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Managing records at higher education institutions: A case study of the

University of KwaZulu-Natal, Pietermaritzburg Campus

Article in SA Journal of Information Management · April 2005

DOI: 10.4102/sajim.v7i1.250

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 Vol.7(1) March 2005
Peer Reviewed Article

Managing records at higher education

institutions: a case study of the University
of KwaZulu-Natal, Pietermaritzburg
Campus

A. Chinyemba
National Archives of Zimbabwe
Harare, Zimbabwe
[email protected]

P. Ngulube
Information Studies Programme
University of KwaZulu-Natal
Pietermaritzburg, South Africa
[email protected]

Contents

1. Background and context

1.1 Research questions and rationales
1.2 Scope and limitations
2. Determining the essential records series of the University of KwaZulu-Natal
3. Methodology
4. Records documenting the key functions of the University of KwaZulu-Natal
5. Policies and procedures for managing records at the University of KwaZulu-Natal
6. Level of skills in records management at the University of KwaZulu-Natal
7. Current practice of managing records throughout their life cycle
7.1 Records creation
7.2 Control of records
7.3 Records storage
7.4 Records retention and disposition
7.5 Management of electronic records
7.6 Managing access
8. Role of the University Archives in records management
9. Conclusions and recommendations
10. References

Key words: Records management, university records, University of KwaZulu-Natal.

1 Background and context

Penn, Pennix and Coulson (1994:2) and King (1997:656) pointed out that many business
transactions depend on the proper creation and maintenance of recorded information. The
medium on which the recording of information could be done may be paper, microfilm,
audiotapes, videotapes, photographs, slides, or any computer-readable medium, such as
computer tapes or disks, compact disks and optical disks. Gold (1995:1) characterized an
organization's management of its records as the 'corporate … secret weapon' and 'the winning
strategy' that give the organization the competitive edge. Yet few organizations, including
universities, pay attention to the management of this corporate resource. Despite the fact that
universities are continually being called upon to function in a businesses-like manner in
order to be self-sustaining and to remain competitive, they overlook the enormous
advantages that proper records management practices could contribute to the achievement of
their objectives (Mnjama 2002:34; Procter 2002:49).

Recently, the Council on Higher Education (2000:20) pointed out that higher education
information systems in South Africa were inadequate. Proper records management could
help universities to manage their information, efficiently fulfil their mandate, protect them
from litigation, preserve their corporate memory, and foster accountability and good
governance. The information contained in university records needs to be managed according
to a methodical approach in order to enhance the effectiveness and efficiency of the
universities in carrying out their mission.

As universities carry out their mission they create various records. The core business of
universities is learning, teaching, research and community development. The University of
KwaZulu-Natal, in articulating its mission, states that it is 'committed to academic
excellence, innovation in research and critical engagement with society' (University of
KwaZulu-Natal 2005). Carrying out these activities produce records, which provide evidence
that the University is carrying out its statutory functions. If such records are not properly
managed or misplaced, then valuable evidence would be lost forever. Proper management
means establishing systematic controls at every stage of the record's life cycle, in accordance
with established principles and accepted models of records management.

The University of Melbourne (2001) defines records management as the capturing and
maintaining of accurate, complete, reliable and useable documentation of activities of an
organization in order to meet legal, evidential, accountability and social/cultural
requirements. Records pass through several phases in their life cycle. The primary purpose of
a records management programme is to monitor records, regardless of type or format, to
ensure that they pass efficiently, and at a minimum cost, through the creation, use, inactive
storage and disposal or permanent retention phases (Djorka and Conneen 1984:22).

In addition to facilitating the achievement of the University's mandate, the management of

records at the University of KwaZulu-Natal is key to fulfilling the requirements of the
Promotion of Access to Information Act No. 2 of 2000 (PAIA) (South Africa 2000) and
facilitating the smooth running and integration of the merged universities of Natal and
Durban-Westville. The merger is likely to bring about a lot of changes in relation to how the
new institution would be run. As Ngulube (2004a:23) points out:

'Change brings uncertainty, but records make decision making during

uncertainty possible. Changes that are not informed by reliable information are
likely to be unsustainable, unjustifiable and lacking transparency.'
In this regard, properly managed records may foster accountability, transparency and good
governance in the University of KwaZulu-Natal, which resulted from the merged institutions.

Furthermore, the passing of PAIA by the South African government makes the management
of university records of great importance. The Act gives the public the right of access, upon
request, to records held by public or private bodies, to the extent that a requested record is
required for the exercise or protection of rights (Currie and Klaaren 2002:1). Compliance
with the requirements of the Act means that the University must have in place a
comprehensive records management programme that maps all the records of the University
(Currie and Klaaren 2002).

In this light, the proper management of university records at a South African institution
becomes very important. Universities might find themselves in an embarrassing position if
requested records are not found as a result of poor records systems where, as Taylor
(2000:240) notes, litigation by aggrieved parties cannot be ruled out. Recently, a former
University of Durban-Westville student made a court application demanding to see his
examination scripts (UKZN rejects marks allegations 2004). Although, the student
eventually lost his case at the Pietermaritzburg High Court, the case demonstrates the
possibly consequence of not providing information timeously.

Organizations that manage their records well reap immediate benefits in terms of being able
to utilize all available information resources for competitive advantage. Kemoni and
Wamukoya (2000:125) state that effective records management systems provide information
required for the proper functioning of organizations, including universities. On the other
hand, poor records management can be risky to organizations. Djorka and Conneen
(1984:22) summarize the consequences of poor records management as follows:

'[I]n an institution where paperwork is poorly managed, the flow of records

through the life cycle is retarded, chaotic, or non-existent. Records and the
information they contain are difficult to retrieve, and costly duplication of
paperwork is a frequent occurrence. The net effect of poor management is a
decrease in the efficiency of the institution and an inflation of its operating
costs.'

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1.1 Research questions and rationales

The University of KwaZulu-Natal has a distributed system of managing records with no

central authority responsible for the records management function. A distributed
management strategy ensures that records are accessible over time by letting them be
maintained in the agencies that create or manage them (National Archives of Australia 1998).
The records that are created by the University's constituent department are kept and managed
by the creating units. This means that both faculty and school offices manage the records
they create or receive in the conduct of the business of the University. Within a school or
faculty, the records are centrally managed under the school or faculty manager or
administrator who has overall responsibility for the records of his or her unit. While there are
no standard structures, at times records management responsibilities are delegated to
administrative officers who often have responsibility for a sector of the records, such as
student records or finance and administration records.

Despite the important role that records play, there is overwhelming evidence that the
management of university records has largely been neglected (Choongo 1998; Kemoni and
Wamukoya 2000; Mnjama 2002; Oyiti 1998; Procter 2002; Taylor 2000; Uwaifo 2004;
Wema 2003). How universities manage their records should be a problem of concern to
researchers. It was therefore important to investigate the current state of records management
at the University of KwaZulu-Natal, Pietermaritzburg in order to find out if the University
was managing its records in accordance with the established principles of records
management. The investigation was guided by the following questions:

z Which records document the key functions and activities of the University?
z What mechanisms, policies, rules and procedures are in place for managing records in
the University?
z What is the level of skills in records management in the University?
z What is the current practice of managing records throughout their life cycle?
z What role, if any, does the University Archives currently play in the management of
University records?
z Based on the findings of the study, what recommendations can be made to improve
records management at the University?

By asking questions about current practices and procedures in records management, the
study managed to raise an awareness of a need for their proper management. The study is
likely to form the basis of corrective action and policy formulation if the recommendations
that have been made are taken into account.

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1.2 Scope and limitations

The study was limited to faculties and schools located on the Pietermaritzburg campus of the
University of KwaZulu-Natal. All the offices that participated in the study were located on
the same campus though the University has four other campuses, namely, Edgewood
College, Howard College, Medical School and Westville. The survey of all campuses was
deemed unnecessary because the overall picture of how records are managed at the
University of KwaZulu-Natal is an aggregate picture of the records management practices
and procedures on all campuses of the University. Admittedly, different units are likely to be
motivated differently on how to manage their records, but guiding principles are likely to be
similar university-wide. Therefore, this research studied practices and procedures of records
management in the offices where schools and faculties manage their records on the
Pietermaritzburg campus.

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2 Determining the essential records series of the University of KwaZulu-Natal

Functional analysis provides a systematic way of establishing the key activities and
transactions pertaining to the key functions of an organization, and in determining the
records that support those activities and transactions. Therefore, as Robinson (1999) notes,
functional descriptions link records directly to the business functions and activities that
created them.

Samuels (1992:22) used the functional approach in her study. The functional framework
developed by Samuels (1992) and lists maintained by other university records management
systems, such as at the University of Cincinnati (2002) and the University of Melbourne
(2001), were used in this study to determine the essential records that the University of
KwaZulu-Natal should maintain. A summary of the records generated by the functional
analysis of university activities is presented below. It is evident from the list that the key
functions of universities are conveying knowledge, conferring credentials, fostering
socialization, conducting research, sustaining the institution and providing public service
(Samuels1992:20).

This is the list of essential records that provide evidence of University functions:

A. Confer credentials

z Admission policy
z Applications received
z Selected students
z Registered students
z Personal files of students
z Enrolment reports
z Financial aid policy
z Scholarships and awards available
z Students awarded degrees
z Masters or doctoral theses passed
z Photographs of graduation ceremonies
z Videos of graduation ceremonies

B. Convey knowledge

z Courses run by the unit

z Curriculum of the courses run
z Course modules
z Complete list of current teaching staff
z Teaching responsibilities allocations
z Timetables and class venues
z Class lists
z Attendance lists
z Student continuous assessment marks
z Samples of assignments given
z Examination questions
z Student examination scripts
z Student evaluation policy
z Staff evaluation policy
z Student evaluations of lecturers
z Peer evaluation by other lecturers

C. Conduct research

z Research proposal submitted

z Proposals accepted
z Research grants management
z Annual reports of research output

D. Sustain the institution

z Evidence of establishment of unit

z Mission statement of unit
z Governing board minutes and reports
z Unit committees minutes and reports
z Organizational chart of unit
z Budget proposals and submissions
 z Expenditure records
z Audit reports
z Personnel policy
z Current employment regulations
z Staff recruitment in the unit
z Performance appraisals
z Outside earnings
z Staff development and training
z Unsolicited applications
z Plan of facilities of the unit
z Current space use and planning
z Security arrangements for facilities
z Architectural drawings of buildings
z Maintenance of facilities

E. Provide public service

z Continuing education programmes

z Consultation and other services
z Research services available
z Technical assistance available
z Projects undertaken
z Winter school records

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3 Methodology: the research story

The research question guided the design of the research in terms of what data were needed to
answer the question, where the data were, how data were to be collected and how they were
to be analysed (Durrheim 1999:29; Rowley 2002:18). Using the survey approach, the
researchers were able to collect data on the different practices of records management in
different faculties and schools located in different parts of the University of KwaZulu-Natal,
Pietermaritzburg campus. Similar studies carried out elsewhere by researchers, such as
Nwosu (1993) and Ugwunze (1992), used the same methodology.

Faculties and schools that constituted the University were selected as the administrative units
from which information was collected on the basis that these units carried out the core
activities of the University. The respondents comprised faculty managers who were in charge
of the management of the entire faculty records, faculty officers who were responsible for the
management of sectors of the records, such as undergraduate or postgraduate records, school
managers or administrators who had overall responsibility for managing the school records
and administrative officers who had sectional responsibility for records in the school.

The population was identified from the detailed University of KwaZulu-Natal telephone
directory that listed employees and their designations, according to their departments. A total
of 42 respondents were identified. Thirteen of the participants were from faculty offices
while 29 were from school offices. The total population was studied.

The researchers settled on a combination of data collection tools with the questionnaire as
the principal instrument of data collection. Observations and interviews were employed to
supplement the questionnaire. In research, the use of various methods to collect the same
data or triangulation is highly commendable. Previous studies by Choongo (1998), Kemoni
and Wamukoya (2000), Nwosu (1993), Ugwunze (1992) and Uwaifo (2004) used a
combination of these research tools in varying ways.

The questionnaire content was informed partly by the stages of the records life cycle model
as outlined by Robek, Brown and Stephens (1995:7–8), the stages of the records continuum
model as identified by the Edith Cowan University (2001) and by the model action plan
(MAP) (Edward and McLeod 2004). The questionnaire itself consisted of 99 items
considered necessary for the collection of the data needed to answer the research question.

The pre-tested questionnaires were delivered in person by the researchers in order to

establish rapport with the respondents and encourage questionnaire return. The returned
questionnaires were edited, coded and captured into an SPSS matrix. The data were analysed
using the various themes of the research questions that guided the investigation.

Of the 42 questionnaires distributed, 38 were returned, representing a 90% return rate.

However, two of the 38 questionnaires were returned uncompleted. The respondents claimed
that they did not find the time to complete them. Thirty-six (85,7%) of the questionnaires
were completed correctly and were, therefore, useable. Thirteen (36,1%) questionnaires
originated from faculty offices while 23 (63,9%) originated from school offices. The
response rate was considered to be adequate in accordance with the statement of Babbie and
Mouton (1998:261) that the consensus in survey research is that a response rate of 50% is
considered adequate for analysis, while 60% is good and 70% is considered very good.

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4 Records documenting the key functions of the University of KwaZulu-Natal

The primary purpose of records management is to ensure that all the records that provide the
evidence that the organization is carrying out its mandate are captured. Records are the basis
for organizational accountability, complying with legislative requirements and the
development of a corporate memory for the University. For records to be able to do that they
must be complete, accurate and reliable evidence of the transactions conducted (University
of Melbourne 2001).

The results revealed that the most common records series maintained by offices were those
that provide evidence to ascertain that the University was carrying out its core activity of
conveying knowledge. The full list of the frequencies of the records series maintained in the
schools and faculties that were investigated is presented in Table 1.

Table 1 Frequencies of essential records series maintained in the offices

Record Series % Record Series %

1 Course modules 80,7 30 Current employment regulations 25,0
2 Registered students 75,0 31 Maintenance of facilities 22,2
3 Personal files of students 75,0 32 Staff development and training 22,2
4 Courses run by the unit 66,7 33 Staff recruitment in the unit 22,2
5 Curriculum of the courses run 66,7 34 Organizational chart of unit 22,2
6 Class lists 61,1 35 Annual reports of research 22,2
output
7 Applications received 58,3 36 Student evaluation policy 19,4
8 Students awarded degrees 55,6 37 Samples of assignments given 19,4
9 Selected students 55,6 38 Plan of facilities of the unit 19,4
10 Complete list of current 52,8 39 Current space use and planning 19,4
 teaching staff
11 Timetables and class venues 50,0 40 Audit reports 19,4
12 Examination questions 50,0 41 Performance appraisals 19,4
13 Expenditure records 47,2 42 Financial aid policy 19,4
14 Unit committees minutes and 44,4 43 Personnel policy 16,7
reports
15 Attendance lists 41,7 44 Outside earnings 13,9
16 Student continuous assessment 41,7 45 Consultation and other services 13,9
marks
17 Student examination scripts 41,7 46 Staff evaluation policy 13,9
18 Masters or doctoral theses 38,9 47 Student evaluations of lecturers 11,1
passed
19 Governing board minutes and 36,1 48 Unsolicited applications 11,1
reports
20 Admission policy 36,1 49 Research grants management 11,1
21 Enrolment reports 36,1 50 Evidence of establishment of 11,1
unit
22 Mission statement of unit 33,3 51 Research services available 8,3
23 Budget proposals and 30,6 52 Technical assistance available 8,3
submissions
24 Teaching responsibilities 30,6 53 Projects undertaken 8,3
allocations
25 Proposals accepted 27,8 54 Continuing education 5,6
programmes
26 Security arrangements for 27,4 55 Architectural drawings of 5,6
facilities buildings
27 Research proposal submitted 25.0 56 Peer evaluation by other 2,8
lecturers
28 Scholarships and awards 25,0 57 Photographs of graduation 2,1
available ceremonies
29 Winter school records 25,0 58 Videos of graduation 2,1
ceremonies

The University of KwaZulu-Natal operates under an environment of both external and

internal accountability. It has a specific mandate in terms of the Higher Education Act (Act
No. 101 of 1997) as amended (South Africa 2002) under which it was established and,
therefore, it is also accountable to outside bodies. It is essential that records showing that the
University is carrying out its mandate be maintained. Furthermore, the University is
internally accountable to itself in terms of its strategic plans. Records are the only means of
showing that the University is accountable.

It is essential that the University, particularly in its faculties and schools, identifies and
maintains records series that provide evidence of its core activities of teaching, learning
research and the provision of public services. Indeed these are the key areas for faculties, and
sometimes records about these activities may not exist anywhere else on campus. In the area
of management it is possible that records not captured or maintained by the schools or
faculties may be maintained by central administration.

As shown in Table 1, the University was capturing and maintaining various essential records
series particularly in the key areas of conveying knowledge and conferring credentials.
Twenty-seven (75%) of the offices indicated that they kept lists of registered students and
personal files of students while 55,6% kept lists of past students who had been awarded
degrees. By maintaining these records the University could show that it was conducting its
core business.

However, what was disturbing was the discrepancy in the percentages of record series that
captured activities related to conveying knowledge. It was found that 11 (30,6%) respondents
kept record series relating to teaching responsibilities allocations. Only four (11,1%) of these
offices kept records relating to student evaluations of lecturers and one (2,8%) kept records
on peer evaluation of lecturers. The fact that 27 (75%) respondents had files relating to
registered students indicated that most offices had something to do with conveying
knowledge to students. The low percentage of records that were being kept relating to
evaluation of lecturers might mean that some offices were not capturing the records, or the
exercise was not conducted at all. Yet, monitoring and evaluation are some of the keys that
give organizations a competitive advantage.

In the area of conducting research, which is also a key area, the University was not doing so
well. Only 10 (27,8%) offices indicated that they maintained records of research proposals
accepted by the unit and 13 (38,9%) indicated they kept records of masters and doctoral
theses passed by the unit. These records are essential in providing evidence of what research
has been carried out in the unit before, to avoid unnecessary repetition and cheating by
students.

It is likely that records were also poorly captured and maintained in the area of the provision
of public services with only two (5,6%) offices maintaining a record of continuing education
programmes available in the unit and five (13,8%) maintaining a record of consultation and
other services available from the unit. It is possible that very few of the units under study
were engaged in providing continuing education, for example, and thus did not need to keep
records of that activity. The provision of public services is one important area where the
University could realise commercial viability if managed properly.

The fact that only 12 (33,3%) had mission statements for their record units, and eight
(22,2%) had records that related to organizational charts of the unit partly explains why some
essential records were not being kept. A mission statement firstly indicates what the
organization seeks to accomplish, that is why the organization exists and the ultimate result
of its work (Meshanko 1996). Secondly, it outlines the activities or programmes the
organization chooses in order to pursue its purpose. It also provides values that guide the
members of the organization in performing their work. Without a mission statement, it is
extremely hard to effectively execute an organization's core programmes. The words of
Lewis Caroll through the Cheshire Cat in Alice in Wonderland eloquently summarized the
importance of mission statements: 'If you don't know where you are going, it doesn't matter
which way you go' (Cheshire Cat 2001). It is evident that the University records officers
must articulate a clear sense of their mission and purpose so that their activities are guided by
a clear vision. That would enable them to capture the records series that provide evidence of
the University's core business.

The researchers concede that a generic list was used and because of the peculiarities of each
office and the different specialisations of the offices, the lists may not have applied equally
to each unit. However, the results remain an indication that there existed a problem in the
area, which may warrant further investigation.

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5 Policies and procedures for managing records at the University of KwaZulu-Natal

Records management programmes operate within the framework of policies, rules and
procedures that give guidance to practice. The purpose of these is to provide an environment
conducive to proper records management. This is particularly important in an environment,
such as the University of KwaZulu-Natal, where the responsibility for records management
is distributed among the individual units with little or no centralized control. Policy is
essential to provide broad guidelines in which procedures may be developed.

Four (11,1%) respondents indicated that there was a general records management policy. The
highest number, 12 (33,3%), indicated that there was a written document specifying
responsibility for records management. This was understood by the researchers to be
incorporated in the job descriptions of the staff concerned. The results show that policies for
managing records were inadequate. The details of the areas covered by their records
management policies are presented in Figure 1.

Figure 1 Aspect covered by records management policies

In the absence of an established policy environment and without written procedures to guide
development, the respondents were asked how practices and procedures for records
management were developed in their offices. The majority, 20 (55,6%), cited individual
initiative, with only four (11,1%) citing advice from the University archivist. Taylor
(2000:241) and Mnjama (2002:31) suggest that the evidence of the neglect of records
management in universities is the lack of co-ordinated and planned programmes within these
institutions as well as an absence of policies, procedures and facilities for managing records.

In addition to policies, there is a need to have standards in place that identify best practices
and benchmarks in order to achieve uniformity in practice. There is also a need for
mechanisms to check compliance with policies, rules and procedures. One such mechanism
would be the conducting of record management system audits. Ricks, Swafford and Gow
(1992:457) describe a records management system audit as 'a regularly scheduled
examination and verification of a specific activity' to enforce compliance with established
policies by making individuals and departments accountable.

Nine (25%) of the respondents indicated that an audit had been carried out in their offices. A
general records management audit was conducted in only three (8,3%) of the offices, while
an audit specifically checking if all records were being captured into the system was reported
in only six (16,7%) offices. An audit for security of records was conducted in only three
(8,3%) while an audit for unauthorized destruction of records was conducted only in one
(2,8%) office. The frequency of the audits ranged from two to 24 months. When the lack of
audits is viewed against the fact that retention schedules were reported in only six (16,7%)
offices, it could mean that the University was most probably losing valuable evidence of its
activities.

The results of the survey showed that only seven (19,4%) of the offices indicated that they
had a records management manual. Robek et al. (1995:435) state that:

'[The manual] establishes the various phases of the records management

programme, assists with training of employees, saves money, reduces errors,
standardises procedures, increases productivity and makes provision for change.'

In this regard, a records management manual serves as a reference point for records
management staff and ensures the standardization of procedures. The existence of a manual
is critical in an organization such as this one where there seemed to be no central repository
of expertise for records management practices.

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6 Level of skills in records management at the University of KwaZulu-Natal

The existence of qualified staff in records management ensures that the work is carried out
efficiently. Ugwunze (1992:44) and Uwaifo (2004:89) stress that records management had
little prospect of success unless the services of trained personnel were employed. Education
and training are important because they impart new skills and give confidence to personnel
(Wamukoya 2000:31; Ugwunze 1992:43).

Only three (8,3%) indicated that they had qualifications in records management. When asked
to name the qualifications only one of the respondents indicated a National Diploma in
Secretarial Studies. Ten (27,8%) of the respondents indicated they had attended training in
some aspect of records management since they started working with records.

It is evident from the results that the University lacks personnel with formal qualification in
records management and does not seem to provide consistent continual training for its staff.
However, the University boasts of cumulative experience in records management. Twenty-
five (69,4%) of the records management staff had been working with records for more than
three years, while a combined total of 30 (83,2%) have been with records for more than two
years.

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7 Current practice of managing records throughout their life cycle

The management of the records after their creation is just as important as ensuring that the
right records have been captured. If the basic premise of records management, which is to
'manage organisational information so that it is timely, accurate, complete, cost-effective,
accessible and usable' (Robek et al. 1995:7), is to be realized, then proper controls must be
applied to records during the different stages they pass through from creation to disposal.
This ensures that records maintain their value as authentic evidence of activity throughout
their life cycle.

7.1 Records creation

The prime objective of records creation is to ensure that only records needed by the system
are created and enter the system (Penn et al. 1994; Shepherd and Yeo 2003). The results of
the survey indicate that 19 (52,8%) respondents had in place a list of activities for which
records were to be created and only 12 (33,33%) respondents had instructions specifying the
number of copies to be made. The implication of the results is that not only might
unnecessary records have been created, but that some important activities may also have
been overlooked in the creation of records.

The generation of records needs to be managed because this is where the records enter the
records system. Penn et al. (1994:14) state that 75% of the cost of information is in records
creation. Universities are information intensive organizations and as such generate a large
amount of records. Unless controls are instituted at the point where the records enter the
system, unnecessary costs would be incurred and there is danger that the system would be
inundated and fail to function properly.

7.2 Control of records

The proper management of records entails establishing physical and intellectual control over
records that are entering the records system. This is done through registering each record as it
enters the system, locating it where it can be found easily by means of classification
schemes, placing it into files that are properly titled and indexing the information in the
records. When records are used by several people, and when records can be taken out of the
office for use elsewhere, it means keeping track of where the record is and for how long, if
the record is not to be lost.

The results of the survey showed that only 15 (41,7%) of the offices registered the records as
they entered the system, while 21 (58,35%) of the offices indicated they had responsibility
for classifying records. This was despite written classification systems being available in
only 10 (27%) of the offices. The implication is that more than half of the offices managing
records at the University were not registering the records that came into the University
records system. The absence of a written classification scheme meant that records were not
classified consistently. Inconsistent titling could also become a problem if 25 (69,4%) offices
reported that they had responsibility for opening new files yet only five (13,9%) indicated
that they had a list of authorized terms that could be used in the titles of new files.

The tracking of records was also problematic as only two (5,6%) respondents kept track of
their files. Yet, 25 (69,4%) of the respondents had files that were used by more than one
person. Even when the right records were created they would not be of much use unless they
could be found and utilized in the system when required. It seemed that the standard practice
was that users found the records because 'the users know the system', as one respondent
claimed.

7.3 Records storage

Records storage is largely concerned with the storage of records that are no longer constantly
referred to but are occasionally needed for business. These are semi-active and inactive
records. These records often safeguard 'crucial organisational interests hence the need to
keep them for as long as they may be needed' (Penn et al. 1994:208). Keeping these records
implies identifying them so that they can be separated from active records and then storing
them away from expensive office space.

The result of the survey indicated that four (11,1%) of the offices had guidelines for the
identification of active, semi-active and inactive records. Only six (16,7%) offices had
criteria for identifying active records and seven (19,4%) had procedures in place for
transferring identified records to records storage. Seventeen (47,2%) kept semi-active and
active records together. Only three (8,3%) respondents transferred records to the University
Archives.

Wema (2003) suggests that keeping active and inactive records together poses serious
storage and retrieval problems. The findings of this research showed that expensive office
space was wasted on storing records which could be moved to less expensive space, such as
archives. This also had an important bearing on the ultimate disposition of these records
when their retention time had expired. If they could not easily be identified, then they could
not easily be disposed of.

7.4 Records retention and disposition

A records retention and disposal programme is crucial to the management of the records of
the organization. The benefits of a retention and disposition programme are aptly
summarized by Ricks et al. (1992:75–76) as follows:

'A records retention programme provides a timetable and consistent procedures for
maintaining the organisation's records, moving the records to inactive storage when
appropriate and destroying records when they are no longer valuable to the organisation.'

The results of the survey indicated that inventory lists existed in only two (5,6%) offices. Six
(16,7%) offices had retention and disposition schedules. Yet 27 (75%) respondents reported
regular disposal of records from their offices. Even though 22 (61,1%) offices indicated that
they had disposed records within the past twelve months, only five (13,9%) respondents
indicated that they maintained a list of records disposed from their offices. This means that
almost every office on campus was disposing of records yet no one had any idea of what they
threw away. This could have serious implications if such records were to be required in
litigation and could not be located without any evidence of their disposal according to
disposal schedules.

The absence of record retention schedules suggested that some of the records that were no
longer needed by the system were still kept, and those that were still needed by the system
might have been destroyed. Another implication is that the University might have been
losing valuable evidence and vital memory as records disposition had not been developed
systematically. The need to develop records disposition schedules by universities is
emphasized by Nwosu (1993).

It is, however, of interest to note that the researchers were able to locate a records disposition
list at the University Archives. The researchers could not establish how and when the list was
drawn up, or if it was ever implemented. However, the list did not seem to adequately cover
the essential records series discussed in the previous sections.

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7.5 Management of electronic records

The rationale for including the management of electronic records, as a separate section from
the management of other records, was to highlight the fact that electronic records pose new
challenges as compared to paper-based records. Although paper records remain predominant
in organizations, there is no doubt that record keeping is increasingly becoming digital (Edith
Cowan University 2002). The presence of personal computers in every office and a local area
network at the University of KwaZulu-Natal shows that the University is increasingly
making use of digital records; they are continually being generated in electronic format and
may exist only in that format.

The results showed that the management of electronic records was unsatisfactory. The full
results of the survey are presented in Table 2. However, managing electronic records has
remained a nightmare to many institutions in Africa (Ngulube 2004b). It is evident from
Table 2 that the management of e-records was fragmented and vital records were in danger
of being lost.

Table 2 Management of electronic records at the University of KwaZulu-Natal

Control activity Yes No Total

No. % No. % No. %
Identification of electronic records 13 36,1 23 63,9 36 100
Control on generation of unnecessary records 8 22,2 28 77,8 36 100
List of activities for records creation 8 22,2 28 77,8 36 100
Guidelines for registering electronic records 13 36,1 23 63,9 36 100
Guideline for organisation of records 7 19,4 29 80,6 36 100
Separate storage of semi-active records 7 19,4 29 80,6 36 100
Storing records on removable media 18 50,0 18 50,0 36 100
Guidelines for labelling removable media 9 25,0 27 75,0 36 100
Protection and security of electronic records 4 11,1 32 88,9 36 100
Retention schedules 1 2,8 35 97,2 36 100
Checking compliance 1 2,8 35 97,2 36 100
Guidelines on methods of disposal 3 8,3 33 91,7 36 100
Guidelines to save e-mail records 11 30,6 25 69,4 36 100
Preservation of electronic records 1 2,8 35 97,2 36 100

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7.6 Managing access

The records of an organization can only be useful to the organization if they are accessible to
the members of the organization who need to use them. This implies making sure that they
are readily retrievable when required. When asked to indicate the tools of retrieval in place to
facilitate access to records, 28 (77,8%) respondents indicated that their drawers were
labelled, seven (19,9%) had indices and eight (22,2%) had automated retrieval systems.

Access is also concerned with making arrangements to comply with access requirements
whether from within the institution or from without. This is particularly important in the light
of the recent passing of PAIA. The results showed that although nine (25%) of the
respondents indicated that they had guidelines for the identification of requirements to make
records accessible to those who needed them, none of the respondents had a copy of PAIA in
their office. In fact, five records management staff, including a school manager, had never
heard of the Act.
It is evident that while provision for internal access to records was satisfactory, provisions
for external access were poor. These results meant that the University was especially ill
prepared to deal with external access requirements.

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8 Role of the University Archives in records management

Archivists have an interest in the management of records throughout their life cycle because
the quality of archival records depends on how they have been handled through their life
cycle. Maher (1992:283) states that records management is fundamental to the archival
function and, therefore, the archivist should pursue an active role in the management of the
institution's records. The archivist's involvement in records management is essential
throughout the stages of the life cycle.

An interview with the University archivist established that the University Archives played a
less than peripheral role in the management of the University's current records. Results of the
survey showed that only two (5,6%) respondents had sought assistance from the University
archivist. The University Archives had a role to play in the management of the current
records of the University. The archivist indicated the Archive's willingness to be involved in
the formulation of records management policies or guidelines.

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9 Conclusions and recommendations

The results of the survey showed that the University fell below requirements when it came to
maintaining records series that document its functions. The study also demonstrated that the
mechanisms in place for the management of records were inadequate to provide an
environment in which records management objectives could be achieved. The desirable
controls at each stage of the records life cycle were also found to be inadequate. The findings
showed that, in the absence of guidelines records management, practices and procedures
were developed through individual initiative. The study indicated that the University
Archives was playing a limited role in the management of current records in the creating
units. Knowledge of legal requirements relating to access to information was limited.

In light of the above, it is recommended that the University carries out a functional analysis
of its key functions, activities and transactions in order to establish guidelines to identify the
essential records series that need to be captured and maintained in its records system.
Policies that provide a framework within which the University records may be managed
should be established. Once policies are established it would also be necessary to ensure that
there is a consistent way of checking compliance and evaluating the performance of the
system through records management system audits. An inventory of all record series of the
University should be made and a retention schedule developed and implemented without
delay.

Records management manuals should also be developed to provide a reference point for
practices and procedures while helping to standardize records management activities in the
University. The University should facilitate continual training in records management,
particularly in the face of current changes in the information field. It is particularly important
that all those in charge of records, especially in faculties and schools, be made aware of
access requirements and that mechanisms for compliance with that access be provided.

The University should also pay serious attention to its electronic records management
environment. It is also recommended that the University Archives assume its rightful role in
the management of records throughout their life cycle. The University Archives is the
repository of expertise of records management procedures and the fact should be publicized
to departments.

However, there is need to replicate this research in other universities in South Africa in order
to build up evidence to refute or confirm that university records are not well managed. The
study was confined to the schools and faculties of the University. There is also need to
extend the research to other offices that handle University records in order to establish the
practices and procedures there. Furthermore, this study focused on records management from
the point of view of records managers; there is also a need to evaluate the service from a
user's point of view. Finally, there is a need to carry out research to establish effective ways
of preserving electronic records of archival value in the universities.

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