Records Management Audit Using the ARMA Information Governance Maturity Model: A Case of the Department of Teacher Training and Technical Education (DTT&TE), Botswana

Abstract

The information environment is rapidly growing due to increased data from business transactions and processes. This calls for records management to support decision-making and business functions. This is possible through what we refer to as information governance. This paper aims to bridge the gap between existing records management practices and the ideal state by undertaking a records management audit at the Department of Teacher Training and Technical Education (DTT&TE) using the ARMA Information Governance Maturity Model, ultimately improving information governance and records management processes. The study employed a qualitative case study approach.  Data was collected through observations and interviews with three respondents, including the chief, principal, and senior records officers. The study's key finding reveals that DTT and TE are at level 3 (essential) of the maturity level. This finding implies that DTT&TE has well-defined regulatory requirements and processes. However, the study also revealed that the organisation does not meet the required maturity level (5). To this end, this poses risks such as poor performance due to a lack of accountability, poor execution of records management practices, low levels of compliance with requirements, and backlogs of records resulting from a lack of retention and disposition schedules in the organisation. Furthermore, the study reveals that the above risks result from challenges such as shortages of storage, security issues, and inadequate staffing, among others. To address these challenges, the paper recommends that DTT&TE review records management policies, adopt compliance frameworks, and provide staff training by DTT & TE.