EFFECTIVENESS OF RECORDS MANAGEMENT PRACTICES IN THE DEPARTMENT OF PHYSICAL WORKS PLANNING AND ESTATES AT NUST
Abstract
The study sought to assess the extent to which records management practices were aiding the effectiveness and efficiency of the NUST Department of Works. The aims and objectives were to establish strategies used to manage records in the NUST Department of Physical Planning Works and Estates and to explore methods used to preserve and conserve the department’s vital records just to mention a few. It was the assumption of the study that there is a near total collapse of records management systems at the NUST Department of Physical Planning and Works and that study was significant because the findings were going to be used by records students undertaking records management studies. The literature review maintains that an effective records management program anchor on a written records management policies, standards and procedures. The researcher used a case study research design where a single department of NUST was chosen for this study. The population of the research comprised of all NUST Department of Physical Planning staff members of which a sample of ten (10) people were elected through a stratified random sampling procedure To gather information the following research tools were used: observation, interviews and questionnaire. The results indicated that; the department have never appraised or disposed its records ever since its establishment, records had already filled up the strong room which is no longer accessible and some of the records are staffed in boxes and some piled on the floors. It was recommended that the department adopts a records management policy, train its staff on simple records management standards, adopts a records preservation plan, revive the records office and to appraise and dispose records systematically.
ABBREVIATIONS/ACRONYMS
ICT Information Communication Technologies
NUST National University of Science and Technology
ZOU Zimbabwe Open University
ACKNOWLEDGEMENTS
I would not have been able to complete this academic journey at the Zimbabwe Open University without the following individuals who have stayed with me along the way:
First of all, I would like to express sincere gratitude to my supervisor Mrs. M. Tapfuma for his attention to detail and generosity in sharing both his knowledge of the research process and most importantly, for helping I grow immeasurably as a student. With her guidance and support, writing this research project was a powerful learning experience.
I would like to extend my appreciation and special thanks to the following other people who have assisted me during the time I was writing this project: Mr Chenjerai Mawodzwa, Mr M.Moyo, Ms. Hilda Hwenga, Miss Dorcas Ndlovu, Ruth Matitima, Nonhlanhla Moyo and Spiwe Sibanda.
Many thanks, as well go to all the staff of the NUST Department of Physical Planning and Works where I conducted this study.
No study can be conducted without the emotional support of family, friends and colleagues. I can merely express my gratitude to all my family and friends for their continued support.
TABLE OF CONTENTS
PAGE
Approval Form ii
Release Form iii
Dedication iv
Abstract v
Abbreviations and Acronyms vi
Acknowledgements vii
Table of Contents viii
List of Tables xiii
List of Figures xiv
CHAPTER 1: INTRODUCTION
1.1 Introduction 1
1.2 Background of the study 1
1.3 Statement of the problem 5
1.4 Purpose of study 5
1.5 Research Objectives 5
1.6 Research questions 6
1.7 Significance of the study 6
1.8 Assumptions of the study 6
1.9 Definition of Terms 7
1.10 Scope of the study 8
1.11 Limitations of the study 8
1.12 Summary 9
Chapter 2: Literature Review
2.1 Introduction 10
2.2 Definitions of Records Management 10
2.3 Importance of Records Management 10
2.4 Other Benefits of Records Management 16
2.5 Requirements of an Effective Records Management Program 18
2.6 Records Life-Cycle 23
2.7 Records Appraisals 25
2.8 Purposes of Records Appraisals 25
2.9 Theories of Records Appraisal 27
2.10 Appraisal Methodologies 28
2.11Records Retention Schedules 31
2.12 Benefits of Retention Schedules 32
2.13 Disposal Schedules 35
2.14 Consequences of Delaying to Dispose Records 36
2.15 Summary 37
CHAPTER THREE-RESEARCH METHODOLOGY
3.1 Introduction 39
3.2 Research Methodology 39
3.3 Research Design 40
3.3.1Advantages of a Case Study 42
3.3.2 Disadvantages of a Case Study 42
3.4 Population and Sampling 43
3.5 Sampling Procedure 44
3.6 Research Instruments 46
3.6.1 Interview 46
3.6.2 Questionnaires 48
3.6.3 Observation 49
3.7 Reliability and Validity of the Research Tools Used 50
3.8 Data Collection Procedures 53
3.9 Data Presentation and Analysis Procedure 54
3.10 Summary 55
Chapter 4: DATA PRESENTATION AND ANALYSIS
4.1 Introduction 56
4.2 Analysis of Questionnaire Responses 57
4.3 Questionnaire Response Rate 57
4.3.1 Questionnaires Response Analysis 59
4.4 Observation 63
4.5 Summary 64
CHAPTER 5: Summary, Conclusions and Recommendations
5.1 Discussion 65
5.2 Summary 71
5.3 Conclusion 72
5.4 Recommendations 73
LIST OF TABLES
Table A-Questionnaire Response Rate According Job Positions 58
LIST OF FIGURES
Figure 4.1 Questionnaire Response Rate 55
CHAPTER ONE
Introduction
1.1 Introduction
This chapter introduces first the background of the research study, statement of the problem, research objectives, research questions, scope of study and the limitations of the study.
1.2 Background to the study
The NUST Department of Physical Planning Works and Estates is mandated to manage all university projects. It is these projects which generate a lot of records within the department. Officials within the department are so much seized with their duties to the extent that little attention is given to records management. Since projects involve contracting and acquisitions, it is necessary that officials prove that they are transparent and accountable which can only be achieved through a clearly defined and organized records management program.
It is required that an organization’s records management program be effective and efficient for a host of benefits.
Tsabadze, Mutula and Jacobs (2010:1) say:
An effective records management system allows tracking of the life-cycle of records in an organization, enables the organization to know when a record is created, its functions, duration of its usefulness by the agency that created it, the parameters and duration of maintaining it and the legal authority that enables it to be destroyed. The management and preservation of records in an organization helps in achieving greater efficiency, effectiveness and economy
It is very clear that there is a relationship between the organization’s effectiveness and efficiency and the proper care of organizational records and information.
Information management lies with a well-documented records management policy. A records management policy is defined as “a formal policy that delineates the general administrative management concerned with achieving economy and efficiency in the creation, use and maintenance, and disposition of records” (http://www.mvs.usace.army.mil/engr/curation/CMAC Glossary.html). It is this policy which underpins how the organization will manage its records in a way to promote its efficiency and effectiveness in its operations.
The records management policy clearly details how records can be received or created by an organization. It goes on to explain how each form of records, electronic, paper or microform, can be handled by an organization, that is, the records storage, preservation and retrieval methods.
Records need to be appraised periodically or systematically in order for the organization to continually dispose obsolete and to select records of archival value. Records appraisal ensure that semi-current records are separated from current records in order to improve organization efficiency and effectiveness by limiting the retrieval period of the current records needed for the day-to-day running of an organization. In addition to the above records appraisal improves organizational cost-effectiveness as Arn and Titlow (1980:6) asserts as follows, “Records created and stored on paper or in a computer are expensive…One function of records management is the economical control of information. There is little doubt that automation will be a necessary part of most office environment in the next few years. Records management personnel have responsibility to see that cost-effective procedures are implemented and maintained to ensure low office overhead costs.” Records appraisal is one way of maintaining economical control over the organizational operations. Appraisal ensures that obsolete and useless records are removed from offices thereby creating office space and a reduction in records storage equipment costs.
Mawarire (2012:3) says,” Hazards such as water, fire, earthquakes which may lead to collapsing of records storage facilities and water pipes…all have a potential to greatly damage semi-current records…if disaster prevention, warning systems, response and recovery are not regularly reviewed, maintained and practiced”. Mawarire quotes Ngulube (2005:16) who supports his point when he says “it will not be prudent for archivists to put much effort in the acquisition, arrangement, description and preservation of archival materials if the archives may be lost as a result of a disaster that has not been planned for.” The disaster preparedness plan spoken by the above author must be part of the records management policy in order to prevent or minimize loss of information through possible disasters.
If an organization fails to write down a disaster preparedness plan, it exposes itself not only to a possible loss to its human capital but to its vital records and information needed for its daily operations. If the organization fails to access its vital records after a disaster, it will take time for the organization to return to business and that will result in a considerable loss of revenue. Records management therefore, is one of the cornerstones of the organizational effectiveness and efficiency.
An organization which is conscious to the benefits of proper records care will put much effort to records preservation and conservation. Failure to preserve and conserve records and information will result in the loss of information through the deterioration of the records media. A written records preservation and conservation policy, which can be a section of a records management policy, will help an organization to have a planned and organized records preservation and conservation program. Miller and Roper (1999:1) postulate that preservation is a crucial element in the whole operation of a records program. The above authors say, “The aim of archival preservation is to prolong the usable life of useful research information in two ways. First, preventive preservation seeks to reduce risks of damage and to slow down the rate of deterioration …Secondly; prescriptive preservation is a means of identifying and treating or copying damaged materials to restore useful access to the information” Though, the above authors wrote with archival records in mind, their observations applies even to records found in registries, and therefore it is necessary for organizations to have in place properly planned strategies of preserving and conserving records and information.
Mutongi (2011:121) summarizes the importance of information management in projects as follows; information management aids decision making, creates value or usefulness, allows to gain completive advantage, helps solve problems, helps to monitor and control, improves communication, improves service, increases flexibility, creates knowledge, increases productivity, increases revenue, reduces costs, provides metrics and measurements, integrates and coordinates resources, makes things explicit, reduces uncertainty and supplements memory. In short proper records care aids the organization’s efficiency and effectiveness.
1.3 Statement of the problem
The NUST Department of Planning Works and Estates is not disposing records leading to an accumulation of records in offices and storerooms.
1.4 Purpose of the study
The study seeks to assess the extent to which records at NUST Department of Physical Planning, Works and Estates are professionally managed to improve the department’s efficiency and effectiveness in its operations.
1.5 Research objectives
- To establish strategies used to manage records in the NUST Department of Physical Planning Works and Estates.
- To explore methods used to preserve and conserve the department’s vital records.
- To ascertain if the department has any records appraisal system.
- To establish how the department’s records management program has assisted the department to achieve its effectiveness and efficiency.
- To make recommendations
1.6 Research questions
1.6.1What strategies are being used to manage records in the NUST department of Physical Planning Works and Estates?
1.6.2 Is there any planned program within the department to conserve and preserve the department’s vital records and information?
1.6.3 Does the department have any records appraisal system?
1.6.4 Is the department’s records management program contributing to the department’s efficiency and effectiveness?
1.6.5Does the department have a records management policy?
1.7 Significance of the study
The research findings will be used by records and archives consultants, researchers and students undertaking studies in records and archives management. This study if well adopted and implemented can contribute towards the improvement of records management practices and policy formulation at NUST Department of Physical Planning Works and Estates.
1.8 Assumptions of the study
The researcher assumed that there is a near total breakdown of the records management systems at the NUST Department of Physical Planning Works and Estates and that records are not being appraised and disposed at all. It is the researcher’s assumption that the department does not have a written records management policy which guides official on how records must be handled and managed.
1.9 Definition of terms
Records management according to Millar, Roper, Stewart( 1999:19)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.
Effectiveness(ibid, 10) is a measure of the ability of a process to produce specified outputs.
Efficiency(ibid, 10) is a measure of the ability of a process to produce more outputs from the same inputs.
Records appraisal (ibid,4) is the process of determining the value of records for further use, for whatever purpose, and the length of time for which that value will continue. Also known as evaluation, review or selection.
Records continuum concept is, according to the Australian Standard 4390 (www.archives.sa.gov.au/files/management-standard.ARM.pdf) “…a consistent and coherent regime of management processes from the time of the creation of records [and before creation, in the design of records keeping systems] through the preservation and use of records and archives.”
Records life-cycle theory is according to the www.businessdictionery.com/definition/life-cycle-of-a-record.htmlthe records life-cycle theory is a document and records management concept that all records pass through three distinct stages of (1) creation, (2) use and maintenance, and(3) disposition or disposal
Records management policy is a formal policy the general administrative management concerned with achieving economy and efficiency in the creation, use and maintenance, and disposition of records. http://www.mvs.usace.army.mil/eng./curation/CMAC Glossary.html
1.10 Scope of the study
The study seeks to assess the extent to which records management practices are contributing to the effectiveness and efficiency of the NUST Department of Physical Planning Works and Estates.
1.11 Limitations of the study
The major limitations to the study are time, money and the availability of respondents to answer survey questions.
1.12Summary
The background section explained the mandate of the NUST Department of Works and how records are generated. The section went on to explain that the researcher wanted to find a solution to the problems faced by the department as one of the reasons which motivated him to embark on this study. Before embarking on the research study the researcher assumed that records were not appraised or disposed at the Works Department which may lead to clogging of offices and storerooms. The scope of the study was explained as to assess the extent to which records management practices were aiding the effectiveness and efficiency of the NUST Department of Works while the aims and objectives were to establish strategies used to manage records in the NUST Department of Physical Planning Works and Estates and to explore methods used to preserve and conserve the department’s vital records among just to mention a few.
