ABSTRACT
The purpose of the study was to investigate the state of Electronic Records Management (ERM) in Oil and Gas companies. Descriptive survey design method was used for the study. The study was carried out in SPDC (Shell), Schlumberger and AOS Orwell by using the entire record practitioners who work in the company’s record centers. Hence the accessible population was 55 out of 61. The questionnaire consisting of 80 items was the instrument used to collect data which were presented in tables and analyzed using percentage (%) for research question 1 and overall mean (X) for the research question 2 to 7. However, from analysis of data gathered through questionnaire, the state of ERM is unsatisfactory because digitalizing tablet and standard software packages did not receive considerable response. On electronic accessibility media; name of creator, released date and name of intended audience did not receive considerable response. More so, electronic preservation methods preserving records in external archives in another location did not receive considerable responses. Progressively, electronic competence of record practitioners, providing access to records did not receive considerable responses. The study further reveals that, the companies under study faced the following challenges: Records change and become unreadable after sometime; the context of electronic records and its relation to other records can easily be lost; inadequate standard software for managing electronic records and electronic records are subject to undetectable changes. All these are the bane of electronic record management in the Oil and Gas companies studied. Recommendations were made on how to remedy specific lapses and by so doing, it improves the current trends in ERM in three Oil and Gas Companies in Niger Delta region of Nigeria. Among the recommendations are; adequate, qualified and competent professionals such as those that have background knowledge in library and information science, record and archival management, information technology and electronic storage system should be employed. Such caliber of staff can electronically initiate records management programs, capture records, organize and describe records, provide access to records, preserve record, and deposit records. The study also recommends provision of good electronic resources and technological museum where maintenance engineers can work on malfunction electronic resources.
CHAPTER ONE
INTRODUCTION
Background of the Study
Record is what companies or organizations need to keep for later recollection or confirmation of certain events. Records could also be seen as all information created, sent and received in the course of carrying out the business of an organization which provides proof of what happened, when it happened and who made decisions. Hence, according to Nguyen (2011) and Yeo (2007) the universal definitions of records and records management continue to be at the centre of debate among writers and practitioners in the archives and records management community. However, the majority of researchers agree that ‘records’ hold the evidential value (Shepherd & Yeo, 2003; Crockett, 2006; O’Shea, 1996). In National Archives Act of Nigeria (1992) ‘records’ means all papers, registers, printed matters, books, maps, plans, photographs, microfilms, cinematographic films, sound recordings, or other documentary material regardless of physical form or characteristics made or received by public or State offices, or by business houses or companies, private bodies or individuals in pursuance of their legal obligations or in connection with the transaction of their proper business, but does not include library or museum material made or acquired solely for reference or exhibition purposes, extra copies of records kept only for convenience of reference or stocks of publications.
Consequently, Yeo (2007) reviews different statements about the nature of records, emphasizing either the evidence or information aspect, and proposing the concept of records as persistent representations of activities created by participants or observers or their authorized proxies. Thus, in both electronic and paper environments, a record has three characteristics namely: content, structure, and context. Content: that which conveys information (text, data,
symbols, numerals, images, sound, and vision). Structure: the appearance and arrangement of the content (relationships between fields, entities, language, style, fonts, page and paragraph breaks, links, and other editorial devices). While, context: the background information that enhances understanding of technical and business environments to which the records relate (application software, link to function or activity, provenance information) (Hunter, 1997, p. 242).
It is worthy of note that not all records are of equal importance or need to be kept”. Actually, the vital records need to be managed. Moreover, since the earliest civilizations, records have been managed by libraries; but records management as a professional discipline has only recently been established, and is still going through a tough battle to gain recognition in the world of information management (McLeod & Hare, 2010). Pemberton (1998), in describing a journey into the history of Records Management as a profession claims that, it has existed for more than 10,000 years before the formal word ‘records management’ was explicitly coined.
Furthermore, Nguyen (2011) stated that, the terms ‘records management’ and
‘recordkeeping’ are often used interchangeably. However, several definitions of ‘records management’ by various national archive authorities and authors are presented. In National Archives of Nigeria, Albada and Bower (1989) defined Records management as a process of managing recorded information, regardless of its physical form or characteristic, from the points of creation to its final disposal. According to National Archives of Australia (2007), record management involves making and maintaining complete, accurate and reliable evidence of business transactions in the form of recorded information. In the same vein, National Archives of United States (2007) view record management as planning, controlling, directing, organizing, training, promoting, and other managerial activities involved in records creation, maintenance and use, and disposition in order to achieve adequate and proper documentation of the policies
and transactions of the organization and effective and economical management of agency operations. Moreover, Robels & Langemo (1999) views record management as a professional management of information in the physical form of records from the time records are received or created through their processing, distribution, and placement in a storage and retrieval system until either eventual elimination or identification for permanent archival retention. Association of Records Manager and Administrator (2001) also states that, record management help to saved and maintained records as evidence for an organization or person in pursuance of legal obligation or in the transaction of business.
In International Standard Organization: ISO 15489- 1 (2001), record management is the field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records. Similarly, in Business Dictionary (2012) Record Management is also defined as a systematic administration of records and documented information for its entire life cycle; from creation/receipt, classification, use, filing, retention, storage, to final disposition.
Furthermore, Crockett, (2006) in National Archives of United Kingdom, Record Management functions in creating, organizing and maintaining records to ensure they provide evidence of activity, decision-making and policy. It also includes the establishment of links between related records, swift and accurate filing and accessibility when required and scheduled destruction or transfer to an archives repository as appropriate in a timely fashion. In the same vein, National archives of Nigeria (1985) views, that a good records management can enable the preservation of records essential for legal, financial, fiscal, administrative and operational purposes, as well as for historical and cultural reasons. In addition, an accepted records management techniques extend a proven methodology for ensuring the economical, efficient,
and effective access to current information required for timely and informed decision-making (Albada and Bower in National Archives of Nigeria, 1989). More to these, Ira (2004) states that record management provides evidence of activities performed, events that occurred, results achieved, or statements made.
Hence, Williams (2009) observes that, Record Management practice helps organizations in maintaining their record from the time the record is created to the time of its eventual disposition. Interestingly, it can be seen clearly that, Records Management has gradually moved from a position on the periphery of organizational attention to more central legal requirement for both public and private sector. Hence, managing of records could be traditional/ manual or electronic.
It is noteworthy that traditional record management involves the use of physical objects or materials in making records available for use by organizations. Manual or traditional record management has very long and rich history but the most significant details in brief; at about
15000 B.C, the idea of Lascaux cave drawing was initiated by man. By 37th century B.C (3650)
the hieroglyphic writing system was created by the Egyptians. In 27th century B.C (2600), pyramid texts were written on fifth dynasty of Egypt. These tests are the eldest religious writing in the world. These records among others were essentially raw materials from nature source.
In the 2nd century AD, T’sai Lun developed the process of paper making in China. This
was a turning point in manual/traditional record management. Bible translation into Ge’ez in Axum (region in modern Ethiopia) during the reign of Kaleb gave impetus to manual record management. This happened in 525AD. As time went by, papermaking spread to different parts of the world. Besides, the advent of printing in 1445 was a major occurrence in the world of manual record management.
Notably, in some decade ago, manual record management suffices in the major phases of records lifecycle. That is, from the time they are created to when they cease to have any administrative, legal or fiscal value. However, the ideas of manual/ traditional record management facilitate storage and circulation. At records creation stage, record copies are known and this helps to minimize duplicates and centralized filing system which are often used. Records in active use are quickly identified, received and handled and also housed in such a way to minimize damage. More to this, traditional upright file drawers of 23 to 27 inches of clear capacity which can contain 5 to 20 file guides, with standard folder labels are used for filing storage management which helps to maintain the certainty of original order of records. Similarly, inactive use records are usually removed from active file space and store on standard steel shelving in off-site. Consequently, records with expired retention are destroyed, but records which have continuing historical value are usually archived for formal shredding.
Hence, in many organizations and companies where records are generated, it is discouraging to note that manual records management has not been able to cope with the needs of management as a result of increase in activities and information needs. As a result of this, in some offices, filing is not done regularly hence creating hardship in retrieving needed records. Where filing is done, it is inaccurately done thereby resulting in non-retrieval of needed records. In other words, records are not taken care of physically and deteriorate fast or disappear as a result of exposure to the elements or through theft and other problems associated with manual records management are caused by fire, water, warfare, mutilation, insect attacked, mildew, dust stones. Thus, a considerable amount of time is lost searching for records through manual processes. This delays decision making, wastes time and lead to frustration. To this end, examples of forms of manual or physical records are; books, papers, maps, photographs,
engineering specification, catalog, gallery proof, and brochures. (Many, White, Martin & John,
2001).
It is apparent that, manual or traditional record management gave birth to electronic record management. As a result of increase in activities and overwhelming information in various organizations and companies, information technology development in the last three decades has created a shift in the cultural perceptions on records management. The materials that now need to be controlled and managed have grown beyond the traditional paper based on electronic. Zawiyah (2005) and Mckemmis (2005) buttress that, “a record can either be a tangible object or an electronic format”. Waldon (2004) defined electronic records, “as machine- readable records in which records can be managed through systematic control of the creation, maintenance, use and disposal”. Therefore, electronic records need to be managed with appropriate methods and techniques, which could be referred to as Electronic Records Management (ERM). Electronic Record Management (ERM), “is an electronic method used to support the creation, use and maintenance of records for the purpose of improving an organization’s workflow” (National Archives of Australia, 2008, p.19).
Electronic Record Management, “incorporate recordkeeping functions and aims at managing records for the purpose of providing evidence of business activities through capturing contextual information (metadata) about the records being created and ensuring security control in order to keep the authenticity and integrity of the records” (National Archives of Australia
2004, p. 5-8). In the same view, Ernst and Young (2009), stated that “Electronic Records Management, is the digital practice of maintaining records of an organization from the time of creation to its eventual disposal”
By the same token, computers and other electronic devices are used in managing of most records we use today which include: E-mail, Voicemail, Geographic information System (GIS), web pages, word-processed document, spread sheets, data base, digital image, video files, audio files. (New York State Archives 2012, p.28), Also McLeod (2007) listed the following as the varieties of electronic records: electronic gadgets, scanned paper, blog, twitter, PDFs, web content, and office automation software suits. It is also important to note that, the technology evolution from mainframe computer – minicomputers – personal computer – networked PCs and others electronic resources have created a new age of record management (Malerba, Nelson, Orsenigo, Winter 1999). Furthermore, all these are supported by different software packages for efficient records management such as Opus Inet, IBM-Record Managers, Accutrac-Records Management, Web Simple Records Manager, etc. This is because voluminous records are created each day as a result of increase in organizational activities in which ERM has been made to provide numerous benefits to individuals, organizations and societies as a whole if implemented properly (Pearce, 2007; Adam, 2007; Johnston & Bowen, 2005; Sprehe, 2000; Sprehe, 2005).
Hence, the overall benefits of ERM implementation include: provision of work evidence, improved work efficiency and effectiveness for individuals; improved supports for organizational risk management, improves regulatory and auditing requirements; significant reduction of staff workload by automating the process of capturing records and business workflow; saving of both cost and time by removing the need to maintain separate content infrastructure and improving the speed of records retrieval; it also support retention schedule, disposition, access control, information security and better long-term migration/preservation
options ERM also helps in maintenance of organizational memory, societal history, accountability and transparency within an organizations, just among others.
In addition, Electronic Records Management, has realistic targets and project design, but requires a trained and competent professional who can take care for records in their original format, secured and monitored even under strict surveillance. Trained record management practitioners, should ensure that records are well created, safe, secured and also accessible by their respective companies. For within an organizations or companies, electronic records pass through a lifecycle in a similar manner with manual records, and serving different needs at different times. A more active management of electronic record is required to ensure records fulfilled its purpose of being created and also need to be retained over a time by the organization or permanently within an appropriate archive.
However, these strategies, call for a range of policies and processes which People at all levels of the organization need to involve in the records management processes to some degree, most especially, the record creators, the business users and managers, and the information technology specialists, as well as the records and information managers. More to this, the department or unit as a whole needs to have a clear understanding of its requirements so that they can articulate such a way they can be appreciated by their organization.
It is also important to note that the policies and procedures applied in management of records in some organizations or companies are not up to standard. Connolly (2005) observed that, “In many organizations, record management problem is a massive one. In fact, in many organizations, records management system exists, but they are inadequate and unable to cope with the growing mass of records. Similarly, administrators find it ever more difficult to retrieve the information they needed to formulate, implement, monitor policies, manage personnel and
their activities as a result of ineffective records management”. Norris (2003) observed that for effective management of electronic records in a company certain variable should be considered such as subject record categories, good electronic resources, electronic elements for records accessibility, electronic preservation methods and competent records management practitioner.
In a corporate organization where activities engaged in are large, it will be very cumbersome to manage all their information together in a single repository system which may affect the retrieval system. As a result of this, the main activities that matter to the company’s operation and management can be grouped into subject area for effective management. Consequently, the following subject group of records are good for Oil and Gas companies: accounting records, banking records, contract records, corporate records, correspondence records, employee records, frequently used forms, intellectual properties records, operational records, permit and license records, stock records and tax records.(McKemmish, 2005).
Furthermore, in this era of information overload and overflow, the subject group records are managed with the use of electronic resources of different kinds such as computer, database, compact disc, digital camera, digital versatile disc, digitizing tablets, fax machine, flash drive, Internet, intranet, projector, recorders, scanners, software packages, telephone (Dagobert, 2012). The resources can be enabled, used, manipulated and modified in the course of record management. Some of these resources are compatible while some can be used in isolation. However, for the purpose of accessibility, the following elements should be considered: date of creation, department number, description of content, name of group associated with the records, name(s) of intended audience, project number, publication date, records series, release date and version number. (JISC Electronic, 2008).
It is very imperative to note that records proffer information value, reference value, legal value, fiscal value, evidentiary value. However, it is not all records that have enduring value, to this effect, records that have future value with retention schedule should be preserved via the use of the following methods: preserve in computer hard disc, compact disc, preserve in backup server within the company, preserve in digital archives within the company, preserve in external archives in another location, preserve with external host agency, and creating sectional services (Ronald, 2006).
It is worth emphasizing that, effective management of electronic records requires the practice of competent practitioner, who can perform range of tasks with established standards need to be employed. Hence, records practitioner competent skills should cover the following: provision of records management programmes and services, records creation and capturing, organizing and description of records, making records accessible, storing and protecting records, disposition of records, having business, interpersonal, and personal skills (Alberta Government Services, 2004).
Similarly, Electronic Records Management (ERM) can be applied, and adopted in Oil and Gas companies, because Oil and Gas companies are business oriented companies established to make profit and they use different records which can be grouped into categories based on their operations. According to Gard & Hard (2004) “Oil and Gas companies operate in two sectors which are: Upstream and downstream. The upstream sector is commonly referred to as Exploration and Production (E&P) and this sector involve searching for, recovery and production of crude Oil and natural Gas, through potential underground or underwater in Oil and Gas fields. The downstream sector includes – petroleum product distribution, retail outlets and natural gas distribution companies. Some of the products derived from crude oil are liquefied petroleum gas
(LPG), gasoline or petrol, Jet fuel, diesel oil, other fuel oil, asphalt and petroleum coke, synthetic rubber, fertilizer, etc. Among Oil and Gas companies that operate in Niger Delta region of Nigeria are; Shell Petroleum Development Company (SPDC), Elf-total, Chevron, Mobil, Schlumberger, AOS Orwell.
It is important to note that, Niger Delta region of Nigeria is referred and comprises the area covered by the natural river of the Niger Delta. The region is boundaries by North with bifurcation of the Niger River at Aboh, while in the Western and Eastern boundaries are close to the Benin River and Imo Rivers, respectively. (UNDP, 2006). To be precise, Niger Delta covers all the land between Latitude 40 151 N and 40 501N Longitude 50 251E and 70 371E with a total
area of 20,000 km2 (Powell, White, Ibiebele, Bara, Isoun, Oteogbu: 1985). In the same manner,
the Atlantic ocean coastline is interrupted by a series of estuaries which form the Niger Delta swamp in the middle where the lower Niger River system drains the waters of the River Niger and Benue into Atlantic ocean with 900km2 (World Resources, 1990).
Importantly, all the states in the Niger Delta region of Nigeria are Oil and Gas producing
states which comprise Akwa-Ibom State, Bayelsa State, Cross- River State, Delta State, Edo State, and Rivers State. However, not all Oil producing states are located in Niger Delta region in Nigeria. Generally the Oil and Gas producing State in Nigeria are; Abia State, Akwa-Ibom State, Bayelsa State, Cross River State, Delta State, Edo State, Imo State, Ondo State and Rivers State.
However, the three companies under study carry out their operational field work in the Oil and Gas producing States and perform their record management activities centrally in their administrative office in Port Harcourt as one of the state in Niger Delta region of Nigeria. More to this, Maxwell (2009) stated that the place of Electronic Records Management (ERM) in Oil and Gas companies includes collaborative decision making, content management, plants and
facilities management, information storage and data operation, active archiving solution, files system assessment. On the other hand, an issue that has been very controversial among the record management practitioner is the uncritical adoption of Electronic Records Management. According to Bailey (2007) “as far as an average user is concerned, ERM is something they didn’t want, don’t like and can’t use effectively…in fact, making use of ERM is like asking a plasterer to use a hammer”. p. 13. To this end, the foregoing has implications for the Oil and Gas companies.
Oil and Gas companies’ record management practitioners have long been involved in a manual records management in a bid to satisfy the company’s information needs. Such services include creation of records on paper, stored in physical file, and preserved them in cabinet. These services have been provided to Oil and Gas companies for many decades. However, technological advancement has posed challenges which call for changes in records management practices in Oil and Gas companies. Though, records management exists to serve and help the companies to conduct businesses, make decisions, and carry out operations in the company. It is clear that the study is being carried out in three oil and Gas companies in Niger Delta region of Nigeria. They are Shell Petroleum Development Company (SPDC), Schlumberger, and AOS Orwell.
Significantly, Shell Petroleum Development Company (SPDC) as one of the largest fossil Oil and Gas Company in Nigeria, which operates over 6,000 kilometers (3,700 mi) of pipelines and flow-lines, 87 flow-stations, 8 natural gas plants and more than 1,000 Oil producing wells. SPDC’s role in the Shell Nigeria family is typically confined to the physical production and extraction of petroleum. It operates largely on shore on dry land or in the mangrove swamp.
Relatively, Schlumberger is Oil and Gas field Service Company. Their services include logging, well construction and completions, well testing, intervention, project management, and reservoir management. Schlumberger as well supplies technology, integrated project management, and information solutions to customers working in the Oil and Gas companies.
Similarly, AOS Orwell is a merger of two Nigeria- based Oil and Gas servicing company. The company provider of Down-hole Drilling and Drilling Tools services, Fishing Services and Wire-line Pipe-Recovery Services to the Oil & Gas industry. AOS Orwell also provides fully API certified Machine-Shop Services.
In a related development, all the services and activities performed by these Oil and Gas companies are conducted via the use of electronic records. Consequently, there is a need to know the state of their electronic records on how is being managed, because ERM can help in managing both small and large records and also maintain the certainty of original order from the time the records were created to the final disposal which will be used to meet their needs at anytime.
Statement of the Problem
A standard Electronic Records Management helps to maintain the certainty of original order of records and also add informative value, reference value, and evidential value as well aid decision making in the companies when needed.
It is worthy to note that the great advancement made in the use of electronic technologies in recent years has revolutionized records management practices in Oil and Gas companies and if the electronic records are not effectively managed by competent record management practitioners, they can become a liability, hampering the operations, draining resources, and there may be a danger of losing access to records. Moreover, ineffective electronic records
management can make the performance of duties more difficult, cost companies time and money, and can also make records vulnerable to security breaches, prosecution and embarrassment.
Consequently, with the shift from paper to electronic information, many organizations find that their current electronic records are not sufficient to support the needs of their business functions. Some record practitioners find it cumbersome to manage their records electronically. Others face the problem of linking electronic records, created in different forms and formats to support their business transactions. Despite all these, it is of great concern that no study seems to have been carried out on it in Oil and Gas companies. This justifies the present study and the problem of the study put in question form is: what is the state of electronic record management in three Oil and Gas companies in Niger Delta region of Nigeria?
Purpose of the Study
The general purpose of the study is to investigate the state of Electronic Records Management (ERM) in three Oil and Gas companies Niger Delta region of Nigeria. Specifically, the study seeks to:
1. Ascertain categories of records being kept in the Oil and Gas companies in the Niger
Delta.
2. Ascertain electronic resources employed in managing records in the Oil and Gas companies in the Niger Delta.
3. Find out electronic media used to make records accessible in the Oil and Gas companies in the Niger Delta.
4. Find out the methods used for preservation of electronic records in the Oil and Gas companies in the Niger Delta.
5. Identify the electronic records management competencies possessed by records practitioners in the Oil and Gas companies in the Niger Delta.
6. Identify the challenges associated with managing records electronically in the Oil and
Gas companies in the Oil and Gas companies in the Niger Delta.
7. Suggest strategies for enhancing Electronic Records Management in the Oil and Gas companies in the Niger Delta.
Research Questions
The following research questions will guide the study:
1. What are the categories of records being kept in Oil and Gas companies in the Niger Delta?
2. What are the electronic resources employed for managing records in the Oil and Gas companies in the Niger Delta?
3. What are the electronic media used to make records accessible in the Oil and Gas companies in the Niger Delta?
4. What are the methods used for the preservation of electronic records in the Oil and Gas companies in the Niger Delta?
5. What are the electronic competencies required of record management practitioners’ to manage records in the Oil and Gas companies in the Niger Delta?
6. What are the challenges associated with managing electronic records in the Oil and Gas companies in the Niger Delta?
7. In what ways can electronic records management be improved in the Oil and Gas companies in the Niger Delta?
Significance of the Study
The findings of the study will be useful to different categories of people, such as Record Managers and Supervisors in Oil and Gas companies, Business Managers and Administrators, Record Proprietors, Record Custodians, Local Records Management Coordinators, Archivists, Librarians and Students.
To Record Managers and Supervisors in Oil and Gas companies, the outcome of this study will help them to get acquainted with essential electronic elements for accessibility of records when creating and storing of records for exploration and production of Oil and Gas; to Business Managers and Administrators- the outcome of the study will help them to know the categories of records to be created for their business and administrative activities; it is also hoped that the result of this study would be of great assistance to Record proprietors that is, the managers of operational units of large enterprises on the electronic resources they can be use to carry out their electronic records activities.
Furthermore, the Records Custodian is the manager of the unit designated by the record proprietor. In some cases the record proprietor and records custodian may be the same person. Hence, this study will help to know the essential media to use when accessing stored records.
The outcome of this study will also assist Records Management Coordinators, Archivists as professionals to know the right electronic preservation methods to use for records created and retention schedules. Also to Librarians and students of Library and Information Science, Archival Studies and Records Management will find the result of this study a reference source especially for similar research topics.
Scope of the Study
The study is limited to the Electronic Records Management in three Oil and Gas companies in the Niger Delta region of Nigeria. These Oil and Gas companies have their administrative offices located in Port Harcourt, Rivers State. Hence, the study will specifically focus on Shell Petroleum Development Company of Nigeria Limited, Schlumberger, and AOS Orwell. Furthermore, the study will have its central focus among the staff that work in the centralized Record Unit of each company under survey.
This material content is developed to serve as a GUIDE for students to conduct academic research
ELECTRONIC RECORDS MANAGEMENT (ERM) IN THREE OIL AND GAS COMPANIES IN NIGER DELTA REGION OF NIGERIA>
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