Managing university records and documents in the world of governance, audit and risk: Case studies from South Africa and Malawi

There are enormous benefits for any organisation from practising sound records management. In the context of a public university, the importance of good records management includes: facilitating the achievement the university’s mandate; enhancing efficiency of the university; maintaining a reliable institutional memory; promoting trust; responding to an audit culture; enhancing university competitiveness; supporting the university’s fiduciary duty; demonstrating transparency and accountability; and fighting corruption. Records scholars and commentators posit that effective recordkeeping is an essential underpinning of good governance. Although there is a portrayal of positive correlation, recordkeeping struggles to get the same attention as that given to the governance. Evidence abounds of cases of neglect of recordkeeping in universities and other institutions in Sub-Saharan Africa. The apparent absence of sound recordkeeping provided a rationale for revisiting some universities in South Africa and Malawi in order to critically explore the place of recordkeeping in an organisation’s strategy in order to develop an alternative framework for managing records and documents in an era where good governance is a global agenda. The research is a collective case study in which multiple cases are used to critically explore the relationship between recordkeeping and governance. As qualitative research that belongs in the interpretive tradition of enquiry, it is not meant to suggest prescriptive solutions to general recordkeeping problems but rather to provide an understanding of the challenges and opportunities that arise in managing records and documents in the world of governance, audit and risk. That is: what goes on in the workplace; what are the problems; and what alternative approaches might address any existing problem situations. Research findings show that some institutions are making good use of their governance structures and other drivers for recordkeeping to put in place sound recordkeeping systems. Key governance structures and other drivers for recordkeeping identified include: laws and regulations; governing bodies; audit; risk; technology; reforms; and workplace culture. Other institutions are not managing their records and documents well despite efforts to improve their governance systems. They lack recordkeeping capacity. Areas that determine recordkeeping capacity include: availability of records management policy; capacity for digital records; availability of a records management unit; senior management support; level of education and training of records management staff; and systems and procedures for storage, retrieval and dispositions of records. Although this research reveals that the overall recordkeeping in the selected countries has slightly improved compared with the situation other researchers found a decade ago, it remains unsatisfactory and disjointed from governance. The study therefore proposes governance recordkeeping as an approach to managing records and documents in the world of governance, audit and risk. The governance recordkeeping viewpoint considers recordkeeping as a governance function that should be treated in the same manner as other governance functions such as audit and risk management. Additionally, recordkeeping and governance should be considered as symbiotic elements of a strategy. A strategy that neglects recordkeeping may not fulfil the organisation’s objectives effectively.

Cassius Dio's speeches and the collapse of the Roman Republic

This thesis argues that Cassius Dio used his speeches of his Late Republican and Augustan narratives as a means of historical explanation. I suggest that the interpretative framework which the historian applied to the causes and success of constitutional change can be most clearly identified in the speeches. The discussion is divided into eight chapters over two sections. Chapter 1 (Introduction) sets out the historical, paideutic, and compositional issues which have traditionally served as a basis for rejecting the explanatory and interpretative value of the speeches in Dio’s work and for criticising his Roman History more generally. Section 1 consists of three methodological chapters which respond to these issues. In Chapter 2 (Speeches and Sources) I argue that Dio’s prosopopoeiai approximate more closely with the political oratory of that period than has traditionally been recognised. Chapter 3 (Dio and the Sophistic) argues that Cassius Dio viewed the artifice of rhetoric as a particular danger in his own time. I demonstrate that this preoccupation informed, credibly, his presentation of political oratory in the Late Republic and of its destructive consequences. Chapter 4 (Dio and the Progymnasmata) argues that although the texts of the progymnasmata in which Dio will have been educated clearly encouraged invention with a strongly moralising focus, it is precisely his reliance on these aspects of rhetorical education which would have rendered his interpretations persuasive to a contemporary audience. Section 2 is formed of three case-studies. In Chapter 5 (The Defence of the Republic) I explore how Dio placed speeches-in-character at three Republican constitutional crises to set out an imagined case for the preservation of that system. This case, I argue, is deliberately unconvincing: the historian uses these to elaborate the problems of the distribution of power and the noxious influence of φθόνος and φιλοτιμία. Chapter 6 (The Enemies of the Republic) examines the explanatory role of Dio’s speeches from the opposite perspective. It investigates Dio’s placement of dishonest speech into the mouths of military figures to make his own distinctive argument about the role of imperialism in the fragmentation of the res publica. Chapter 7 (Speech after the Settlement) argues that Cassius Dio used his three speeches of the Augustan age to demonstrate how a distinctive combination of Augustan virtues directly counteracted the negative aspects of Republican political and rhetorical culture which the previous two case-studies had explored. Indeed, in Dio’s account of Augustus the failures of the res publica are reinvented as positive forces which work in concert with Augustan ἀρετή to secure beneficial constitutional change.

Film policy in practice: a case study of Scottish Screen’s funding schemes

This thesis examines cultural policy for film in Scotland, from 1997 to 2010. It explores the extent to which the industry is shaped by film policy strategies and through the agency of public funding bodies. It reflects on how Scottish Screen, Scotland’s former screen agency, articulated its role as a national institution concerned with both commercial and cultural remits, with the conflicting interests of different industry groups. The study examines how the agency developed funding schemes to fulfil policy directives during a tumultuous period in Scottish cultural policy history, following the establishment of the Scottish Parliament with the Scotland Act 1998 and preceding the Independence Referendum Act 2013. In order to investigate how policy has shaped the development of a national film industry, a further two case studies are explored. These are Tartan Shorts, Scotland’s former flagship short film scheme, and the Audience Development Fund, Scotland’s first project based film exhibition scheme. The first study explores the planning, implementation and evaluation of the scheme as part of the agency’s talent development strategy. The outcomes of this study show the potential impact of funding methods aimed at developing and retaining Scottish filmmaking talent. Thereafter, the Scottish exhibition sector is discussed; a formerly unexplored field within film policy discussions and academic debate. It outlines Scottish Screen’s legacy to current film exhibition funding practices and the practical mechanisms the agency utilised to foster Scottish audiences. By mapping the historical and political terrain, the research analyses the specificity of Scotland within the UK context and explores areas in which short-term, context-driven policies become problematic. The work concludes by presenting the advantages and issues caused by film funding practices, advocating what is needed for the film industry in Scotland today with suggestions for long-term and cohesive policy development.