CHAPTER ONE

INTRODUCTION

1.1 Introduction
This chapter included the introduction, background of the study, statement of the problem,
purpose of the study, objectives, research questions and scope of the study and the significance
of the study

1.2 Background to the Study

The St. Joseph’s technical institute Virika, like other higher educational institutions in Uganda, is
semi-autonomous. This is because it receives a portion of its funding from the state, students’
fees and stakeholders. As a result of these activities, the institution generates large volumes of
physical and electronic data and documents on a daily basis. Undoubtedly, these documents and
data are of high importance and as such need to be strictly preserved. Institutions are legally
bound to retain and preserve documents as a record of their activities and proceedings.

Institutions create records to support the activities they carry out. However, if these records are
not managed properly, they will not provide the necessary support and information might be lost
causing problems for the institution. To provide an efficient and effective administration that
ensures that institutions run as smoothly as possible, there should be proper management of
records. International Organization for Standardization (ISO)15489 (2001) explained records
management as the field of management responsible for the efficient and systematic control of
the creation, receipt, maintenance, use and disposition of records, including the processes for
capturing and maintaining evidence of an information about business activities and transactions
in the form of records.

It is essential that information is captured, managed and preserved in an organized system that
maintains its integrity and authenticity as well as fulfilling legal and financial requirements.
According to Shepherd (2006), organizations use records to support accountability, when they

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need to prove that they have met their obligations or complied with the best practice or
established policies.
However, without records, all these would be meaningless (Dzandu, 2009). Important
information of an organization can be lost forever if records are not kept properly especially
when a member who is holding a key position in an organization dies, retires, resigns, travels
abroad, transfer to different department, branch, or campus.
According to Duose (2009), if public officers keep their records right, the records would always
be there to show the situation as it is. He added that one cannot talk about good governance,
democracy and rule of law when records are not kept properly. St. Joseph’s Technical Institute
Virika as reputable higher educational institution play an important developmental role in
building mother Uganda by producing quality manpower for every sector of our economy.
Hence, the need for accurate records management at the various units, sections, departments and
faculties is very essential..

1.3 Problem Statement

Educational institutions like the universities are not only facing complex managerial problems,
they have become complex in themselves. The complexities of educational systems and their
institutions, particularly in Uganda and other developing countries and there is a need to create
awareness of the importance of records management in that Most of these records are vital in the
sense that they are referred to frequently for the smooth running of every department in the
institution (Bola, C. A., 2011)
The woes of records management systems of tertiary institutions are not isolated to Uganda
alone. It has become a recurrent issue for records to be irretrievable when required especially in
tertiary institutions of most developing countries (Fabunmi, 2004). The difficulty of this problem
is better appreciated by those who bear the brunt especially lecturers, tutors, students, parents and
administrators who require students records to facilitate accurate and timely decisions. In such a
situation administrators find it difficult to retrieve the information they need to formulate,
implement and monitor policy and to manage key personnel and financial resources.

In Ghana, the problem of such mostly arises where schools, colleges, universities and others have
to allocate large office space to keep students’ files manually every year when students are

2
admitted (Bailey et al., 2011). Again, educational institutions especially the universities must
keep large volume of students’ examination papers and results for at least five years before they
can be disposed of.

Based on the problems stated above the need for tertiary institutions to keep proper records
cannot be overemphasized. Therefore, out of convenience purposes St. Joseph’s technical
institute-Virika was chosen by the researcher.

1.2 Objectives of the Study

The objectives of the study have been categorized into general and specific objectives.

They are;

1.2.1 General Objective

The general objective of this study is to assess the records management practices among the
administrative staff St Joseph Technical Institute

1.2.2 Specific Objectives

The specific objectives of the study are to:

a) Assess the records management practices at the Institution.

b) Identify the benefits derived from proper records management.

c) Identify the challenges associated with records management at the Institution.

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1.3 Research Questions

To achieve the above objectives, the study sought to address the following questions;

a) What are the records management practices at the Institution?

b) How does proper records management benefit the Institution?

c) What are the challenges associated with records management?

1.4 Significance of the Study

The study will be very significant to different stakeholders. The study will help management of
to sensitize the administrative staff on the importance of effective records management practices
in the Institution. Again, the study will benefit the management to appreciate the challenges
associated with records management and how to address them.

It would also help students and the general public to know the importance of proper records
management. Furthermore, the study will help reveal the need for good records management for
effective planning of St Joseph Technical Institute to ensure rapid growth and development. It
will also help identify the need to use appropriate filing system to meet the day to day activities
of the Institution.

1.5 Brief Methodology

Both primary and secondary data were used in this study. Primary data were collected through
questionnaire administration whilst articles from the internet, journals, and information from the
Institution of Education.

A non-probability sampling method specifically, purposive sampling was used to sample 80. out
of the total population of 96 staff of the Institution

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1.6 Scope of the Study

The study was restricted to records management practices among the administrative staff of the
Institution. It therefore confined itself to units, sections, departments. Therefore, the conclusion
and generalization may not be readily applicable to other Institutions in the country.

1.7 Limitation of the Study

The limitations of the study include limited financial resources, time constraints, difficulty in
determining appropriate sample size to be used, difficulty in retrieval of administered
questionnaires and willingness of prospective respondents to answer questionnaire. This implies
that the administrative staff of the Institution delayed the data collection process for the
researcher. The researcher did not add observations and also conduct interviews due to limited
time.

1.8 Organization of the Study

This study is structured into five chapters. The chapter one deals with background of the study,
statement of the problem, objectives of the study, research questions, significance of the study,
scope of the study, limitations of the study, and organization of the study. Chapter two is the
literature review. It is concerned with the review of related literature to support the study.
Chapter three is the methodology used in the study. This includes the research design,
population, sample and sampling procedures used in the study. Chapter four deals with the data
presentation, analysis, and discussions. Chapter five presents the summary, conclusion and
recommendations of the study.

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 CHAPTER TWO

LITERATURE REVIEW

2.0 Introduction

This chapter reviews literature related to this study. It is organized under the following; the
meaning of records and records management, records management practices, benefits derived
from records management and challenges associated with records management.

2.1.0 Meaning of Records

In order to define records management, the concept of “record” needs to be fully explored. A
record is defined either in terms of the physical tangible format in which it appears, or in terms of
the information it contains. It must be noted that records differ in format or size, and have
different contents. The term record comes from the Latin word “recordari”, which means to
recall, or to remember, or bring back to mind, and this is exactly what records do (Pember and
Cowan, 2010). Records can be defined as "documented information, in any form, created or
received and maintained by an organization or person in the transaction of business or conduct of
affairs and kept as evidence of such activity".

2.1.1 Records Management

Institutions create records to support the activities that they carry out. However, if these records
are not manage properly, they will not provide the necessary support and information might be
lost causing problems for the institution To provide an efficient and effective administration that
ensures that the business runs as smoothly as possible, there should be proper management of
records.

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2.1.2 Records Management and Information Management

Records management and information management are two terms often used interchangeably
(Atolumah, 2011). Some authors have gone at lengths to draw similarities between the two,
while others insist that there are differences. For example, records management over the years
has increasingly been referred to as records and information management. The merger of these
two terms shows how slight a difference exists between them. Information management entails
the management of all the information in an organization as well as the management of the
people, hardware, software and systems that produce the information.

Figure 2.1: The Hierarchy of Information Management

Information
management

Records Archives Publications Database

management management management management
(E.g., HRIS)
Source: Information Solutions Group (2000)

Figure 2.1 above shows that information management is a broader concept within which records
management falls. In other words, the main purpose of records management is to manage and
control the flow of records with the necessary information within a particular organization.
2.1.3 Life-Cycle of Records

The life of a record goes through phases starting from when it is created or received by the
institution, through to its usage, maintenance and finally disposal. The life-cycle of a record is a
basis on which a records management system is made, as the system stipulates the procedures
and processes that organizations need to follow at each phase of the record’s life-cycle. Efficient
life-cycle management of records is a key concept in records management. If institutional bodies
do not control records through the earlier stages of their life-cycle, records that have low

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administrative value are kept too long and those of archival value cannot be identified and
safeguarded (National Archives and Records Service of South Africa, 2007).

2.2.0 Records Management Practices

Kanzi (2010) pointed out that for a sound records management practices to take place, heads of
institutions should designate or appoint a staff member (Record Manager) at senior management
level to whom they can delegate the responsibility of ensuring that sound records management
practices are implemented and maintained. He added that records managers should develop and
implement records management policies, which are endorsed by the heads of the institutions and
their top management teams. Adherence to these should be continuously monitored and be
reviewed on an annual basis.

2.2.1 Centralized and Decentralized/Departmental Filing

Filing may be organized centrally or departmentally. Some organizations choose the centralized
filing system, while others prefer de-centralized/departmental filing. Others also find both
systems to be good. Centralized filing is whereby all the files of an institution are kept and
controlled in one room instead of allowing each department to file its own records. In many
large organizations, a separate department (central filing department) is created to take care of its
filing. Trained personnel called records managers are in-charge of all filing and so filing is done
more efficiently. This makes it possible for effective supervision to be exercised over files
including the movement and placement of correspondence on files. Decentralized or
departmental filing is a system by which each department or section of an organization keeps and
maintains its own system of filing which best suits it (Arora, 2006).

2.2.2 Forms of Records Management

Correspondence is normally conducted manually or electronically through electronic mail or

intranet. Documents such as policies, procedures, contracts, regulations, minutes, circulars are
often available for administrative staff to update or familiarize themselves with the normal
operation of their institutions. Ignorance of such documents may affect the competitive
performance of an institution. This implies that information in the form of records is used by

8
institutions through staff as a strategic weapon to gain a competitive advantage for the
organization that creates, receives and uses them effectively (Mrwebi, 2000).

[Link] Manual or Paper-based Records Management

Paper based records are any records that have been written or printed on paper. They can be
items such as hand written notes, correspondence, printed reports, procedures or maps.
Institutions are responsible for creating full and accurate records of all their activities and
decisions in accordance with standard record management requirements. When a record is
created or received, it is up to the user to ensure that it is filed and documented correctly to allow
for easy tracking and further use by the organization Azman (2009).

[Link] Importance of Manual or Paper-based Records Management

Paper plays an important role in organizational life. Paper documents such as schedules and flow
charts provide a gathering place for workers to view information and be seen viewing
information. Sellen and Harper (2002), showed that large paper documents became the foci of
organizational life.

[Link] Problems associated with Manual Records Management

Gregg (2013) came out with two challenges faced by paper-based records management.
Accessibility through hardcopy files is limited because paper-based information can only exist in
a single location at a time. He added that with one copy of a document in existence, only one
person can access that information at any given time. This serial approach to information
management does not play well in today’s “I need it now” business environment. This is
especially the case since most organizations are decentralized and geographically dispersed.
When there is only one version of information, managing the hardcopy document involved
becomes a physical challenge

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[Link] Electronic Records Management

Records management has evolved from a paper-based function responsible for the storage of an
organization’s miscellaneous documents, to one concerned with the management of specified
internal records, in a multitude of media, from creation to disposal, through their active use as
sources of information and hence of ultimate review against retention schedules, for their
eventual destruction (De Wet and Du Toit, 2000).

The introduction of computers therefore assists in achieving and adding value to the conduct of
business transactions (Johare, 2001). Electronic records management is very important to every
institution because records are one of the Institution's most valuable assets. Records support
decision making, demonstrate compliance, document the history of the Institution, and perhaps
most importantly, enable the institution to do their jobs. Records need to be properly managed in
order to maximize their value and minimize their cost. In this modernized world of computers, it
makes sense to manage records electronically, with Institutions spreading out or having different
locations, yet totally being tied together with the internet.

[Link] Importance of Electronic Records Management

Institutions are under increasing pressure to become more efficient while at the same time
maintaining or improving the quality of service. Electronic records with its potential play an
important role in supporting efficiency, accuracy and accessibility of information. Sing (2002)
pointed out that there is a direct relationship between investment in electronic records and
productivity improvements in the office and these include; better customer service, greater
product/service variety, shorter response time, enhanced product/service quality and better
customization of products and services.

The implementation of sound record management practices for electronic records can result in a
number of benefits for government. One of the most important benefits is to ensure a creation
and management of accurate and reliable electronic records. This allows organizations to fulfill
legal mandates regarding the protection of their records.

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[Link] The Challenges Associated with Electronic Records Management

While information technologies have brought many benefits to organizations, they have also
introduced a number of challenges and difficulties. The challenges posed by electronic records,
particularly in the public sector, have been highlighted by Mnjama and Wamukoya (2007).
These challenges include absence of organizational plans for managing electronic records, low
awareness of the role of records management in support of organizational efficiency and
accountability, lack of stewardship and coordination in handling paper as well as electronic
records, absence of legislation, absence of policies and procedures to guide the management of
both paper and electronic records, absence of core competencies in records and archives
management, absence of budgets dedicated for records management, poor security and
confidentiality controls, lack of records retention and disposal policies, absence of migration
strategies for electronic records.

[Link] Comparison of Electronic Records Management with Manual Records

Both electronic and manual records management come with varied benefits to businesses and
organizations in respect to data storage. However, current literature suggests that electronic
records management have proven to be effective as compared to the manual. For instance,
Iziomo (2014) identified that electronic records management gives unlimited storage space as
compared to conventional method of office cataloging that involves categorizing several ink
printed papers in a cabinet to allow for retrieval when needed.

Data retrieval is one area where computers clearly excel. Finding a particular piece of
information is infinitely easier with a modern computer system than it is with reams of paper.
Solving a particular problem may, in fact, take longer with Paper Patient Records (PPRs), despite
the fact that reading from paper is generally easier. But finding a particular piece of information
presupposes one knows what one is looking for, which is not always the case. Gen (2008) stated
that paper-based systems have improved communication, ability to have remote access of patient
information, and improved revenues. He perceived that electronic health records (EHR) would
provide improved communication between practitioners and patients.

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According to Gen (2008), half of the paper-based system leaders were especially interested in
having remote access to patient information. On the other hand, electronic health record would
enable physicians to provide more knowledgeable advice during offsite/off-regular hours. He
mentioned that there is an immense expectation of the EHR to improve overall practice
efficiency and revenue. Also, enhanced efficiency would be created through decreasing time-
consuming activities such as chart retrieval. Finally, he believed that the EHR would boost
revenues by improving billing and collection by capturing the true work load.

2.3.0 The Benefits of Proper Records Management

A number of institutional benefits will accrue to any Institution when proper records are kept.
These benefits include better use of physical and server space, save staff time, improved control
of valuable information resources, compliance with standards and reduction in its operational
costs (UEW Records Management Policy Framework, 2000).

2.4.0 Challenges Associated with Records Management

Brendan (2012) observed the following as the challenges associated with records management;
First of all, he noted weak legislative and organizational infrastructures as a major challenge.

Due to inadequate skills in information technology, many traditional librarians, records

managers, and archivists are very conservative and have phobia for computers. This may be due
to generation gaps between the new and old professionals which led analogue information
managers to perceive computers as a threat to their status as experts. Ezeani (2010) in her studies
observed that younger librarians are faster in capturing the use of ICTs than the older librarians
because “older librarians are finding it difficult to cope with the requirements of the digital age”.

Brendan (2012) opined that, growing use of information technologies in record management
creates a lot of problems in the management of records in both public and private organizations.
He added that in Africa and many developing countries governments are looking forward to
computerizing their core functions and compelled most African countries to use ICTs in their
public services by adopting e-government.

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Otuama (2010) mentioned the following as the problems associated with records management in
most organizations; Absence of an archival institution, the problem of oral traditions, inadequate
skills and high staff turn-over, inadequate funding, poor housing and equipment, absence of an
archival law, high levels of illiteracy, Poor transport and communication network.
2.5.0 Conclusion

In a world of change, information has become the most dominant resource in the success of
organizations and at the same time, organization has to meet increasing regulatory and legal
requirements. The management recorded information, irrespective of form or format, is more
vital to organizations than ever before (Sanderson & Ward, 2003). In its response to change,
record management has moved along with several conceptual frameworks, from archives to
information management. Now the discipline has to acquire another framework, derived from
information and communication technology.

The problems of record keeping identified generally in the educational system in Ghana include
lack of record manual and filing guidelines which lead to loss of vital information and inadequate
computer terminals. Others are difficulty in record retrieval and lack of appreciation by
management and staff of the need for well-controlled records. However, theory and literature are
emphatic as the significant contribution of good record keeping to an organization if it will
actualized it objectives in the both short and long term

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 2.6.0 Conceptual Framework

Electronic Benefits

Records Records Management

Management Practices

Challenges
Manual
Influence

Figure 2.2.: Conceptual framework explaining records management practices in

organizations.

Based on the literature review, a conceptual framework developed in Figure 2.2 shows that
records management is made up of two forms. These forms are electronics and manual records
management. The proper and continuous management of these two forms of records
management produce the records management practices in organizations.

The records management practices has both benefits and challenges which influences the way
and manner in which records are managed within organization.

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 CHAPTER THREE

RESEARCH METHODOLOGY AND ORGANISATIONAL PROFILE

3.0 Introduction

This study was concerned with the assessment of records management practices among the
administrative staff of St Joseph Technical Institute. This chapter conveys how data was
collected in response to research questions, describing procedures and techniques that supported
its main points used by the researcher in conducting the study. It is presented in the following
order; research design, source of data, population, sampling Technique, data collection
instrument, data analysis technique and organizational profile.

3.1 Research Design

The research design allows the researcher to meet the purpose of the research. Thus the research
design refers to the general plan of how the researcher will go about answering the research
question(s) (Saunders et al., 2007).
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The main instruments used to collect field data were structured questionnaires. The
questionnaires were designed by taking into account the objectives of the study in chapter one. It
helped the respondents to offer relevant information needed for the study. The justification for
the use for the questionnaires was that it helped the respondents to answer the questions at their
convenient time.
3.2 Sources of Data

Both primary and secondary sources of data were used in this study.

3.2.1 Primary data

Primary data are the original data collected for a specific research goal or information that one
has acquired from questionnaire, interview or observations. A primary source of data was
chosen because there was the need to obtain information at first hand from the selected
respondents within the Institution of Education.

3.2.2 Secondary data

Secondary data are data originally collected for a different study, used again for a new study or
purpose. The researcher used articles from the internet, journals, documented reports and
information from the Institution.

3.3 Population

Population refers to the complete set of individuals (subjects), objects or events having common
observable characteristics in which the researcher is interested in studying (Agyedu et al., 2010).
The population for this study was focused on all the administrative staff of the Institution.
However, due to limited time, the researcher could not study the whole population and had to
select a sample of eighty (80) respondents. As Neuman (2006) puts it, that by sampling, the
primary goal of researchers is to get a small collection of units from a much larger collection or
population, such that the researcher can study the smaller group and produce accurate
generalizations about the larger group.

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Table 3.3.1 Composition of St Joseph Technical Institute

Category of Staff M F Total

Senior members 06 03 09

Senior staff 34 33 67

Junior staff 10 10 20

Grand Total staff 50 46 96

Source: St Joseph Technical Institute HR Unit

3.4 Sample Size

The researcher sampled 80 out of the total population of staff of the Institution of Education, St
Joseph Technical Institute

Table 3.4.1: Categories of administrative staff, the population and sample sizes

Category Population Male Female

Senior members 09 06 03

Senior staff 42 29 13

Junior staff 45 15 30

Total 96 50 46

Source: Human Resource Unit

3.5 Sampling Technique

A non-probability sampling method was used in the study, thus purposive sampling method.
Agyedu et al. (2010) suggested that in purposive sampling, the researcher uses his or her own
judgment about which respondents to choose, and picks only who best meet the purpose of the

17
study Purposive sampling was used because not all administrative staff are directly involve in
records management. It was aimed at getting as more relevant and valuable information for the
research as possible.

Questionnaires were distributed to selected respondents from different job levels or categories,
thus junior staff, senior staff and senior members The reason for selecting these administrative
staff is their insight and understanding of the research topic as they deal directly with records
management as part of their duties, and also understand the strategic role of records management
in the institution.

3.6 Data Collection Instruments

The instruments for collecting data are questionnaires, interviews, observations and analysis of
documents but for the purpose of this research, questionnaire was used to collect the data.
Questionnaires were formulated from the objectives, eighty (80) questionnaires were distributed
to the administrative staff which consist of senior members, senior staff and junior staff within
the Institution. Respondents were given the chance to tick the most appropriate response to an
item and the questionnaire items included the vital issues to provide all the necessary answers to
the research questions. Structured questionnaire was administered personally to reduce the risk
of failure to respond or return the administered questionnaire and also ensure that relevant and
accurate information were obtained from the respondents. Such designed question type could be
viewed in the appendix. Again, personally administering the questionnaires also enabled the
collection to be easy and effective.

3.7 Data Analysis

The analysis of data was done at the end of the data collection. The responses were categorized
on the basis of information provided by respondents. Statistical Package for Social Sciences
(SPSS version 16.0) was used to analyze the data. The data was presented and interpreted using
frequency distribution tables, percentages, pie chart and bar charts. The SPSS has the incredible
capabilities and flexibilities of analyzing huge data within seconds and generating an unlimited
gamut of simple and sophisticated statistical results.

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 CHAPTER FOUR

DATA PRESENTATION, ANALYSIS AND DISCUSSION

4.0 Introduction

This chapter presents the analysis and data collected from sampled respondents. In all, eighty
(80) questionnaires were distributed to both male and female administrative staff of the
institution and seventy (70) questionnaires were retrieved. The analysis was done based on items
in the questionnaire and organized in line with the research questions and objectives stated in
chapter.

4.1 Demographic Information

This is the first aspect of the analysis which deals with the basic data on the respondents (senior
members, senior staff and junior staff). It was important to find out from the respondents their
age, gender, marital status, and educational background. These specific characteristics would
affect their participation in the study, because individual responses or perceptions on some issues
may vary. The data involves respondents’ gender, age, level of education and number of years
worked with the Institution which is presented as follows;

Table 4.1.1: Gender

Response Frequency Percent

Male 50 52
Female 46 48
Total 96 100

Source: Fieldwork

Table 4.1 shows the gender distribution of the respondents. Clearly, it can be seen from the table
that male (52%) respondents dominate the study while 48% respondents were female.

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Table 4.2: Educational Background of administrative staff

Response Frequency Percent

Polytechnic 06 67

Institution 03 33

Total 09 100

Source: Fieldwork,

Table 4.2 shows the educational levels of the respondents. This gives the impression that
majority of the respondents are literate which made the researcher use only questionnaire in data
collection.

4.2 Records Management Practices in the Institution

35
30
25
20
15
10
5
0
Strongly Agree Agree Not Sure Disagree Strongly

Disagree

Figure 4.2: Institution policies and procedure for creating and storing records in
both paper and electronic format.

Source: Fieldwork, 2019

Results from Figure 4.1 shows that 23(33%) strongly agree that St Joseph Technical Institute has
policies and procedures for creating and storing records, 17(24%) agree, 11(16%) were not sure,
and 3(4%) strongly disagree to this statement. This depicts that the administrative staff were not

20
sure whether St Joseph Technical Institute has records management policies and procedures
which facilitate how records are managed.

Table 4.3: How documents are stored in the Institution

Response Frequency Percent

Manual 11 16
Electronic 5 7
Both 54 77
Total 70 100

Table 4.3 demonstrates clearly that 11(16%) keep their office documents manually, 5(7%) store
their records electronically while 54(77%) store their records both manual and electronic forms.
The results show that majority of the respondents used both manual and electronic forms in data
storage making the retrieval of records easy.

4.3 Benefits derived from Records Management

Records management occupies a strategic position in the efficient and effective management
of the Institution system. In fact, it is central in the administration of institutions of learning
because it documents the planning and implementation of appropriate course of services
allowing proper monitoring of work. The researcher found out the benefits derived from
records management. The responses are as follows;

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 3% 3%
8%

40%
Strongly Agree
Agree
Not Sure
Disagree
46%
Strongly Disagree

Figure 4.3: Proper records management leads to quick decision making

Source: Fieldwork,
2019

Figure 4.3 shows that 28(40%) of the respondents strongly agree that proper records
management leads to quick decision making, 32(46%) agree, 6(9%) were not sure,
2(3%) disagree and 2(3%) strongly disagree to the assertion. The results indicate that
quick decision making help the Institution to fast track service delivery, and promote
its image. This agrees with the assertion made by Hebert (1998) that records support
decision making, demonstrate compliance, documents the history of the Institution and
perhaps most importantly enables the institution to do their jobs.
3% 2% 0%
Strongly Agree
31%
Agree
Not Sure
64%
Disagree
Strongly Disagree

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Figure 4.4: Proper records management saves office space

Source: Fieldwork
Figure 4.9 depicts that out of the seventy (70) respondents, 22(31%) of the
respondents strongly agree that proper records management saves office space,
45(64%) agree, 2(3%) were not sure, 1(1%) disagrees while none of the respondents
strongly disagree to the assertion. The result shows that proper records management
saves office space. This implies that proper record management prevent a situation
whereby unwanted records are kept over a long period of time thereby occupying
already limited office spaces.

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 CHAPTER FIVE

SUMMARY OF FINDINGS, CONCLUSIONS AND RECOMMENDATIONS

5.0 Introduction

This chapter captures the main issues addressed in the study. It presents the summary,
conclusion and recommendations which would be of interest to various stakeholders.

5.1 Summary of Findings

This has been arranged according to forms of records management, Records

Management Practices, benefits derived from proper records management and
challenges associated with records management.

5.1.1 Records Management Practices

The research revealed that decentralized system of records management is being

practiced in the Institution. This meant that each of the various units, sections,
departments and faculties keep their own records and no unit, section, department or
faculty can have access to another unit, section, department or faculty’s records
without permission.

The study further discovered that as far as records monitoring, control and
management are concerned, there are individuals who are in-charge within the various
units, sections, departments and faculties in the Institution.

The study also established that the Institution records pass through four (4) phases
(from creation, through use and maintenance to ultimate disposal) of the records life
cycle. Again, it was revealed that the Institution has policies and procedures for
creating and storing records in both paper and electronic forms. However, the
awareness of these policies and procedures is very low.

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[Link] Forms of Records Management

The study established that majority of respondents store their administrative

documents in both manual and electronic forms. This meant that the Institution
records are secured to large extend. Thus when one form of the records is lost, the
institution can rely on the other form for its operations. On the filing of office
documents, the study confirmed that the respondents file their office documents on
daily basis. This shows the importance the administrative staff attached to records of
the Institution.

5.1.2 Benefits of Records Management

The study revealed that proper records management leads to quick decision making
and saves office space as well. In addition, the finding indicated that proper records
management promotes good corporate governance and helps maintain corporate and
institutional memory.
5.1.3 Challenges with Records Management

The study indicated that one of the challenges associated with proper records
management is inadequate professionally trained records managers. It was further
established that insufficient resources like office space pose a challenge to proper
records management in the Institution.

5.2 Conclusion

From the study, it can be deduced that records are inextricable entwined with
increased transparency, accountability and good governance. Records provide
verifiable evidence of fraud and can lead investigators to the root cause of corruption.
Sound records management is therefore at the centre of increased accountability and
good governance, it is one of the best weapons in fighting corruption, it plays a vital
role in the advancement of human rights and contributes towards ensuring sound
financial management. Records should therefore be managed in the same manner that
the other organizational resources, such as finance and staff, are managed.

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Furthermore, the discussion has revealed that sound records management is not a
choice, but compulsory as it is regulated by Institutions. Advocating the management
of records as an organizational and societal benefit is therefore not an activity to be
taken for granted. Ignorance on records management can have adverse effects to the
Institution’s performance and can drain financial resources, and that will ultimately
affect service delivery.
5.3 Recommendations

Records management function should be incorporated into the organization-wide

strategic planning initiatives. Most importantly, senior management should embrace
the records management function to ensure its effectiveness and should be
incorporated into their performance management targets. The recommendations of
the study are as follows:

The institution needs to appoint records managers whose responsibilities will be

compilation, implementation, maintenance and utilization of approved filing systems
and the records filed according to these systems.

Again, records management is a field that needs to be run by experienced

professionals who will know what has to be done. It is therefore necessary for the
Institution to train their records management staff to have a qualification in records
management. Workshops and seminars should be organized by the Institution to train
staff on records management.

Furthermore, all Institution officials should be work shopped on the Records

Management

Policy and the Procedure and should be posted on Institution’s website for easy access.
Also, there should be Records Control Schedule to control and manage all institutions
records and prevent unauthorized removal and destruction of records.

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5.4 Suggestions for further research

The management of records must be recognized as being one of the key and vital
functions that contribute towards the realization of the organizational goals. The study
assessed the role of administrative records in support of quality service delivery. The
study identified several issues which could be a subject of further investigation by
records management researchers. It is recommended that studies be conducted to
establish the current state of records management in other Institutions and other
sectors of the government e.g. records management in schools, records management
in business.

27
 REFERENCES

1. Addo, P.K. (2010). TheContribution of Higher Education in National

Development. International Journal of Educational Leadership 2(2), pp. 81-
87.
2. Agyedu, G.O., Donkor, F, and Obeng, S. (2010). Teach Yourself Research
Methods, Institution press, KNUST, Kumasi, Ghana, pp.95-103.
3. Arora, S.P. (2006). Office Organization and Management; Vikas
Publishing House London Pvt. Ltd, New Delhi.

4. Atulomuah, B.,C. (2011). Perceived records management decision

making among Institution administrators in Nigeria. Library Philosophy
and Practice (e-journal). Paper 541

5. Bailey, T., Cloete, N., Pillay, P. (2011)Institutions and Economic

Development in Africa Case Study: Ghana and Institution of Ghana.
6. Ezeani, C. (2010), “Information and communication technology: an
overview”, in Madu, E.C. and Ezeani, C.N. (Eds), Modern Library and
Information Science for Professionals in Africa, Text Kinks, Ibadan, pp. 7-
29.
7. Ilana W. (2008), Common Problems Faced by Record Management.
Retrieved January 2014, from:
[Link]
[Link]
8. International Records Management Trust (IRMT), 2008, Integrating records
management in ICT system: good practice indicator, IRMT, London.
9. Kanzi, N. (2010). An investigation of the role of records management
with specific reference to amathole district municipality. Master’s thesis,
Nelson Mandela Metropolitan Institution.

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 APPENDIX I

QUESTIONNAIRE

I am a student of Rosamystica Institute of Business And Vocational

Trainingconducting research on the role of administrative records in support of
quality service delivery in St Joseph Technical Institute Virika. This questionnaire is
designed to collect information on the above topic for academic purposes and the
researcher would be very grateful if you could spare some minutes of your time to
answer the questions below. Every information provided will be treated as
confidential. Please tick or write out your response to the following questions.

Demographic Information (Please tick where appropriate)

1. Age: 25 years and below [ ] 26-35 years [ ]

36-45 years [ ] 46 and above [ ] 2.

Gender: Male [ ] Female [ ]

3. What is your highest educational qualification?

Basic [ ] Secondary [ ] Institution [ ]

Tertiary [ ] Others (Specify) ………………….

4. How many years have you worked with the Institution?

1 – 5 years [ ] 6 – 10 years [ ] 11 – 15years [ ] 16 and above [ ]

5. What category of staff do you belong? Senior member [ ] Senior staff [ ]

Junior staff [ ] Other please specify ………………

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Section A: Assessment of Records Management Practices

6. How do you store your office documents?

Manually [ ] Electronically [ ] Both [ ]

7. How often do you file the office documents?

Daily [ ] Weekly [ ] Monthly [ ] Quarterly [ ]

8. What kind of records management system do you practice at the Institution?

Centralized [ ] De-centralized [ ] Other (Please state) …….....

9. Who monitors and controls records management and retrieval?

Records Manager [ ]Individuals [ ] Other (Please state) ……......

11. The Institution records pass through how many phases of the record life-cycle?
Five [ ] Four [ ] Three [ ] Other (Please state) …….....

The following statements give you a chance to assess the record management
practices available at the Institution. Respond to the statement using the scale
provided “Strongly agree (1), Agree (2), Neutral (3), Disagree (4), strongly
disagree (5). Tick (√) the boxes that most closely fit your opinion.

Assessment of records management practices SA(1) A(2) N(3) D(4) SD(5)

The Institution has policies and procedures for

creating and storing records in both paper and
electronic format.
A thoroughly documented record retention schedule
that lists records categories and expected retention
time periods is available at the Institution.
An organizational file plan that list primary types by
functional unit so that information can be located
without depending on any one employee is available

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in the Institution.
The Institution has a vital records program that
serves as a back-up in case of a disaster.
A records management training program is organized
annually to ensure that quality records are kept.

The Institution has in place periodic audits that

provide an enforcement vehicle and assess the clarity
of procedures.
The Institution adequately address data privacy and
security issues.

Section B: Benefits derived from effective Records Management

Please respond to the following statements on the scale provided “Strongly agree (1),

Agree (2), Not sure (3), Disagree (4), strongly disagree (5). Tick (√) the boxes that
most closely fit your opinion.

Benefits derived from record management SA(1) A(2) N(3) D(4) SD(5)
practices
Quick decision making leads to the benefit of proper
records management
Space saving is the benefit administrative staff of the
Institution derive from records management

Reduction of storage is one of the importance of

effective records management
Promoting good governance contribute to the benefit
of proper records management
Effective records management saves
employees’ time
Proper records management maintain corporate and
institutional memory
Records management help to meet customers’

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demand

Section C: Problems or challenges associated with Records Management Tick (√)

the boxes that most closely match your opinion.

PROBLEMS / CHALLENGES SA(1) A(2) N(3) D(4) SD(5)

Improper records management is challenge in

retrieving office documents.
Lack of proper security for records affects the
records management practices at the Institution.
Lack of professionally trained records managers
contribute to problems of records management.
Inadequate resources to facilitate proper records
management practices is a problem
Insufficient space for records management at the
Institution is also challenge.

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