ASSESSMENT OF RECORDS MANAGEMENT PRACTICE AMONG ADMINISTRATIVE DEPARTMENTS IN TECHNICAL UNIVERSITY OF KENYA
PASCA JEPCHUMBA CHERUIYOT
A Research Project Submitted in Partial Fulfilment of the Requirements for the Award of Diploma in Archives and Records Management
TECHNICAL UNIVERSITY OF KENYA
DECLARATIONThis research proposal is my original work and has not been submitted for an award of a diploma in any other university.
Pasca Jepchumba CheruiyotDate
This research proposal has been submitted for examination with our approval as University Supervisor
Ms Villary AbokDate
Technical University of Kenya
DEDICATIONI dedicate this project to my husband, Peter Okemwa and daughters – Pritty and Precious.
ACKNOWLEDGEMENTFirst and foremost I wish to express gratitude to the Almighty God, for this far He has brought. I also wish to appreciate my supervisor Ms Abok for her invaluable guidance in writing this project. I am also grateful to my classmates who morally encouraged and supported me. Special thanks to the Technical University of Kenya for giving me the opportunity to undertake my studies.
TABLE OF CONTENTS
TOC o “1-3” h z u DECLARATION PAGEREF _Toc521068098 h iDEDICATION PAGEREF _Toc521068099 h iiACKNOWLEDGEMENT PAGEREF _Toc521068100 h iiiLIST OF TABLES PAGEREF _Toc521068101 h viLIST OF FIGURES PAGEREF _Toc521068102 h viiLIST OF APPENDICES PAGEREF _Toc521068103 h viiiDEFINITION OF TERMS PAGEREF _Toc521068104 h ixABSTRACT PAGEREF _Toc521068105 h xCHAPTER ONE: INTRODUCTION PAGEREF _Toc521068107 h 11.1Background of the Study PAGEREF _Toc521068108 h 11.2Statement of problem PAGEREF _Toc521068109 h 31.3Aim of the Study PAGEREF _Toc521068110 h 41.4Objectives of the Study PAGEREF _Toc521068111 h 41.5Research Questions PAGEREF _Toc521068112 h 51.6Significance of the Study PAGEREF _Toc521068113 h 51.7Limitation of the Study PAGEREF _Toc521068114 h 61.8Scope of the study PAGEREF _Toc521068115 h 6CHAPTER TWO: LITERATURE REVIEW PAGEREF _Toc521068117 h 72.1Introduction PAGEREF _Toc521068118 h 72.1 Records continuum concept PAGEREF _Toc521068119 h 72.2 Definitions of Records Management PAGEREF _Toc521068120 h 82.3 Types of records PAGEREF _Toc521068121 h 92.4 Benefits of Records Management to an organization PAGEREF _Toc521068122 h 102.5 Organizational records management program requirements PAGEREF _Toc521068123 h 122.6 Records Life-Cycle PAGEREF _Toc521068124 h 142.7 Records Appraisal PAGEREF _Toc521068125 h 142.8 Appraisal Purposes PAGEREF _Toc521068126 h 152.9 Records Retention Schedules PAGEREF _Toc521068127 h 152.10 Disposition of Records PAGEREF _Toc521068128 h 152.11 Challenges Associated with Records Management PAGEREF _Toc521068129 h 162.12Summary of the Chapter PAGEREF _Toc521068130 h 17CHAPTER THREE: RESEARCH METHODOLOGY PAGEREF _Toc521068132 h 193.1Introduction PAGEREF _Toc521068133 h 193.2 Location PAGEREF _Toc521068134 h 203.3 Research Design PAGEREF _Toc521068135 h 203.4 Population of the Study PAGEREF _Toc521068136 h 203.5 Sampling and Sampling Methods PAGEREF _Toc521068137 h 213.6 Data Collection Tools PAGEREF _Toc521068138 h 223.7 Data Quality Control PAGEREF _Toc521068139 h 233.8 Data Analysis and Presentation PAGEREF _Toc521068140 h 243.9 Conclusion PAGEREF _Toc521068141 h 24CHAPTER FOUR: DATA ANALYSIS, PRESENTATION AND INTERPRETATION PAGEREF _Toc521068143 h 254.1 Introduction PAGEREF _Toc521068144 h 254.2 Response Rate PAGEREF _Toc521068145 h 254.3 Types of Records PAGEREF _Toc521068146 h 264.4 Records Management Policies in Technical University of Kenya PAGEREF _Toc521068147 h 264.5 Challenges in Records Management in Technical University of Kenya PAGEREF _Toc521068148 h 274.6 Solutions to Challenges of Records Management PAGEREF _Toc521068149 h 28CHAPTER FIVE: DISCUSSION OF FINDINGS PAGEREF _Toc521068151 h 305.1Introduction PAGEREF _Toc521068152 h 305.2 Summary of the Findings PAGEREF _Toc521068153 h 30CHAPTER SIX: CONCLUSIONS AND RECOMMENDATIONS PAGEREF _Toc521068155 h 326.1Introduction PAGEREF _Toc521068156 h 326.2 Recommendations PAGEREF _Toc521068157 h 326.3 Conclusions PAGEREF _Toc521068158 h 33REFERENCES PAGEREF _Toc521068159 h 34APPENDICES PAGEREF _Toc521068160 h 36Appendix 1 Letter of Introduction PAGEREF _Toc521068162 h 36Appendix 2 Questionnaire PAGEREF _Toc521068164 h 37
LIST OF TABLES TOC h z “Title” c Table 3.1: Sample Population of Staff PAGEREF _Toc520995110 h 21Table 3.2: Sampled Population PAGEREF _Toc520995111 h 22Table 4.1: Types of Electronic Records PAGEREF _Toc520995112 h 26Table 4.2: Policies of Records Management PAGEREF _Toc520995113 h 27Table 4.3: Challenges Faced in Retrieving Electronic Records PAGEREF _Toc520995114 h 28Table 4.4: Solutions to Challenges of Records Management PAGEREF _Toc520995115 h 29
LIST OF FIGURES TOC h z “Caption” c Figure 1: The Response Rate PAGEREF _Toc520995182 h 25
LIST OF APPENDICESAppendix 1: Letter of Introduction PAGEREF _Toc520993618 h 38Appendix 2: Questionnaire PAGEREF _Toc520993620 h 39
DEFINITION OF TERMSAccessibility This the availability of information in any format either online or Hardcopy
Accessing In computer information retrieval the method which a computer refers to records in a file, dependents upon their assignment.
Computer This is an electronic device used to create data manipulate it and print out. It is also used in communication through accessory called modem.
Disposition is a systematic way of disposing records which are no longer needed in daily transactions or has no value to the university.
Preservation is the protection of cultural property through activities that minimizes the chemical and physical deterioration and damage that prevent loss of information.
Record it is a document regardless of its form or format or medium that is created, received, maintained and used by the university in pursuance of legal or business transaction of which provides evidence.
Recordkeeping Refers to the process of creating and maintaining complete and accurate records of the business transaction
Records management is the general administrative management concerned with achieving economy and efficiency in the creation, maintenance, use and disposal of records throughout their entire lifecycle and making the information available to support the business of the university.
ABSTRACTIn order to have a productive and successful university there must be appropriate management of records. The major purpose of this study was to assess the records management practices among administrative departments in Technical University of Kenya. The study sample population comprised of 50 employees. The instrument used for data collection was questionnaire. Data was analysed using frequency tables, charts and percentages. The major findings of the study revealed that records management system in TUK was inefficient and does not effectively support public service delivery. This was evidenced by the fact that there was no awareness and existence of sufficient and active records management policy, procedures and service standards in TUK. The study therefore recommends that a records management committee encompassing of officers from all departments, division and units be formed. This will be useful to the development of records management regulatory frameworks, their dissemination and adherence leading to efficient and effective service delivery.
CHAPTER ONEINTRODUCTION1.1Background of the StudyThe Technical University of Kenya (TUK), is an institution of higher learning that has been mandated and chartered by the government of Kenya under the ministry of Higher learning to offer training and equipped learners with skills and knowledge so as to participate in enhancing and development of the country and in terms of the world at large, for the university to run smoothly they always get some support from the government, school fees from students and also investors for them to chip in.
According to the activities that run by the university, paper based records and electronic data are produced in large volume that documents their daily activities. Nevertheless, these documents and data are very vital and therefore need to be well-preserved. University is legally guaranteed to retain and preserve documents as a proof their daily transactions.
University therefore generates records to support their activities they carry out on a daily basis. Nevertheless, In any case, if records are not managed appropriately, the information and data might be misplaced and that leads to issues for the institution. To have a productive and successful university there must be appropriate management of records that guarantees the institution to run smoothly
However, International Organization for Standardization (ISO) 15489 (2001) describes records management as the field of management liable aimed at the well-organized and orderly control of the creation, receipt, maintenance, use and disposition of records, comprising the procedures meant for capturing and retaining proof of an information that includes university performances and transactions in the form of records.
Again Mrwebi (2000) shows that information is the key role in cost-effective improvement of the university which remains important for any business form to work well. Information is the university best basic and important skill, which recorded information requires operational management.
Mrwebi (2000) further states that university generates huge quantities of information and thus larger volumes of records, in both paper and electronic formats. It is important that information is created, maintained and well-kept in an organized system that keeps its transparency and reality as well as achieving legitimate and fiscal requirements.
According to Shepherd (2006), explains that in the university records are used to support accountability, when they want to show that they have encountered their requirements or observed with the best exercise or well-known rules. If record system is not managed well the performance of responsibilities will be more challenging, thus the university will incur some cost for the all resources and makes them helpless to safety openings, trial and shame.
According to Duose (2009) it says when the records officers maintain their records well; the records would all the time be present to display the condition the way it is. He further says that nobody will say about good control, fairness and instruction of act once records are not preserved well. In future, the requirement for precise records management at the various units, sections, departments and faculties is very important.
Technical University of Kenya
The technical university is an innovative type of university in Kenya, whose mandate shall be to offer Higher Education and Research in Technology.
As an institution of higher learning, TU-K shall offers undergraduate degrees at the Bachelor’s level. To this extent in addition to producing graduates at the fully professional degree level, TU-K continues in the tradition that has been set by KPUC in offering as well degrees aimed at producing technologists.
The technologist on the other hand is normally concerned with the actual production of artifacts and the implementation of systems. TU-K offers the degree of Bachelor of Technology (B.Tech.) for those aiming to be technologists. Parallel with this however, TU-K also offers the full professional degrees in various fields. For instance, it is intended to offer degrees such as Bachelor Engineering (B.Eng.), Bachelor of Architecture (B.Arch.), and Bachelor of Commerce (B.Com.).
1.2Statement of problem
Records are very important asset that warranties the university management to function successfully and well, and ought to be accountable to its staff, students and the community at large. For instance Records provides decision-making, establish collections, offer prove of actions, and support the university in cases of any event.
Looking for a report or record that cannot be easily recovered is one issue that influences the university and moreover takes a lot of time when searching for the exact record.
According to Audit that was conducted on May 2016 as per ISO 9001:2008 at Technical University of Kenya shows that there have been numerous occasions whereby records were proved to be lost or misplaced hence raising questions on which records are kept by the University, how are records managed, what framework and approaches are utilized in terms of records management therefore the University is in process of transitioning to the ISO 9001:2015 Standard in years’ time.
Wamukoya and Mutula (2005) further states that, when records are not management well is guaranteed to outcome in information openings that lead to insufficient records and the damage of document legacy. Similarly, good records management plays important role in making sure that records are reserved in a good environment and can be retrieved easily whenever required.
Furthermore, when there is poor records management, it is very hard to clarify for every conclusion in use. Corruption and untruthfulness cannot be easily spotted and be managed in the event that there is no evidence recorded. In the case of the Technical University of Kenya, there is a challenge in the management of records such that it is not clear on how records are managed both physical and electronic form.
Therefore, according to poor management of records it raises questions on which records to keep that the researcher interested to research on the assessment of records management since there is no reference of any study that has been done in regard to records assessment management practices at the Technical University of Kenya
However records that justify evidential requirements are being created in the university system that is accurate, reliable and trustworthy but not properly managed (Longe, 2001). Based on the problems stated above the need for the university to keep proper records and should not be overstated. Therefore is important to conduct a study concerning assessment of records management practices amongst administrative staff at Technical University of Kenya.
1.3Aim of the Study
The aim of this study is to assess the practice of records management among administrative departments in Technical University of Kenya with a view of enhancing protection of vital information.
1.4Objectives of the Study
The specific objectives of the study are to:
1)Determine the kinds and types of records generated and managed
2)Establish the Records Managements practices and policies
3)Find out the challenges faced by staff in an attempt to effectively perform the operations
4)Propose possible solutions/recommendations for the above challenges
To achieve the above objectives, the study sought to answer the following questions;
What kinds and types of records generated and managed at the Technical University of Kenya?
What are the Records Managements practices and policies at the Technical University of Kenya?
What are challenges faced by staff in an attempt to effectively perform the operations at the Technical University of Kenya??
What solutions/recommendation are associated with records management at the Technical University of Kenya?
1.6Significance of the Study
The learning will be very important towards different investors thus will help management of TUK to prepare the organizational staff on the importance of actual records management practices in the university. Also, the learning will help the management of TUK to raise the challenges associated with records management and how to address them.
However, it would assist learners and the common community to know how proper records management is vital. The learning also will help disclose the condition for good records management for real planning of TUK to ensure rapid growth and development.
It will also help identify the need to use appropriate filing system to meet daily actions of different departments within the university.
Moreover, the learning will guarantee easy admission to records by legal persons; hence it will help to provide the government with quick and accurate data for effective policy preparation and regulation. Lastly, it will also add to the body of knowledge in the area of records management.
1.7Limitation of the Study
The restrictions of the study will include inadequate fund and resources and limited time allocated to carry out the research, Some of the respondent are not cooperative they are hesitant to provide information to the researcher, and some respondent provide wrong information..
Once more, the learning will limit the records administration practices amongst the staff at the Technical university of Kenya
1.8Scope of the studyThe entire research will be based at the Technical University of Kenya where the research will be focused on the assessment of records management practices amongst administrative staff at Technical University of Kenya. It therefore confined itself to units, sections, departments and faculties in the university.
CHAPTER TWOLITERATURE REVIEW2.1IntroductionBasically chapter two provides a review of literature on records management where by literature review according to Blaxter, Hughes and Tight (2001:120) describe a literature review as a well-organized, clear and generative method for classifying, assessing, and understanding an current body of recorded work that was produced by researchers, scholars and practitioners. However it is different from an essay where it does not require you to build an argument on a particular issue but to analyze and evaluate key literature on a given topic to identify, compare and contrast common themes explored.
Oliver (2008), states that the word review in literature review’ means that one should summarize the broad content of the research study and also indicate clear ties to other studies in the field. However, Pickard (2012) confirms that a literature review is a critical discussion of all significant, publicly available literature that contributes to the understanding of a subject. He further states that the literature review not only informs the researcher on the state of knowledge of the subject, but also provides an insight into methodology. Thus the researcher can not only provide a summary of the study, but also the strengths and weaknesses of the methodology.
The main purpose of a literature review is to establish the academic and research areas that are relevant to the subject under investigation which is assessment of records management practices amongst administrative staff of Technical university of Kenya.
2.1 Records continuum concept
According to records continuum concept, activities and interactions transforms documents into records, evidence and memory that are used for various reasons in future. This concept highlights that those records deemed as having continuing value are retained and controlled as active records or as archives. This theory also suggest that records are both current and archive at the point of creation
According to this model, records control happens even before the records are created. This involve the identification of records management requirements, policies, systems, processes, laws, and mandates that effects on what is created and how they will be controlled. This concept also suggests that records that have a continuing value should be retained and managed as archives. Therefore, it has an implication on records in that systems and processes can be established and put in place even before records are created to enhance records control.
This concept also suggests many and diverse perspectives that contribute to records and archives control, including organizational, individual and institutional. For instance, records undergo the same process where they are created, utilized, retained and managed as archives. These records require proper control right from the time they are created until when they are preserved and managed as archives. This task calls for the identification of records control requirements, formulation of policies, processes and identification of systems and mandates that effect on how these records control will be achieved.
2.2 Definitions of Records Management
Records management, according to IRMT (1999), records management is the area of general administrative management concerned with achieving economy and efficiency in the creation, maintenance, use and disposal of the records of an organization throughout their entire life cycle and in making the information they contain available in support of the business of that organization.
ISO 15489:2001 defines 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 processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records. Records can be referred as recognized data, 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.
Dictionary (2000), characterizes a record as a record in composing or other changeless frame filling in as a commemoration or bona fide proof of certainties or occasions. It is viewed as data passed on or safeguarded. Penn, Pennix and Coulson (1994) depict records administration as the administration of any data gathered in generative frame that is necessary for leading business
Records administration is depicted as methods for good data administration, enhancing and revealing the administration of associations (Yusof and Chell, 1999). Smith, then again, tries to describe records administration by stressing the capacities that ought to be taken up by the program. Consequently works depend on the record’s life cycle that extents period, dynamic utilize, dormant utilize and transfer (1986: 9). Information management is a larger 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 the university. Information management also entails the management of all the information in the university as well as the management of the people, hardware, software and systems that produces the information.
2.3 Types of records
There are two types of record that the university uses to create records for their daily activities and they are as follows:
These are records which are generated from records office in form of hard copy whereby they are produced by either typing or photocopy for example memos or letters.
Electronic or Digital Records
These are records that have been generated and can also be read by a computer. However they are either be born digital or digitized.
2.4 Benefits of Records Management to an organizationRecords should be well managed in order to ensure they are protected for both administrative purposes and to serve as evidence of the university’s work. The process of caring for records is known as records management. Records are important to university management and for it to be successful it relies on information to improve university daily activities for effectiveness, efficiency and productivity and the following are the benefits;
Good records management preserve university memory where a proper records management program can ensure that the work, research, and information that is generated by an employee during his or her tenure is captured and managed appropriately to avoid being be lost and it would be easy for the university to store every kind of record that has been created thus also help the university to retrieve any kind of record required. Saur (2005:31) says corporate memory is information of an organization that is of value for re-use
Good records management saves time when records are managed well where it will be easy to locate and retrieve without consuming a lot of time and also it should easily accessible whenever they are required
When records are managed according to a formal records retention policy, it is easier to respond to an audit or litigation where record staff knows what they have, where it is and the ones that were disposed of.
Good records management identifies records that have permanent historical value to the University and continued to be used by University administration and also the researchers.
Records management helps in protecting vital information.
The Technical University of Kenya will therefore need a complete program for protecting its vital records and information from disaster because every university is at risk of losing it. Therefore records programs preserve the integrity and confidentiality of the records and safeguards according to records management plan of the university. Records management helps to control the creation and growth of records. An effective records management program addresses both records management program,
Records management helps improve efficiency and productivity since searching for missing records is time consuming and overwhelming therefore good records management program can help any organization upgrade its record keeping systems so that information retrieval is enhanced. A well designed and operated records system with an effective index can facilitate retrieval and deliver information to users as quickly as possible.
Records management helps to ensure regulatory compliance where university will ensure they comply with the rules and regulations by operating a good records management program which takes responsibility for every record they have. .
Records management helps to support better management decision making thus proper records management program ensures that decisions are made with documented proof where by it ensures that university employees have the information they need when they require it and to know for how long will a record be kept before disposal.
Good Records management should have disaster preparedness programs to identify risks which may cause emergencies or disasters to the university then the assessment will be done to consider how damaging the emergencies or disasters might be to the information of university.
After identifying the risk which might occur in a university the impact analysis must also be conducted and it is necessary to consider both the tangible and intangible consequences that could result from a loss of university daily activities
Good record management control the creation and disposal of records by ensuring Policies and procedures must be put in place to control the creation, retention and disposal of records where a proper records management system would help to organize and identify records which must be retained for day-to-day business operations and systematically dispose of when no longer needed.
2.5 Organizational records management program requirements
For an organization to recognize the above benefits, there should be a support from top management in order have proper records management practices in support of the organization’s business transaction. The top management will be able to embrace records management standards by having the leadership qualities which will aid in managing the records. However in an organization there should be records manager, being delegated to take care of all organizational records management projects. The records manager must be a person who is able to encourage records management standards to the organization. Without the support of organizational top management the records management program will not function well.
However, good organizational records management program is secured when there is policies and procedures in an institution for creating and storing records in both paper and electronic format that are supported by an institution administrators.
The organization must have its own records management policy which shows how records can be created, used, preserved and finally deposited at the end of its life-cycle. An effective records management program requires organizational file plans that help in listing records types so that information can be traced without depending on staff. File plans, are also called records inventories, which in turn helps to;
To gather information series,
To collect information on up-to-date disposal practices and on known legal requirements for the creation and retention of records.
To identify types of equipment and supplies currently used for storing records,
To establish the quantity of space occupied by records
To provide information on the purpose and functions of record series, to collect together information on where record series are currently stored,
To establish the frequency of access to individual record series,
An effective records management system need to have an important records protection program that classifies and safeguards those records that are critical for immediate restart of an organization’s business process following a disaster
A complete Disaster Preparedness Plan is one of the important features of an organization record management program. Without a disaster plan in an organization will lead to losing of records including vital records which will help the organization in case of emergency or a disaster.
In addition, an organization records management must have a documented Records Retention Schedule that lists Records Services and the expected retention time periods. Record appraisal and disposal is the key to effectiveness of records management to an organization.
2.6 Records Life-Cycle
Life of a record is compared to biological organisms which is born, lives, and dies where the record is created, used and disposed by either destruction or transfer to an archival institution. However in life cycle of records there are three biological ages that are seen equivalent of three phases namely current or active phase, semi-current or semi active phase, non-current or inactive phase. In the life cycle
Current or Active phase
These are records which are regularly used in the conduct of current business and therefore maintained near the place of origin or in the records office or registry.
Semi – current or Semi – active phase
These are records still used but infrequently in the conduct of the current business and maintained in the records Centre waiting for disposal.
Non – current or Inactive phase
In the current phase records are no longer used for the current business and therefore are destroyed unless they have enduring value and the records value are normally referred to for historical purposes, Research, information, or administrative purposes. An effective records management program recognizes the importance of managing records
2.7 Records AppraisalAppraisal is the term used for assessment of value of records on how long all record need to kept for business purposes and whether the record can be destroyed when it is no longer needed by the organization or transferred to archives, because it is for historical and cultural value.
2.8 Appraisal Purposes
For a record to be effective the following purposes should be considered. Well documented appraisal policy, methodology and procedures provide transparency and accountability for disposal action. Appraisal is the process that identifies the need for records and the outcomes of appraisal are records disposal and retention. Records of ongoing value are identified and managed appropriately. Easy access to current needed records thereby improving on efficiency and effectiveness to organizational operations. Records appraisal helps prevent destroying early records of the organization before they reach the end of their life-cycle.
2.9 Records Retention SchedulesThe purpose of record appraisal is to decide the value of each organizational record and the result of such use is the records retention schedule. Educause (2008:5) asserts that “records scheduling is a process for determining the life of a record in each stage of the information life cycle (from creation through disposal). Scheduling takes into account not only the practical business life of records satisfying administrative, fiscal and research needs, but also federal, state and local requirements.” A records retention schedule offers direction and guidance on record keeping requirements and conditions.
In addition, Moses (2006:7) affirms the centrality of records retention/ disposal schedules ensures compliance with records management principles by ensuring that records that have been identified as archives with retention schedules.
2.10 Disposition of RecordsDisposition is the destruction of records or the transfer of records to archives for permanent preservation. An Organization’s records disposition program provides approved routine procedures to dispose or transfer records that are no longer needed in the office for current agency business. Keller (2009) goes on to say during the disposition process, records are approved for destruction or transfer according to the policies and procedures of the organization. Records containing sensitive information should be destroyed in a secure way that protects privacy, such as shredding, incineration or secure digital destruction. Records containing non-sensitive information may be disposed of in the trash, recycling or the less secure digital destruction.
2.11 Challenges Associated with Records ManagementRecords keepers’ have inadequate knowledge or skills and competences for handling records and archives in the university. Due to inadequate skills in information technology, records managers and archivists are very conservative and have fear for computers. The conversion of paper based records management activities to electronic format will not succeed in university if the records management processes are not structured in an efficient and effective way.
The other challenge associated with records management in the university is inadequate finance since the management will not be able provide money to purchase equipment’s in order to have proper and efficient electronic records management. However, the other challenge was lack of retention and disposal schedules, where the university had no proper management programme that will guide the managers on how long the records should be kept before being disposed of. Moreover another challenge is poor supervision of records staff in this case if records officers handling record are not supervised they will end up not performing their duties well and thus also will not deliver services efficiently.
Lack of knowledge about the importance of information in university is another challenge whereby if records are not secured the important information will be leaked out or get lost
Absence of an archival institution, where by record storage is challenges associated with records management which results into loss of document or misplaced whenever a document is needed it will take long for it to be retrieved. However if important records are needed for a legal matter, such as defending the university against a lawsuit, not supplying the appropriate documents can cost huge sums of money, or even mean the termination of the business entirely.
On the other hand record storage depending upon the nature of business which the university keeps their records, and how long the university has operated, thus may find itself running out of space. The challenge in supporting the implementation of the Management of Information Policy to ensure that they had the capacity to provide leadership and guidance on many information and knowledge management issues which includes metadata standards, records management, business activity and the structure of classification systems, content management, long-term access and preservation of information technologies. The other challenge related to the need to acquire resources, to develop a tough information technology infrastructure for the long-term preservation of, and access to, management of records.
A Disaster Preparedness Plan is one of the important features of a university record management program failure to have a disaster plan it will lead to loss of its records including vital records which could not make it possible for the university to return back into its normalcy in case of emergency or a disaster. Lack of records management systems in place, with absence of the use of classification schemes, retention schedules and systematic disposal of records, resulting in heavy congestion of offices and poor retrieval of information.
2.12Summary of the Chapter
Records play endless roles in university since managers and staff use them on a routine basis for carrying out different administrative duties especially decision making. The information contained in records helps to enlighten and educate staff on issues relevant to the university. Based on the findings of the study, recommendations for improvement will be made. The major recommendations are: adequate filing system should be adopted for filing records so that they can be retrieved quickly when needed.
Proper appraisal, retention and disposal of records should be done. There is need for records managers or officers to have relevant skills for themselves, in order to offer required services. Universities should provide adequate storage and security facilities for records to avoid damage and loss of records.
Finally, provision of adequate space, funds and the use of information technology in storage and retrieval of records in university would facilitate faster access and use of available data. It is recommended that the Records Manager be provided with adequate training to ensure that this officer is able to undertake the full responsibilities of their daily activities.
CHAPTER THREERESEARCH METHODOLOGY3.1IntroductionThis chapter discusses the research methods and techniques that will be used when carrying out the research study. The chapter presents the research design, population and sampling techniques, data collection tools, data analysis and the data quality control of the research study.
The research methodology of a study refers to the set of procedures and methods that the researcher uses to conduct research. Research methods had to be evaluated in order to explain what information will be required, how it will be procured more accurately and more cheaply and how it will be analyzed. Sudden changes to the research design, limitations of the research design, acknowledgement of the shortcomings of the execution of the study and proper issues must be dealt with when evaluating research procedures. There are usually approaches to research that are quantitative or qualitative, and with a third dimension referred to as the mixed method approach that encompasses both qualitative and quantitative methods.
The chapter presents the methodology that is going to be used in carrying out the study and discusses the study viewpoint and policy used in the study in pursuit with the aims of the study. Furthermore the chapter has advantages and disadvantages of making use of the research strategy utilized in this study so as to justify its use. It also discusses about the research design, the target population, sampling techniques, and data collection tools that will be used in the study. In addition, the chapter discuss on how the issue of ability and consistency will be addressed within the study. To conclude it looks at the data analysis method used in the study in relation to the goals of the study as well as moral considerations within the study.
3.2 LocationThis research study will be carried out at Technical University of Kenya main campus. This institution of higher learning is located in Nairobi, the capital city of Kenya and it is located in the Central Business District of the city.
3.3 Research DesignResearch is a logical and systematic search for new and useful information on a particular topic. The central role of research design is to minimize the chance of drawing incorrect causal inferences from data. Research design aims at identifying variables and their relationship Nwana (1981). The researcher in this case will use descriptive design method which will entail quantitative research approach. This will allow measurements of relationship between variables. The application of quantitative approach will ensure accurate data is obtained in the research process. It is therefore, research design can be said to be a guide to the researcher in her efforts to generate data for her study
3.4 Population of the Study
The term population refers to a well-defined group from which a sample can be drawn and which is specified in very concrete terms Neuman, (2000). An example of a population can be a person, a group, an organization, a written document or symbolic message, or even a social action under study. According to Mugenda and Mugenda (1999) research population is the complete set of individuals.
This study targets the staff in administration sections of Technical University of Kenya which is approximated to be 50 therefore the population of this study will be 50.
This is shown in the table below.
Table 3.1 Sample Population of Staff
Sections Variable Frequency (%)
Human Resource 15 30
Finance 15 30
Examination 10 20
Administration & planning 10 20
Total 50 100
3.3.1 Target population of the study
This study targets administrative staff of Technical University of Kenya. The approximate number of staff in these administrative sections is approximately 50 and therefore the target population of the study will 50 staff. This is illustrated in table 3.1 above.
3.5 Sampling and Sampling Methods
When conducting research, it is important for a researcher to choose what, where and whom to observe and interview. The purpose of sampling is to study a representative subsection of a precisely defined population in order to make suggestions about the whole population (Aber 1993). Sampling in a case study research includes decisions researchers make with regard to sampling strategies. There are different sampling procedures which are simple random sampling, systematic sampling, stratified sampling, cluster and snowball sampling. Sampling is used when the population is too large for the researcher.
The study population targets administrative staff only. Therefore 50 employees of Technical University of Kenya will be sampled out using both random and purposive sampling methods. For contingency, the researcher will sample out only 30 staff employees. This will be achieved by first purposively sampling out all the 15 staff from HR department because this is the department that handles all the records in the organization and therefore the staff here are rich in the required information.
Secondly sampling will be done randomly on the rest of the departments where 5 from finance, 5 from examination and 5 from administration and planning will be sampled out randomly for the sake of conveniences. Therefore the researcher will work with 30 respondents. This can be illustrated in the table below;
Table 3.2: Sampled population
Department Number Rate (%)
HR 15 100
Finance 5 33.33
Examination 5 50
Admin and Planning 5 50
3.4.1 Sample Size and sample frame
The target population of this study is 50 employees while those who will be issued with questionnaires randomly and purposively are 30 employees. Therefore sampling frame can be obtained mathematically; 30/50*100= 60%. Therefore sampling frame of this study will be 60%.
3.6 Data Collection ToolsAccording to Goulart (2013) data collection is a systematic approach to gathering information from a variety of sources to get a complete and accurate picture of an area of interest. The researcher will use several data collection tools in order to identify and capture the most accurate information. The data collection tool to be used in this study is the questionnaire. A questionnaire is a list of questions to be answered by respondents to get their views on a particular field of study. Administration of questionnaires is normally preceded by a letter, introducing the researcher, explaining the purpose of the research (Onweluzo, 1999). The researcher will collect the needed information through the use of questionnaires that will be administered in the sampled population. The administration of questionnaires will be carried out by the researcher herself and a total of 30 copies of the questionnaires will administered then they will be retrieved back by the researcher. Well-constructed and structured questionnaires will be used to get the desired information from the respondents. The questionnaire will be divided into two sections, A and B. Section A is for the unstructured questions for respondents to give personal information while section B will be general questions on the study.
One weakness of this method and which in some way may limit the results of the study is a case where the respondents may not be willing to answer questions and therefore leaving the questions blank and thus becoming invalid. The researcher should try as much as possible to reduce such cases by being present during filling of questionnaires to give assistance to the respondents when they need some clarifications and try to convince those unwilling.
3.7 Data Quality Control
The data to be collected will be controlled by two main aspects which are validity are reliability. Validity refers to the extent in which the interpretation of the results of a study is warranted which depends on the particular need the study is intended to serve. Validity applies to both the design and the methods for carrying out the research. Validity of results from this study will realized because the questionnaires to be used will be first verified by the project supervisor before distributing them to respondents. This means that the results of the findings will represent the phenomenon under research. According to (Seliger, 1989) and (Shohamy, 1995), controlling all factors that threaten the research’s validity is a primary responsibility of every good researcher.
Reliability on the other hand evaluates the stability of measures, internal consistency of measuring instruments, and interpreter reliability of instrument scores Kimberly, (2008). Another aspect of reliability concerns is the consistency of research questions. All questions will be related to records control. Reliability chiefly will be concerned with making sure the method of data gathering leads to consistent results.3.8 Data Analysis and Presentation
The researcher had collected data using the data collection tools then the process of editing followed with an intention of detecting minor and major errors and correcting them which were then put in categories of by distributing classes to the finding, bringing the same results together by assigning codes. Quantitative data was then analyzed by use of descriptive statistics and presented in graphical and tabular form using excel worksheets.
The data collected using the selected collection tools will be systematically processed organized in the order of the objectives of this research. The data organized will then be presented in the next chapter using the data presentation tools, which in this research, the major presentation method selected are the tables and graphs, whereas each will present specific data.
3.9 ConclusionIn summary, the chapter deals with research methodology of the study which contain the population , research design, location ,sample size and sampling procedures, data collection techniques and data analysis method.
CHAPTER FOURDATA ANALYSIS, PRESENTATION AND INTERPRETATION4.1IntroductionData analysis is the computation of certain indices or measures along with searching for patterns of relationship that exist among the data groups. Therefore this chapter represents the results of the data that was collected in the study which was targeting a total of 30 respondents. Data interpretation for this study was based on empirical information collected through the questionnaire. The research interpretation and discussions are based in on the research objectives which were:
Determine the kinds and types of records generated and managed
Establish the Records Managements practices and policies
Find out the challenges faced by staff in an attempt to effectively perform the operations
Propose possible solutions/recommendations for the above challenges
4.2 Response Rate
The researcher distributed 30 questionnaires to the target respondents to elicit response and out of the total distributed, 15 questionnaires were returned which gives a responses rate of (50%) percent and 15 questionnaires were not returned which represented (50%). These findings are represented on a pie chart below.
Figure 1: The response rateFrom the above pie chart it indicates clearly that sufficient response were given which was very encouraging.
4.3 Types of RecordsThe study established several types of records in Technical University of Kenya. These include Personnel records; student records, administrative records and financial records, which were represented in the table below:
Table 4.1: types of electronic records
Variable Frequency Percentage
Personnel records 10 66.6
Financial records 9 60
Students’ records 15 100
Administrative records 5 33.3
From the above figure it shows that students’ records were the most common types of records in Technical University of Kenya with 15 response representing (100%) followed by personnel (66.6%) financial records (60%) and finally administrative records with (33.3%) responses.
4.4 Records Management Policies in Technical University of KenyaTechnical University of Kenya Cooperates with ISO 15489 standards on management of records to ensure service delivery and to increase efficiency and effectiveness in provision of services. All departments are required to adopt and customize these policies, taking in to account the services they provide. As a result, TUK has developed customized service policies with which all records management operations should abide by. Thus, the study sought to find out how effective these policies are in terms of records management. From the responses, the study established the existence of general policies in TUK that may affect records management. These policies were; authorized access to records, restrictions on bypassing of files and that all files must be returned to the custodian department within two days after dispatch from the registry and also the records officers must ensure the correct and valid metadata information describing the records. This is described in the table below;
Table 4.2: policies of records managementVariable Frequency Rate (%)
Access with authority 10 66.6
Bypassing of files 9 60
Valid metadata 6 40
Appropriate classification of records 3 20
Proper archiving and destruction of inactive records 3 20
From the above table, it can be noted that the widely-accepted policy for records management in TUK is the one dealing with access of records with authorization with 10 responses. This represented 66.6%. This means that any access to records from the registry and in other departments should have authorization from registry personnel or whoever is in charge of records. Other accepted were, bypassing of records by action officers with 60% responses, valid metadata on records (40%), appropriate classification of records (20%) and proper archiving and destruction of obsolete records (20%).
4.5 Challenges in Records Management in Technical University of KenyaThe study indicated positive results on the challenges faced by records management in TUK. This was based on the results from the respondents who knew about existence of electronic record retrieval services and had tried it. The challenges highlighted include: long procedures being followed, network coverage problems, threats to confidentiality and incompatibility of devices.
Table 4.3: Challenges faced in retrieving electronic records
Challenges Frequency Percentages
Inadequate policies 10 66.6
Network coverage problems 5 33.3
Threats to confidentiality 4 26.6
Incompatibility of devices 5 33.3
Shortage of qualified staff 15 100
Lack of management support 9 60
Insufficient funds 6 40
From the above table (4) it shows that most common challenge facing records management was shortage of qualified staff with a rate of 100% followed by inadequate policies with 66.6%, lack of management support 60%, and incompatibility of devices in electronic records management 33.35, threats to confidentiality 26.65, network coverage problems 33.3% and finally lack of sufficient funds with 40%.
4.6 Solutions to Challenges of Records ManagementThe study established possible solutions to the above challenges from the respondents; these are; carrying out regular records appraisal, establishing sufficient and operational records management policies, sourcing standardized equipment for managing electronic records, enforcing security mechanisms on records management premises and online databases, recruiting more and qualified records management personnel and ensuring there is management support in all initiatives of records management. This is illustrated in the table below;
Table 4.4: solutions to challenges of records management
Variable Frequency Rate (%)
More records management personnel 3 20
Regular Appraisal 3 20
Management support 9 60
Standardized equipment 6 40
Enforcing security mechanisms 5 33.3
CHAPTER FIVEDISCUSSION OF FINDINGS5.1IntroductionThis chapter presents the summary of findings of the study. The study was undertaken with a general objective of assessing the practice of records management among administrative departments in Technical University of Kenya (TU-K) with a view of enhancing protection of vital information. This study sought to answer the following questions;
What kinds and types of records are generated and managed in TU-K?
What are the Records Managements practices and policies in TU-K?
What challenges are faced by staff in an attempt to effectively perform the operations in TU-K?
What solutions/recommendation associated with records management in TU-K?
5.2 Summary of the Findings5.2.1 Types of Records
the study established four types of records being generated and managed in Technical University of Kenya. These types of records were personnel (66.6), financial (60%), students’ (100%) and administrative records (33.3%).
5.2.2 Records Management Policies in Technical University of Kenya
From the findings, the study revealed the existence of general policies in records management in TUK. A total of 66.6% staff gave access to records with authority as the major policy guiding records management in TUK. Others were; proper archiving and destruction of obsolete records cited by 20%, ensuring appropriate and valid metadata 40%, while 20% of respondents mentioned using appropriate classification methods for records in TUK .this is as well illustrated in table 4.2 in the previous chapter.
5.2.3 Challenges in Records Management in Technical University of Kenya
The study established the existence of challenges hampering records management in Technical University of Kenya. They include; shortage of qualified staff with a rate of 100% followed by inadequate policies with 66.6%, lack of management support 60%, incompatibility of devices in electronic records management 33.35, threats to confidentiality 26.65, network coverage problems 33.3% and finally lack of sufficient funds with 40%. This was also illustrated in table 4.4 in the previous chapter.
5.2.4 Solutions to Challenges of Records Management
The respondents provided the following solutions to record management challenges at the Technical University of Kenya:
Firstly, more records management personnel employed to ease the challenge of records in the University. Secondly TU-K should have regular records appraisal. Third, for proper records management, top management support is required. Fourth, there should be standardized equipment and finally proper security mechanisms should be enforced at the Technical University of Kenya.
CHAPTER SIXCONCLUSIONS AND RECOMMENDATIONS6.1IntroductionThis chapter presents the summary of recommendations and conclusion. The study was undertaken with a general objective of assessing the practice of records management among administrative departments in Technical University of Kenya (TU-K) with a view of enhancing protection of vital information. This study sought to answer the following questions;
The following are the key recommendations arising from the study:
6.2.1 Adherence to record management programs, policies and procedures
This study established that as echoed by Kemoni (2007) that adherence to records management programs, policies and procedures will facilitate effective records management and control for public service delivery. Therefore this study recommends that:
Though there were no records management policies and procedures manuals for TUK; the records manager should publicize and ensure compliance to the already existing regulatory frameworks from Kenya National Archives and Documentation Service (KNADS). In doing so the records manager should also seek assistance and guidance from KNADS to ensure that records management best practices are met.
The study recommends that a records management committee encompassing of officers from all departments, division and units be formed. This will be useful to the development of records management regulatory frameworks, their dissemination and adherence leading to efficient and effective service delivery.
This study recommends that there should be a records management performance evaluation for both records officers and records users. This will be instrumental to establishing adherence to records management programs, as well as establishing responsibilities between action officers and records management units’ ability to perform.
6.3 ConclusionsThis study investigated the practice of records management in Technical University of Kenya. The study revealed that records management system in TUK was inefficient and does not effectively support public service delivery. This was evidenced by the fact that there was no awareness and existence of sufficient and active records management policy, procedures and service standards in TUK. This resulted in an ineffective records management program as records management personnel and records users lacked direction and guidance on how to efficiently and effectively execute their duties and responsibilities.
The study revealed that delays in access and use of records were common features. Further, it also found out that even though TUK generate and use e-records, there were no strategies for their management and control. It was also apparent from the study that lack of and low levels of training, insufficient funds, shortage of qualified staff, were major hindrance to effective records management program thus affecting the control of records for effective service delivery.
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APPENDICESAppendix 1Letter of IntroductionDear Sir/Madam,
I am Cheruiyot Pasca, a diploma student of Information Science from the Technical University of Kenya (TUK). I am carrying out a research on records management practice amongst administrative departments in Technical University of Kenya.
The purpose of this study is to assess records management practices in enhancing quality service delivery in TUK. In this connection, I would like to request you to be one of my respondents in my study.
I hope you can help me by answering the instrument sincerely and truthfully. The information you will provide will be used for academic purposes only and will be treated with utmost confidentiality.
Appendix 2QuestionnaireSECTION A: PERSONAL INFORMATION
What is your position in your department? ……………………………………………
For how long have you been in this position? (Years)……………………………………
What is your highest level of education?
Are you aware of different types of records in your department?
If yes, name these types of records
How do you store and manage your office records?
Do you have any records management policies in your department? Yes No , if yes kindly outline these policies
How often do you update your filing system in your office?
What do you think of the level of records management in TUK?
What are some of the challenges you face in managing your office records?
What solutions do you propose for mitigating such challenges?
THANK YOU ALL