2.1. Accountability

Accountability is the ability to provide evidence to higher authorities for actions involving the broader community in an organization (Rasul, 2003). According to Turner and Hulme (1997), responsibility is defined as follows:

Accountability is the ability of public sector organizations to respond to parties with interest in the organization (Wicaksono, 2015). Accountability is a type of responsibility from an entity to the obligations obtained, particularly in managing the finances of an entity or organization. It is commonly employed by users of the entity’s financial information originating from sources other than the entity (Sari et al., 2018). Accountability is also a measure of the success of a specific entity’s or organization’s aims and objectives. According to Dee and Dizon-Ross (2019), the potential impact of the public accountability system stems not only from external pressure but also from the support and intervention provided to districts and schools. Proper archives management is critical for achieving efficiency, transparency, accountability, and school service improvement (Mojapelo, 2022). According to Aman et al. (2013), the dimensions of accountability include transparency, responsibility, control, responsibility, and responsiveness. Meanwhile, Rasul (2003) proposes five dimensions of accountability: (1) legal and honest (probability and legality accountability), (2) managerial, (3) program, (4) policy, and (5) financial.

The existence of archives management allows principals and other stakeholders to plan effectively by having information to direct planning efforts to decision-making. With archives, sound planning is merely wishful thinking; and it will be impossible to attain, because archives are required to make policy decisions.

2.2. Indonesian National Education Standards

Indonesia has a minimum standard of criteria regarding the education system that applies throughout the country. These criteria are answered in Law No. 20 of 2003 concerning the National Education System. The function of this standard is a basis for management in the process of achieving quality education. Meanwhile, the goal is to ensure national education quality within the context of teaching the nation’s life and creating the character and civilization of a dignified nation.

Furthermore, the elaboration of the eight national education standards is: (1) content standards are material components and levels of competence to achieve graduate competence at certain levels and types of education; (2) process standards related to the implementation of learning in each academic unit; (3) Graduate Competency Standards are criteria or qualifications concerning the ability of graduates, which are divided into attitudes, knowledge, and skills; (4) standards of education and education personnel are educational criteria for eligibility for education in positions; (5) the standard of facilities and infrastructure includes the minimum criteria for facilities and media that support learning; (6) management requirements include effectively and efficiently planning, implementing, and overseeing educational activities at education units, districts/cities, provinces, and national management; (7) financing standards specify the components and quantity of operating expenditures for educational units that are effective for one year; and (8) assessment standards are linked to various systems, procedures, and assessment instruments to establish student learning outcomes.

2.3. Electronic Archives

Regulation No. 6 of 2021 of the National Archives of the Republic of Indonesia Concerning the Management of Electronic Archives, clause 1, paragraph 2 defines electronic archives as archives created, specifically archives created and received in electronic format or archives resulting from media transmission. According to Sugiarto and Wahyono (2015), digital archives are essentially the same as traditional ones. There are, however, distinctions in the cabinet’s shape, particularly between a virtual cabinet and a virtual map. Furthermore, according to Duranti (2010), the fundamental difference between electronic and traditional archives is that electronic archive components can be in many areas of media or even systems, and may only exist physically if purposely constructed. This indicates that a complete archive is one whose components are inextricably and immutably associated with one another and have been made explicit by translating them into a form element, such as specifying archive bindings in a categorization code. According to Priansa and Garnida (2013), digital archives are a combination and preparation of archives using technology, specifically manual archives turned into digital data via a scanner procedure.

Digital archives include three components: virtual cabinets, virtual folders, and archive sheets in the form of files (Sugiarto & Wahyono, 2015). A virtual cabinet is a database that resembles the shape of an authentic cabinet used in conventional filing systems. The difference is that the ability to accommodate data in a physical cabinet is limited, whereas a virtual cabinet is not; the limit is the physical capacity of the hard drive to store digital data. A virtual folder is a database with the same attributes as a physical folder in a traditional archiving system. However, unlike traditional folders with restricted document storage capacities, a virtual folder has unlimited storage possibilities. Archive sheets in virtual folders can be either document files or graphics. Document files are files made by Microsoft Word, Excel, and PowerPoint, among other programs, while an image file is a file in the form of an image as a result of a scanner or bitmap import from other media.

3.1. Participants

Following a qualitative approach, we interviewed at least 30 managers selected from five islands in Indonesia (Kalimantan, Java, Papua, Sumatra, and Sulawesi). The demographic characteristics of the 30 participants are provided in Table 1.

This study’s subjects or key informants were human data sources (key informants). Informants were determined as data sources using purposive sampling techniques or with specific considerations, school accreditation status, knowledge of archives, and involvement in school archive management.

3.2. Data Collection and Analysis

Data were collected by two techniques; interviews and open questionnaires. Research data was obtained by using interviews and open questionnaires. We interviewed 30 school records managers and then collected information using questionnaires. Our research presents some interview results that represent informative answers considering relatively the same answers. Furthermore, we distributed questionnaires to facilitate the process of collecting complementary data through a needs analysis from the presence of ERMS. Data analysis was carried out using the analytical model initiated by Miles and Huberman (1984) through three stages: data reduction stage, data display, and conclusion or verification. The data in this study have also gone through a triangulation process to increase the credibility and validity of research findings. Triangulation is intended to reduce, eliminate, or compensate for the lack of a single strategy, thereby increasing the ability to interpret findings (Thurmond, 2001).

4.1. Preliminary Studies Stage

This stage describes various phenomena relevant to managing records in schools already running. We conducted open interviews with some of the informants we selected. We used interview guidelines based on phenomena that occur in the field. The data from the interviews is presented as follows.

We asked about the implementation of record management in schools. One informant stated:

The second informant stated:

The third informant stated:

The fourth informant stated:

The fifth informant stated:

Based on the results of interviews, the factual model of records management in schools so far is shown in Fig. 1. The factual model generally functions to represent the phenomenon being studied. The factual model clarifies how the actual situation is in the field. Furthermore, the factual model provides a solid basis for further exploration and analysis regarding the development of a model. We compiled a factual model based on the results of interviews with informants in order to provide a framework that allows a better understanding of how record management has been carried out so far (Fig. 1).

Fig. 1

Factual model of school record management so far. SOP, standard operating procedure.

Disclosures based on interviews conducted with the five informants show that they carry out record management traditionally and are guided by traditions from the previous system. Of course, this is ineffective because the more archives, the more difficult it is to achieve retrieval. For archive management that has been carried out, overall archive administration is adequate, but archive recovery still requires a long time. The maximum archive recovery time is usually one minute. In addition, the archive management of 30 high schools in the five largest islands in Indonesia is based on something other than archive management, according to Law no. 43 of 2009. No special officer handles school archives, and the schools still need a standard operating procedure (SOP) for record management. In addition, the management system is still manual. Administrative officers oversee school records in addition to other administrative responsibilities.

Elements of parties related to managing school records indicate that the parties involved in managing school records still need to have a solid commitment to managing school records. The well-applied SOP is expected to eliminate the problem of lost archives. Many internal and external school parties borrowed archives but did not comply with the procedures. They were borrowing archives without following the SOP, making archives unknown and uncontrollable. Furthermore, based on the views of administrative officials who handle archives, this differs from the established archive storage system. The archive factor in supporting school accountability shows that the current management of school records needs to be revised. There is no agreed archive storage mechanism, and no SOP has been made. In addition, the parties committed to implementing school management still need to be improved.

To get more information on the information system needs analysis, we distributed questionnaires. Based on the questionnaire we distributed, we found that the mean value of the three questions we asked indicated the level of need is “very needed.” This means that record managers in schools need an ERMS based on the characteristics of work in the field of education (Table 2).

4.2. Model Design Development Stage

The development of this system is designed to answer the phenomenon of various problems and the current weaknesses in managing school records. Inadequate management of school records results in reduced documentation support to support school accountability. When a physical archive is urgently needed and cannot be found in less than a minute, it is possible that the archive is lost. Consequently, administrators lack a model records management system to support school reports, information, and accreditation documentation. In Indonesia, the digital archive system model is based on the Eight National Education Standards, including considerations related to school accountability to internal or external school parties, accreditation, and reporting. Thus, the storage system is Eight Indonesian Education Standards based on the problem or subject system (Subjectical Filing System). The Subjectical Filing System is commonly applied in Indonesia where documents are grouped into an index list to determine the existed subjects. We use the existing eight educational standards as the main Subjectical classification in the filing system, and then documents can be stored following the main Subjectical given. As for the main Subjectical in the ERMS that we have compiled, we describe it in the Table 3.

In the next step, we developed a model designed to address the various difficulties faced by school staff. We conducted focus group discussions to get assessments and responses from staff at the school. Some of the input they provide is in the form of the following:

Expert informant 1 stated that:

Expert informant 2 stated that:

Expert informant 3 stated that:

Practitioner informant 1 stated that:

Practitioner informant 2 stated that:

Next, we evaluate and refine the model from the input provided by experts and practitioners. We strive to promote the Eight Indonesian Education Standards as the strength of our model. Records are created and generated following the activities and events of the institution so that we consider the various records produced by the school. Then we adopt and classify them according to the Eight Indonesian Education Standards. The final model that we compiled is as follows:

Archives received or produced by the school will initially undergo a media transfer or scanning process. Furthermore, the archives are included in a database in which eight standard classifications follow national education standards. The main problem in the field is that there needs to be a firm commitment to switch to digital-based record management for various reasons. We provide alternative models and application descriptions that we simplify according to the needs of the staff at the school. Fig. 2 illustrates the ERMS model we compiled. Various letters will be stored in one database.

Fig. 2

Final model Electronic Record Management System based on Eight Indonesian Education Standards.

Furthermore, if users need an archive, they only need to enter a “keyword” or “Achieved Code” that in less than <1 minute will be found. The ERMS model is one of the solutions to provide complete data backup and discovery in a short time. Authentic archives are scanned using scanning technology and stored in an electronically based system. To overcome the problem of the weak supporting capacity of school accountability documents, a digital filing system model was developed based on Eight National Education Standards. Next, we describe the ERMS software we are developing, as shown in Fig. 3.

Fig. 3

Illustration record management system model based on Eight Indonesian Education Standards.

The development of a digital archive system model based on Eight Indonesian Education Standards is an extension of the Indonesian National Education Standards, which include eight standards: (1) content standards, (2) process standards, (3) graduate competency standards, (4) academic staff standards, (5) facilities and infrastructure standards, (6) management standards, (7) financial standards, and (8) educational assessment standards. The availability of information in a database will facilitate record management in schools. All forms of information can be stored according to a predefined classification.

This research aims to develop an ERMS model based on the National Standards of Education in Indonesia and its implementation in supporting school accountability. Accountability goes hand in hand with the availability of information external parties need. Based on the model we developed, we agree that archives are a center of information to be the key of evidence that can be used as a measuring tool in accountability. Excellent and proper records management will undoubtedly affect how information is provided as a measure of accountability. For example, in assessing school accreditation, one always needs complete information on various activities and aspects of school assessment. Accreditation is carried out within a certain period, while records always accumulate at any time. Therefore, the school’s ability to carry out proper record management is critical in supporting school accountability.

Accountability is a component of good governance. Kumah and Brazys (2016) mentioned that there is a link between the legislation reviewed and accountability. Access to information is vital for good governance. Access to information is also a key variable for achieving reasonable governance goals (Netshakhuma, 2019). Freedom of access to information is recognized as a fundamental aspect of the objectives of accountability, transparency, and openness (Thurston, 2015). This is because records provide evidence to support the investigative phase of the accountability process. With reliable recording activities, accountability can be proven (Netshakhuma, 2019).

Archives are the most important source of knowledge and experience for any institution. Good records management will provide institutional accountability and access to timely information in the context of developing countries, but obstacles in the field of improper records management are the main obstacles (Ain, 2019). Currently, many public services, including schools, must switch to electronic systems to be more efficient in producing documents, with the number continually increasing from time to time. The traditional method requires a large amount of space or inefficient places, and there is a high probability that the archive will be lost. However, apart from the benefits of technological advances, most organizations need to pay more attention to records management (Dikopoulou & Mihiotis, 2012). Records management must still be prioritized in developing countries (Asogwa, 2012). The design of ERM is urgently needed to help work units find documents quickly where it takes little time to periodically search and store them (Astari et al., 2020). Since records are the product of action, it is crucial to provide an information system model based on function so that actionable records remain intact and reliable and that records are reliable (Mukred & Yusof, 2015).

Many studies have focused on examining how ERMS can improve school performance, such as Mukred et al. (2019) in their finding that organizations are determinants of intention to adopt ERMS. Their findings also explain that the dimensions of top management support, financial management, training, and policy are essential to realizing this intention. Ismael and Okumus (2017) claim that implementing electronic document management can improve document discovery more quickly and efficiently. However, there still needs to be more studies on preparing the ERMS based on the inherent characteristics of the organization, such as the Educational Standards in Indonesia that we studied. Therefore, paying attention to the ERMS according to specific characteristics is essential. The characteristics in question are compatible with various stored documents that must be adjusted to the device used.

The alternative we produced from this research is a system design oriented towards information accountability and proper use, rather than information security and access restrictions, which we call the ERMS based on Eight Indonesian Education Standards to support school accountability. The study’s results recommend a change management strategy that can be adopted when implementing the ERMS following the Indonesian National Education Standards. The change management strategy systematically adjusts ERMS tools in school archival activities to support accountability. Without an appropriate management strategy, ERMS can contain inauthentic and unreliable information that lacks integrity, so it cannot be used (Mukred & Yusof, 2017). Our change strategy is structured in four steps which we present in Fig. 4.

Fig. 4

Electronic Record Management System change management strategy.

Planning is an activity related to a series of rational sequences in preparing plans with decision-making for using ERMS in the long term and short term. In this case, planning always starts with determining a strategy, such as a needs analysis and a clear framework for achieving goals. Next, the preparation of policies by the school principal. The method is in the form of preparing SOP. Finally, the costs must be ready to achieve the goal.

Organizing determines activities and responsibilities to the people or staff experts needed to achieve goals. In this study, ERMS responsibilities must be clearly described because the task relates to the legal basis and job descriptions in carrying out work. Establishing authority and responsibility will make it easier to identify when problems occur in archiving activities.

Actuating is an ERMS implementation activity and archival work to achieve the goals that have been set. For the goals to be achieved, it requires the commitment and compliance of the staff involved so that they can work according to work guidelines.

Evaluation is a process that critically examines the use of ERMS. This stage involves gathering and analyzing information about the ERMS’s benefits, characteristics, and performance results of records management.

Undeniably, the traditional way of record keeping has been radically pushed to switch to ERMS, considered a panacea for records management (Zinner Henriksen & Viborg Andersen, 2008). Advances in technology have brought dramatic changes to records management since the availability of various systems that can be used (Shibambu & Marutha, 2022). Mukred et al. (2022) found that the safety factor was the predictor with the most significant contribution to intention of educational institutions to use ERMS as an alternative to records management. As Ismael and Okumus (2017) state, the general considerations for educational institutions to switch to using ERMS include increasing the effectiveness of actions taken by reducing task completion time, reducing costs, increasing control, increasing the level of data integration, increasing service quality, increasing internal and external communication of school organizations, and increasing the number of documents appropriately processed. The presence of ERMS will benefit the academic community so that, as much as possible, communities can continually update data on accreditation supporting documents so that there are no difficulties in finding and submitting data during the field assessment process (Hasyim & Wijaya, 2019).

Our alternative is to design a system oriented towards information accountability and proper use, rather than information security and access restrictions, which we call the ERMS based on Eight Indonesian Education Standards to support school accountability. The research results recommend a change management strategy that can be adopted when implementing the ERMS following Indonesia’s National Standards of Education.