge of finding a records management orthodoxy that is both consistent with record keeping theory and also workable and sustainable in the rapidly changing world of enterprise computing.

The purpose of this paper is to discuss the role and type of records required to support the financial value of artworks and the importance of records for accountability. It looks at the impact of records of provenance, authenticity and investment value and it identifies the impact of the presence, absence and quality of supporting records on the value of an artwork.

Assessing records and their impact on the value of artworks involves investigating whether an artwork without records of authenticity, provenance and investment has the same value as one with such records. It also involves examining how records that provide evidence of an artwork's financial value (prices, auctions, transactions, condition reports, etc.) affect the value of the artwork. What is the impact of records on the value of an artwork? Research was conducted starting with a review of the literature and a small survey of experts.

The results suggest that art records are increasingly important with regard to ownership disputes, insurance claims, accountability for public spending, risk reduction and investment value. Records of provenance, investment and authenticity clearly support the value of artworks, yet the research highlighted a lack of awareness amongst experts about the importance of authenticity. Higher standards, record‐keeping, regular reviews of the artwork and the market and continuous improvements are required to maintain accountability and the value of a collection. Recommendations include regular updates of records, the keeping of records on rights, proof of ownership and long‐term retention.

Further research would be required to clarify whether comparison methods are adequate for the price formation of artworks, to ascertain which records would be required and to establish recognised standards for the content of records. The findings raised awareness of the need for information on the creation of artworks.

The paper concludes by emphasising that it is essential to obtain records for a collection and to keep them secure and updated. It proposes that good record‐keeping reduces risks, improves transparency, supports the value attained and increases in importance as the financial value of art climbs. Many sources and types of record are necessary to support the value of an artwork, especially records of provenance, investment value and authenticity. An artwork with quality records in these categories has higher financial value.