CHAPTER ONE

INTRODUCTION

1.1 Background of the Study

Recorded information is vital to the survival of any organization and Institution. Sound

records management is fundamental for good governance, effective and efficient administration.

It forms the basis for formulating policies, managing resources and delivering services to users in

an institution. The fundamental purpose of records management is to preserve valuable records

permanently and make them available for use. Hence records need proper managements in order

to be usable. An office would be disorganized greatly if it to rely on memory for preserving

every transaction. There would be no hard cards, memos, invoice, computer tapes, personal

record, microforms, letters or other types of record to support the office functions”.

The concept of Records Management is the process by which an organization determines

what types of information should be considered as records. Pennix and Coulson (1994) describes

records Management as the determination in what manner and for how long each record type

should be retained to meet legal, business and regulatory requirements. Records management is

the process of ensuring the proper creation, maintenance, use and disposal of records to achieve

efficient, transparent and accountability.

According to Gils (1994), it is a practice, which involves identifying, classifying

archiving, preserving and destroying useless records. Harrods Librarians Glossary (1995) defines

records management as, “the handling, efficient storage and efficient use of record on paper as in

other format including electronic records from their creations through the managements of

currents and non-current records to the archival stage Enyaondo (1992) concluded that records

are the backbone of the organizations for their functioning. He found that this important resource

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not maintained by some organizations, they are exposed to all risks and dangers. He goes on to

state the fact that records are vital in all government operations and call for proper and efficient

management of records in organizations since records are the backbone of organizations without

which can result into problems in their daily operations. According to the digital asset

management Chicago (2009) the purpose of managing records is to promote economies and

efficiencies in records keeping assuring that useless records are systematically destroyed while

valuable information is protected and maintained in a manner that facilitates its access and use.

Managing records improves the use of staff time by reducing the time spent looking for

information. The reduction is achieved because information can be retrieved quickly and

reliably. A number of organizations have tried to calculate how much staff time is spent

retrieving information; one estimate from a consultancy firm is that 10% of administrative staff

time is spent retrieving information of one sort of another. A systematic records management

program adds value to the daily functions of the staff. The University benefits when the staff

practice effective records management. In this way, effective records management help in quick

location of information when needed therefore a systematic method of management of records

must be established (Violets 1983)

The purpose of effective records management department is to provide support service to

the corporate department, subsidiaries and operating divisions of the organization. Although a

record management system is conceived as an operation that is not directly related to the success

of a firm, it provides an important backbone for the success of the Institutions operation (Smith

1995). It is based on the above benefits of effective records management, that this research

undertakes an assessment of record management practices in University of Cross River state

Library.

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1.2 Theoretical Framework

This study will be anchored within the framework of records management theories,

focusing on concepts such as the life cycle of records, records appraisal, retention schedules, and

information governance. Additionally, theoretical perspectives from library science and

information management will be integrated to provide a comprehensive understanding of

effective record management practices within academic library settings.

1.3 Statement of the Problem

According to Brown and Maedker (1987), Records management involves the application

of systematic and scientific control to all the recorded information that an organization needs to

do business. The records management system in University of Cross River state Library is in

manual form. The Library has unorganized set of text documents on shelves, heaps in boxes, and

drawers. This causes difficulties in retrieving and searching of needed information. More over

the situation does not cope with the number of users that keep using the Library on a daily basis.

Additionally the storage is not up to standard as it would have been. For example, a number of

users’ library cards and several books at University of Cross River state library have gone

missing due to poor storage. Therefore, since records are the heart of an institution to keep

operating effectively, there is need for an emergency to carry out research to assess the situation

and the way in which issues can be addressed at University of Cross River state library. It is on

this base, that the research is to be carried out, for assessment of record management practices in

the University’s Library.

1.4 Purpose of the Study

The study seeks to investigate the assessment of record management practices in

University of Cross River state Library by identifying factors affecting its effectiveness and
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propose, measures for an improvement of effective records management systems in University

Libraries.

The study is saddle with other objectives as follows;

i. To identify the types of records managed in University of Cross River state main library.

ii. To lay strategies in order to improve the effectiveness of records management practices

in University of Cross River state Library and other Academic Libraries.

iii. To establish challenges and recommend the solutions to challenges faced in University of

Cross River state Library users records management.

1.5 Research Questions

This study shall answer the following research questions namely;

i. What are the types of users records managed in University of Cross River state main

library?

ii. What strategies can we lay to improve on the effectiveness of records management

practices in University of Cross River state Library?

iii. What are the challenges and recommendations for the improvement of records

management systems in University of Cross River state main library?

1.6 Statement of Hypothesis

H0: There is no significant relationship between staff training in records management and the

effectiveness of record management practices in the University of Cross River State Library.

H1: There is a significant relationship between staff training in records management and the

effectiveness of record management practices in the University of Cross River State Library.

H0: There is no significant impact of technology adoption on the efficiency of record

management practices in the University of Cross River State Library.

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H2: There is a significant impact of technology adoption on the efficiency of record management

practices in the University of Cross River State Library.

H0: There is no significant difference in record management practices between different

sections/departments within the University of Cross River State Library.

H3: There is a significant difference in record management practices between different

sections/departments within the University of Cross River State Library.

1.7 Significance of the Study

The findings of this study will gave light to a better understanding of Effective Records

Management practices in Academic Libraries. The study will also be beneficial different

categories of people such as the researcher, whom it would be for the partial fulfillment of the

requirement for the award of Bachelors Degree in library and information science of University

of Calabar, Calabar. To the stakeholders, the study will suggest solutions to improve on the

effective running of University of Cross River State main library user’s records and put the state

of UCRS Library records in a lime light. It would act as a basis for improving quality of services

provided to library users by librarians.

1.8 Assumptions of the Study

The study has undertaken the following assumptions:

i. The University of Cross River State Library employs structured record management

systems and practices.

ii. Staff members at the University of Cross River State Library are adequately trained in

records management procedures.

iii. There is a willingness among library staff to participate in the assessment of record

management practices.

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 iv. The university administration supports initiatives aimed at improving record management

within the library.

v. The data collected for the study accurately reflects the current state of record

management practices at the University of Cross River State Library.

1.9 Scope of the Study

The study was carried out at Kampala University of Cross River state Main Library. The

duration of the study ran for three (3) months after which the researcher wrote a completed report

and submitted it to the faculty of Education of University of Calabar. The subject of the study

was (Assessment of Record Management Practices in University of Cross River state Library),

problems, state of use, service provision and future prospects for the improvement of the records

in the library.

1.10 Limitations of the Study

The limitations of the study include limited financial resources, time constraints,

difficulty in determining appropriate sample size to be used, difficulty in retrieval of

administered questionnaires and willingness of prospective respondents to answer questionnaire.

This implies that the administrative staff of the university delayed the data collection process for

the researcher. The researcher did not add observations and also conduct interviews due to

limited time. Again, the study was restricted to records management practices in the University

of Cross river state Library

1.11 Definition of Terms

Records

Shepherd and Yeo ( 2003,) defines a record as recorded evidence of an activity that is of

an action undertaken by an individual or a work group in the course of their business, which

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results in a definable outcome record, A record is not defined by its physical form, its age, or the

fact that it contains information. Its essential characteristic is that it provides evidence of some

specific activity. Activities which be undertaken by people or may be largely or wholly

automated. Records can exist in form or medium, including documentaries, databases,

photographs, and audio visual. Most organizations have hybrid record systems with some records

in paper and in digital form.

A record is also defined as a document or other electronic or physical entity in an

organization that serves as evidence of an entity or transaction performed by the organization.

Records are recorded information, regardless of medium or characteristics, made or received by

an organization in pursuance of legal obligations or in the transaction of business (Student

Encarte, 2007)

Management

Management is the process of coordinating the total resources of an organization towards

the accomplishment of the desired goals of the organization through the executing of a group of

related functions such as planning, organizing, staffing, directing and controlling (DressIer,

2005).

Records Management

Records management is the application of systematic and scientific control to all the

recorded information that an organization needs to do business (Mary and Wilmer. 1987). The

International Standards on Records Management (ISO) 15487 (2001) defines records

management as the field of management responsible for the efficient and systematic control of

the creation, receipt, maintenance, use and deposition of records including the processes for

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recapturing and maintaining evidence of information about business activities transactions in the

records.

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 CHAPTER TWO: LITERATURE REVIEW

2.0 Introduction

This chapter reviews literature related to this study. It is organized under the following;

the meaning of records and records management, records management practices, benefits derived

from records management and challenges associated with records management.

2.1. Meaning of Records

In order to define records management, the concept of “record” needs to be fully

explored. A record is defined either in terms of the physical tangible format in which it appears,

or in terms of the information it contains. It must be noted that records differ in format or size,

and have different contents. The term record comes from the Latin word “recordari”, which

means to recall, or to remember, or bring back to mind, and this is exactly what records do

(Pember and Cowan, 2010). Cox (2001) also explained records as an extension of human

memory, purposefully created to record information, document transactions, communicate

thoughts, substantiate claims, advance explanations, offer justifications and provide lasting

evidence events.

Records can be defined as "documented information, in any form, created or received and

maintained by an organization or person in the transaction of business or conduct of affairs and

kept as evidence of such activity". Again, Langemo (1995) defines a record as the memory of the

organization, the raw material for decision making and the basis for legal defensibility (UEW

Records Management Policy Framework, 2000). Kallus (1991) further defines a record as

written or oral evidence that has been collected and kept for use in making decisions. The most

common records (such as forms, correspondence, reports and books) are written, printed or typed

on paper. Oral records capture the human voice on tape, and are stored on cassettes or on other

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magnetic media. In support of Kallus’s (1991) definition, Quible (1996) further defines records

as informational documents such as forms, letters, memoranda, reports and manuals used to carry

out various functions.

In a nutshell, the concept “record” can be defined as the information captured for re-use

at a later stage as evidence of an activity or action undertaken, and a basis on which future

decisions are made. Records are important and it is difficult to imagine life without them,

particularly in the running of an organization (Penn et al., 1994).

2.1.1 Records Management

Institutions create records to support the activities that they carry out. However, if these

records are not manage properly, they will not provide the necessary support and information

might be lost causing problems for the institution To provide an efficient and effective

administration that ensures that the business runs as smoothly as possible, there should be proper

management of records. Records management is the application of systematic and scientific

controls to recorded information required in the operation of an organization’s business

(Zawiyah and Robert, 1999).

Again, International Organization for Standardization (ISO) 15489 (2001) explained

records management as the field of management responsible for the efficient and systematic

control of the creation, receipt, maintenance, use and disposition of records, including the

processes for capturing and maintaining evidence of an information about business activities and

transactions in the form of records. Records management is also the discipline of applying well-

established techniques and procedures to the control of those sources of information, which

arises internally within an organization as a result of its own activities (Newton, 1986).

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 Unuigbe (1990) saw records management as the quality, quantity, and cost of records and

encompassing the procedures, systems, operations, space, equipment and staff required for

managing the records. Asiwaju (1985) recognized that records management is a dynamic science

of handling recorded information for immediate and future use efficiently and economically.

Furthermore, Pali (2009) pointed out that records management is the systematic control of all

records, either in media format or printed materials from their creation until its final disposition;

including the development and application of standards to the creation, use, storage, retrieval,

disposal and archival preservation of recorded information. In summary, an effective records

management program will ensure that records are available for use when needed, that privacy

and confidentiality are maintained, that redundant records are destroyed and that records

ultimately contribute towards sustaining service delivery.

2.1.2 Records Management and Information Management

Records management and information management are two terms often used

interchangeably (Atolumah, 2011). Some authors have gone at lengths to draw similarities

between the two, while others insist that there are differences. For example, records management

over the years has increasingly been referred to as records and information management. The

merger of these two terms shows how slight a difference exists between them. Information

management entails the management of all the information in an organization as well as the

management of the people, hardware, software and systems that produce the information.

Records management is portrayed as means of good information management, improving and

enlightening the management of organizations (Yusof and Chell, 1999). Information

management is a broader concept within which records management falls. In other words, the

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main purpose of records management is to manage and control the flow of records with the

necessary information within a particular organization.

According to Robek et al., (1987) records management is a systematic control of the

recorded information that an organization needs to conduct business. Ricks et al., (1992) stated

that records management is a function of providing systematic control of records from creation,

or receipt, through their processing, distribution, organization, storage and retrieval to their

ultimate disposal.

Penn et al., (1994) also saw records management as the management of any information

captured in reproducible form that is required for conducting business. Mazikana (1990)

emphasizes that records management is concerned with the generation, receipt, processing,

storage, distribution, use and disposal of records. It encompasses a wide variety of activities and

sub-disciplines such as the management of mail, correspondence, reports, copies, forms and

directives. Records management is further viewed by Place and Hyslop (1982) as a process of

controlling organizational information from the creation through its final disposition. Ricks and

Gow (1988) also defined records Information management as the systematic control of records

from creation of records to final disposal. Furthermore, Langemo (1999) pointed out records

management as the professional management of information in the physical form of records from

the time records are received or created through their processing, distribution and placement in a

storage and retrieval system until either eventual elimination or identification for permanent

retention in the archives.

The most effective information management system manages all information, regardless

of medium and format. For example, human resource information management system,

accounting information management system, decisions and executing support information

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systems. Information management simply entails the process of planning, controlling, and using

the information resources of an organization in support of its business.

2.1.3 Life-Cycle of Records

The life of a record goes through phases starting from when it is created or received by

the institution, through to its usage, maintenance and finally disposal. The life-cycle of a record

is a basis on which a records management system is made, as the system stipulates the

procedures and processes that organizations need to follow at each phase of the record’s life-

cycle. Efficient life-cycle management of records is a key concept in records management. If

institutional bodies do not control records through the earlier stages of their life-cycle, records

that have low administrative value are kept too long and those of archival value cannot be

identified and safeguarded (National Archives and Records Service of South Africa, 2007).

All records have a life cycle from creation/receipt (birth), through into the period of

active currency (youth), then into middle-aged closed files that are still referred to occasionally,

and finally either confidential disposal or archival preservation (UEW, Records Management

Policy Framework, 2000). Again, one of the core concepts in records management is that of the

record’s life cycle. The concept of a life cycle is at the core of most records management

programs. The activities of records management programs are developed upon this concept,

which has several phases that explain the stages or status of records thus from creation through

use and maintenance to ultimate disposal (Erlandsson, 1997). It continues as records are stored

for an additional period of infrequent or dormant use in off-site records centres, and ends when

their operational use ends entirely, or when they are ‘selected’ as archivally valuable and

transferred to an archive, or declared non-archival and destroyed.

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 The life-cycle of records reflects the opinion that all records, irrespective of form and

purpose, pass through certain well-defined phases (Newton, 1989). Each phase requires special

techniques for effective control. On the other hand, Gill (1993), emphasizes that the record’s life

cycle means a movement of records in logical steps from the creation, through its use, storage,

and retention in active files, to its transfer to inactive files, storage, and finally disposal.

Often, the division and the meaning of the life-cycle stage depend on the individual

organization. In some institutions, the disposition stage would mean ultimate destruction whereas

in another it means sending those records to the archive for research and posterity (Zawiyah and

Robert, 2000). Brooks (1996) discusses the life cycle concept in relation to the appraisal process.

He argues that the selection of records for disposal or preservation must be accompanied by a

thorough understanding of their value. Brooks (1996) ascertains that before a record is created,

the professional background and level of knowledge of the creators plays a significant role. Only

records with enduring value are permitted to undergo the complete life cycle process. Finally,

Porter-Roth (2006) pointed out the following as the basic stages in a records life cycle; capturing,

managing, storing, delivery and disposition stages.

2.2. Records Management Practices

The past twenty years has revolutionized the way in which information is generated and

stored (Beastall, 1998). The service provided by records management is vital to any institution,

and to every information-using employee in it. Its primary function is to facilitate the free flow

of records through an institution, to ensure that information is rapidly available where and when

it is needed. To carry out this function needs an efficient, effective records management

programme. By helping the users to do their jobs better and more easily, the records manager

serves the institution. Given that an organization’s records are unique to it, they need to be

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managed explicitly, just as the organization would manage its other resources (people, money

and estate). Records management systems and procedures should facilitate compliance with

university policies. Specific business functions and activities within universities may be subject

to specific legislation or to professional best practice or relevant ethical guidelines.

Again, heads of institutions, schools, other units and business functions within the

university have overall responsibility for the management of records generated by their activities

thus ensuring that records controlled within their units are managed in a way which meet aims of

the University's Records Management policies.The Registrar has a particular responsibility in

ensuring that the University corporately meets its legal responsibilities, and internal and external

governance and accountability requirement. Day-to-day responsibility will be delegated to a

Records Manager, who will report to the Registrar. The Records Manager will have a

coordinating and enabling role and will advise on policy and best practice. The key records

management practices in the University records management policy framework are records

creation and capture, records survey/audit, records analysis/retention schedule, disposal of

records, records protection and security and provision of appropriate training for relevant staff

(UEW Records Management Policy Framework, 2000).

Kanzi (2010) pointed out that for a sound records management practices to take place,

heads of institutions should designate or appoint a staff member (Record Manager) at senior

management level to whom they can delegate the responsibility of ensuring that sound records

management practices are implemented and maintained. He added that records managers should

develop and implement records management policies, which are endorsed by the heads of the

institutions and their top management teams. Adherence to these should be continuously

monitored and be reviewed on an annual basis. Furthermore, he stated that there should be

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records management procedures to serve as a guide to employees, records classification system

to facilitate efficient retrieval and disposal of records, and training of records managers and

records office staff to equip them with the necessary skills to carry out their functions properly.

Utulu (2001) also mentioned that if any information was to be lost or misplaced, it could cause a

range of problems some of which might affect the future of students needing essential

information from their records. According to Afolabi (1999), Records Management and Archives

staff should be responsible for providing an appropriate record management training programme

to the University staff. Again, he added that records should not be taken from the University

without the permission of the Records Manager/Archivist or an appropriate Office Manager.

Scholars of records management theory and practice agree that, in principle, organizations

should create and capture records for every activity that involves more than one party and that

they should identify and record every process that generates records (Bearman 1994; Reed 1997;

Shepherd and Yeo 2003). Therefore, records must be authentic, complete and usable. For

example, even Information Communication Technology (ICT) systems must be able to generate

or capture the ‘metadata’ that record the contents, contexts and structures of records within the

business processes that produce them (IRMT, 2008).

In addition, Shepherd and Yeo (2003), when assessing the need to create and capture

records, suggested that it is essential to consider the requirements of the organizations or

particular business units that need records to provide evidence and information for operational

use, the requirements of the organizations, particular business units or external stakeholders that

need evidence to ensure accountability, the cost of creating, capturing and maintaining the

records that organizations require and the risk to them if they do not have these records.

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 International Organization for Standardization (ISO) 15489 (2001) is of the view that a

policy for creating records is also necessary. It should stipulate the requirements for capturing,

registering, classifying, retaining, storing, tracking, accessing and disposing of records.

Organizations create and keep records so that designated users, mostly from within the

organizations and occasionally from outside, can use them when they need to. Any records

management system that captures records must have systems that allow users to use the records

thoroughly (Shepherd and Yeo 2003). Therefore, institutions create records for a purpose. The

timely and accurate retrieval of records depends largely on how well organized and classified the

records are. As a result, records classification systems should reflect the business activities of the

organizations. Organizations need to determine the degree of classification control they require

for their business purposes (ISO 15489-2001).

Shepherd and Yeo (2003) also pointed out that classification schemes are based on an

analysis of functions processes and activities and document the structure of a records

management system and the relationship between records and the activities that generate them.

Again, they emphasized that it is necessary to use appraisal techniques to support decisions about

retention, that is ‘which records can be destroyed at an early stage, and which merit longer-term

or indefinite retention’. Other researchers and authorities emphasize that any effective records

management programme requires classification (Kemoni 2007; Reed 2005). Vocabulary control

tools usually support classification systems. They give institution-specific definitions and explain

the usage of terms.

Institutions should establish ongoing programmes for training in managing records.

Institutions can design or set up this training together with external bodies. They cannot retain

files, irrespective of their format (paper or digital), indefinitely. The reason for this is the cost of

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storage and maintenance as well as slower and difficult access because of the high volumes.

Records systems should be able to facilitate and implement decisions about retaining or

disposing of records. Therefore, the effective management of records requires that there are

procedures for the timely disposal of records that institutions no longer need to support current

day-to-day activities or those that they do not need to retain for legacy purposes (ISO 15489,

2001).

2.2.1 Centralized and Decentralized/Departmental Filing

Filing may be organized centrally or departmentally. Some organizations choose the

centralized filing system, while others prefer de-centralized/departmental filing. Others also find

both systems to be good. Centralized filing is whereby all the files of an institution are kept and

controlled in one room instead of allowing each department to file its own records. In many large

organizations, a separate department (central filing department) is created to take care of its

filing. Trained personnel called records managers are in-charge of all filing and so filing is done

more efficiently. This makes it possible for effective supervision to be exercised over files

including the movement and placement of correspondence on files. Decentralized or

departmental filing is a system by which each department or section of an organization keeps and

maintains its own system of filing which best suits it (Arora, 2006).

2.2.2 Forms of Records Management

Correspondence is normally conducted manually or electronically through electronic mail

or intranet. Documents such as policies, procedures, contracts, regulations, minutes, circulars are

often available for administrative staff to update or familiarize themselves with the normal

operation of their institutions. Ignorance of such documents may affect the competitive

performance of an institution. This implies that information in the form of records is used by

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institutions through staff as a strategic weapon to gain a competitive advantage for the

organization that creates, receives and uses them effectively (Mrwebi, 2000).

2.2.2.1 Manual or Paper-based Records Management

Paper based records are any records that have been written or printed on paper. They can

be items such as hand written notes, correspondence, printed reports, procedures or maps.

Universities are responsible for creating full and accurate records of all their activities and

decisions in accordance with standard record management requirements. When a record is

created or received, it is up to the user to ensure that it is filed and documented correctly to allow

for easy tracking and further use by the organization Azman (2009).

2.2.2.2 Importance of Manual or Paper-based Records Management

Paper as a medium has been important to our species at least since the time of ancient

Egypt, when the papyrus roll was developed and initially used for religious and administrative

records management purposes and later for storing and disseminating (in a restricted way)

knowledge on mathematics, surgery, and engineering (Martin, 1992). Even the advent of the

personal computer, and predictions of the paperless office, have not interfered with our fondness

for paper. In fact, with each passing decade of the personal computer revolution, paper

consumption has increased (Sellen and Harper, 2002).

Paper plays an important role in organizational life. Paper documents such as schedules

and flow charts provide a gathering place for workers to view information and be seen viewing

information. Sellen and Harper (2002), showed that large paper documents became the foci of

organizational life. Again, Whittaker and Schwartz (1995), found that even the computer

professionals who studied, viewed their large paper schedules as “more real” than its electronic

counterpart. The paper schedule, for example, was public, and therefore not only motivated work

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but also helped people be aware of what others were doing. Moreover, printed artefacts seem to

serve as centres for societal interaction and memory. This was also found to be true in the health

care arena (Nygren and Henriksson 1992).

2.2.2.3 Problems associated with Manual Records Management

Gregg (2013) came out with two challenges faced by paper-based records management.

Accessibility through hardcopy files is limited because paper-based information can only exist in

a single location at a time. He added that with one copy of a document in existence, only one

person can access that information at any given time. This serial approach to information

management does not play well in today’s “I need it now” business environment. This is

especially the case since most organizations are decentralized and geographically dispersed.

When there is only one version of information, managing the hardcopy document involved

becomes a physical challenge

2.2.3. Electronic Records Management

Records management has evolved from a paper-based function responsible for the

storage of an organization’s miscellaneous documents, to one concerned with the management of

specified internal records, in a multitude of media, from creation to disposal, through their active

use as sources of information and hence of ultimate review against retention schedules, for their

eventual destruction (De Wet and Du Toit, 2000).

The introduction of computers therefore assists in achieving and adding value to the

conduct of business transactions (Johare, 2001). Electronic records management is very

important to every institution because records are one of the University's most valuable assets.

Records support decision making, demonstrate compliance, document the history of the

University, and perhaps most importantly, enable the institution to do their jobs. Records need to

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be properly managed in order to maximize their value and minimize their cost. By implementing

good records management practices, the institution can control, avoid and even decrease the

costs associated with maintaining the records and improve the efficiency of the business

operations (Hebert, 1998).

In this modernized world of computers, it makes sense to manage records electronically,

with Universities spreading out or having different locations, yet totally being tied together with

the internet. This just makes plain sense to have an electronic records management system. In

fact, it is so important that many institutions absolutely require it as it has become the standard in

business, rather than the exception.

2.2.3.1 Importance of Electronic Records Management

Institutions are under increasing pressure to become more efficient while at the same time

maintaining or improving the quality of service. Electronic records with its potential play an

important role in supporting efficiency, accuracy and accessibility of information. Sing (2002)

pointed out that there is a direct relationship between investment in electronic records and

productivity improvements in the office and these include; better customer service, greater

product/service variety, shorter response time, enhanced product/service quality and better

customization of products and services.

The implementation of sound record management practices for electronic records can

result in a number of benefits for government. One of the most important benefits is to ensure a

creation and management of accurate and reliable electronic records. This allows organizations

to fulfill legal mandates regarding the protection of their records. Other benefits include;

ensuring the legal acceptability of the organization’s electronic records, reducing the burden of

paper records management, identifying appropriate means for the movement of records to

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successive generations of technology and systems, and finally improve citizen access to public

information (Mashburn, 2001).

2.2.3.2 The Challenges Associated with Electronic Records Management

While information technologies have brought many benefits to organizations, they have

also introduced a number of challenges and difficulties. The challenges posed by electronic

records, particularly in the public sector, have been highlighted by Mnjama and Wamukoya

(2007). These challenges include absence of organizational plans for managing electronic

records, low awareness of the role of records management in support of organizational efficiency

and accountability, lack of stewardship and coordination in handling paper as well as electronic

records, absence of legislation, absence of policies and procedures to guide the management of

both paper and electronic records, absence of core competencies in records and archives

management, absence of budgets dedicated for records management, poor security and

confidentiality controls, lack of records retention and disposal policies, absence of migration

strategies for electronic records.

According to Hebert (1998), electronic records increased efficiency and productivity

using the hospital environment with the interactions between health workers and patients and for

shorter duration. Thus it does not 'free up time' for workers to interact with other co-workers

physically. Other effects include reduction in job satisfaction as more time is spent on the

computer.

2.2.4.0 Comparison of Electronic Records Management with Manual Records

Both electronic and manual records management come with varied benefits to businesses

and organizations in respect to data storage. However, current literature suggests that electronic

records management have proven to be effective as compared to the manual. For instance,

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Iziomo (2014) identified that electronic records management gives unlimited storage space as

compared to conventional method of office cataloging that involves categorizing several ink

printed papers in a cabinet to allow for retrieval when needed.

Data retrieval is one area where computers clearly excel. Finding a particular piece of

information is infinitely easier with a modern computer system than it is with reams of paper.

Solving a particular problem may, in fact, take longer with Paper Patient Records (PPRs), despite

the fact that reading from paper is generally easier. But finding a particular piece of information

presupposes one knows what one is looking for, which is not always the case. Gen (2008) stated

that paper-based systems have improved communication, ability to have remote access of patient

information, and improved revenues. He perceived that electronic health records (EHR) would

provide improved communication between practitioners and patients. For instance, paper-based

system improved communication between inpatient and ambulatory practices; information

retrieval between these two is currently difficult and time-consuming.

According to Gen (2008), half of the paper-based system leaders were especially

interested in having remote access to patient information. On the other hand, electronic health

record would enable physicians to provide more knowledgeable advice during off-site/off-

regular hours. He mentioned that there is an immense expectation of the EHR to improve overall

practice efficiency and revenue. Also, enhanced efficiency would be created through decreasing

time-consuming activities such as chart retrieval. Finally, he believed that the EHR would boost

revenues by improving billing and collection by capturing the true work load.

O’Hara and Sellen (1997) studied the differences in process between reading paper

documents versus electronic documents. Their experiments showed that there was a number of

advantages to paper that must be addressed by the design of digital systems. Among the

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advantages that paper offers is the way it supports annotation while at the same time permitting

quick and easy navigation, which in turn permits the user to develop a sense of overall structure.

Furthermore, they learned that improvements in navigation and control of spatial layout of

individual and multiple documents must also be supported in electronic documents. In line with

this, Ovsiannikov et al., (1999) showed that digital systems can support annotation and that there

can be a number of advantages to electronic annotation technology if properly implemented. For

example, annotations can be stored in an annotation database and make retrieval and document

summaries much easier, they can be linked permitting hypertext navigation, they can be easily

shared. All this is not to say that paper is in and of itself superior to electronic media.

Golovchinsky (1997) pointed out that users prefer interfaces that provide for multiple

navigation options. Paper provides a very transparent interface, given its lack of modalities. It

facilitates active reading and various modes of note taking (Niinimaki et al., 1989). Schilit et al.,

(1998) attempted to duplicate this functionality of paper records with the XLibris project.

XLibris used the paper document metaphor to provide computers with some of the affordances

of paper. Xlibris, a tablet computer, has a flat panel display and permits pen input. Unlike paper,

however, it permits multiple navigation mechanisms, including “turning pages”, document view

showing all pages of a document, and a history view that permits backtracking through a reading

session. According to Marchionini (1995), browsing is different from navigating and can be

associated either with the goal of the activity or with the method used to achieve the goal. Paper

facilitates browsing, even in a medical environment. It is easy to hold several pages next to one

another for comparison.

2.3. The Benefits of Proper Records Management

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 A number of institutional benefits will accrue to any University when proper records are

kept. These benefits include better use of physical and server space, save staff time, improved

control of valuable information resources, compliance with standards and reduction in its

operational costs (UEW Records Management Policy Framework, 2000). According to

Sanderson and Ward (2003), the importance of records management is increasingly being

recognized in organizations. It is therefore the responsibility of records managers to ensure that

they gain the attention of decision-makers in their organizations. Gaining recognition is all about

convincing management of the role of records management as enabling unit in an organization.

Administrative staff required information in order to carry out their official duties and

responsibilities efficiently and effectively in a transparent manner. Records represent major

sources of information and are almost the only reliable and legally verifiable source of data that

can serve as evidence of decisions, actions and transactions in an organization (Wamukoya,

2000). Again, Northwest Territories (2003) suggest that the role of records management is to

ensure that members of staff involved in different operations have the information they need,

when necessary.

Also, De Wet and Du Toit (2000) stated that the service provided by records management

is of vital importance to both employees (end users) and organizational success. The primary

function of records management is to facilitate the free flow of records throughout the entire

institution. Most importantly, it remains the function of records management to ensure that an

organization’s records are safe for future reference. According to Palmer (2000), the role of a

records management system is that it acts as a control system that reinforces other control

systems such as internal and external auditing. The records themselves can serve to detect fraud

and recover the loss. Since corruption creates an environment that allows opportunities to

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commit fraud, records can provide a trail for investigators to track the root of corruption.

However, for records to be useful in this capacity, they must be accessible. In Hare and McLeod

(1979) views, organizations keep records for the following reasons; information retrieval,

evidence of organization’s activities, compliance with regulations. In support of Hare and

McLeod, Cowling (2003), further identified four main reasons motivating organizations to

preserve records permanently as: administrative value, financial value, legal value and

information value.

In summary, it may be appropriate to indicate that records exist in order to remind

institutions of their previous activities. Hounsome (2001) noted that while records management

may seem boring to many, it is hard to under-estimate in the role played by records management

in organizations. The records are the corporate memory of the organization, evidence of what

was done and why it was done. They provide information for different institutional purposes,

such as decision making, financial accountability, performance measurement, strategic planning

and research.

Without divorcing themselves from the above scholars, Sanderson and Ward (2003)

further explored the role of records management in an organization as avoiding the cost of

litigation or failure to comply with regulatory bodies, preventing the loss of intellectual property

or loss of corporate learning/corporate memory, preventing loss of information from disasters or

theft and ensuring business continuity, maximizing the efficiency of operation and usage of

information, responding in a timely and effective way to requirements of customers, protecting

executives and their organizations from loss of reputation and credibility with the general public

and customers by demonstrating good practice and providing accountability for their actions.

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Thurston (2005) argues that dysfunctional records management undermines legal and judicial

reform. Decisions are made without full information about cases, and the absence of systematic

record management and controls leaves scope for corruption or collusion between court officials

and lawyers. Court time is wasted, delays are created, and the judiciary’s standing is lowered.

The large volume of records passing through a typical court system, their sensitivity, and time

pressures on courts makes effective records management essential.

Roper and Millar (1999) opine that, “records are fundamental to the efficient and

effective operation of the legal system of a country and perhaps are even more crucial to the

administration of law than to any other function of the public sector”. They further stated that,

“within the legal context”, records serve several functions; they support legal rights and

obligations within the legal system, they provide evidence or proof that a particular activity took

place and they contribute to accountability in organizations and in government” (Roper & Millar,

1999).

According to Sprehe (2002), records ensure that an organization can; conduct its business

in an orderly, efficient, and accountable manner, deliver services consistently and equitably,

document its policies, decisions, and outcomes to stakeholders and regulators, meet its legislative

and regulatory requirements, including audits, protect itself in litigation, function in a financially

and ethically accountable manner, protect corporate interests as well as the rights of employees,

clients, and other stakeholders, provide continuity of operations in an emergency or disaster, and

maintain its corporate and institutional memory.

Zawiyah and Robert (1999) pointed the following as the benefits of accurate records

management; speedy and accurate retrieval of records necessitates systematic filing and storage

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of records, saves space and prevents duplication of effort with similar records, easier retrieval,

better utilization of space, and less frequent loss of documents.

Records management is important because it reduces litigation risks, provides regulatory

compliance and protects corporate assets (Porter-Roth, 2006). Blake (2014) also said that

properly managed records can help reduce operating expenses, enhance customer service and

ensure that the company is in compliance with laws and regulations. Without records, no

assessment can be made of whether individuals, private and public organizations have actually

carried out the actions and transactions that they had to execute, or whether they ensure that

these actions and transactions meet the criteria of efficiency, legitimacy or the principles of good

governance, and whether they had done things which they were not supposed to do (Thomassen,

2001).

Records as important resource for organizations should be harnessed through proper

records management practices (Mutula and Wamukoya, 2009). Institutions and individuals create

records in the conduct of their current business to support administration, to ensure

accountability, and for cultural purposes, to meet the needs of society for collective memory and

the preservation of individual and community identity and history (Shepherd, 2010). Records can

be used to ensure accountability, to make people and businesses account for their actions and

obligations and when there is a need to prove that organizations have complied with legal or

regulatory requirements or recognized best practice. Records enable institutions to meet legal,

regulatory, and financial requirements, and to protect their assets and rights.

Proper records management helps to support the expectation of a democratic society for

transparency and they protect citizen’s rights. They enable governments to deliver electronically

enabled services to citizens (e-government) and facilitate citizen participation through the

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provision of information and digital interaction (Shepherd, 2010). Thus, records have to be

managed as a strategic resource so as to facilitate the day to day operations of the institution. For

instance, Mnjama (2004) pointed out that there are several reasons why organizations should

manage records as a key resource, including: Records themselves are organizational assets

because they document organizational activities and are needed for audit trails, especially in

establishing who did what, why and when. Records document financial activities. Without

proper records, meaningful audits cannot be carried out, fraud cannot be proven, and those

responsible for the financial management of the institutions cannot be held accountable for their

actions.

Records management serves the cause of history by identifying and preserving important

research records. Shepherd (2006) states that records which are managed as part of an

appropriate records management programme will help the organisation to conduct business in an

efficient, accountable manner, deliver services consistently, support managerial decision making

and transparent policy formulation and ensure continuity in policy execution, management and

administration.

In summary, an effective records management programme will ensure that records are

available for use when needed, privacy and confidentiality maintained, redundant records

destroyed and that records ultimately contribute towards sustaining service delivery.

2.4. Challenges Associated with Records Management

Brendan (2012) observed the following as the challenges associated with records

management; First of all, he noted weak legislative and organizational infrastructures as a major

challenge. Studies by Kemoni and Wamukoya (2000), Iwhiwhu (2005), and Egwunyenga (2009)

confirmed that African records keepers lack the basic skills and competences for handling

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records and archives in the public sector. There is a serious problem of technophobia in most

offices in Africa especially among the older employees. Due to inadequate skills in information

technology, many traditional librarians, records managers, and archivists are very conservative

and have phobia for computers. This may be due to generation gaps between the new and old

professionals which led analogue information managers to perceive computers as a threat to their

status as experts. Ezeani (2010) in her studies observed that younger librarians are faster in

capturing the use of ICTs than the older librarians because “older librarians are finding it

difficult to cope with the requirements of the digital age”. Also, Ojedokun (2008) noted that

older librarians are “too reluctant to jettison the old practices for new one”. Successful

application of information handling technologies in the management of electronic records in

developing countries requires an ability to overcome staff and personal resistance.

Brendan (2012) opined that, growing use of information technologies in record

management creates a lot of problems in the management of records in both public and private

organizations. He added that in Africa and many developing countries governments are looking

forward to computerizing their core functions and compelled most African countries to use ICTs

in their public services by adopting e-government. Regrettably these projects fail to succeed

because governments neither assess the available information framework suitable for electronic

records management, nor consult the records mangers to determine how the process of

automation will not affect the role of records managers in providing reliable and authentic

evidence.

In Miller’s (2004) view, the conversion from traditional records management activities to

electronic environment will not succeed in Africa if the underlying processes are not structured

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in an efficient and effective fashion. Many African states are jumping into the information

technology bandwagon without adequately incorporating good records management strategies.

Lawal (2007) attributed the challenges associated with records management in most

organizations to corruption or inadequate finance. According to him, corrupt leaders in Africa do

not provide adequate funds, facilities, and infrastructure for proper and efficient electronic record

management. Instead, corrupt bureaucrats intentionally distort public policies, public records,

decision-making apparatuses, and sometimes go to a length to transfer experienced records

managers in a bid to create opportunities for embezzlement. Bribery and corruption contributed

to ninety percent (90%) of the underdevelopment of Africa and their ineffective records

management institutions. For example, studies have shown that the African Union (AU) in

September 2002 estimated that corruption costs African economies more than $148 billion

dollars a year.

Otuama (2010) mentioned the following as the problems associated with records

management in most organizations; Absence of an archival institution, the problem of oral

traditions, inadequate skills and high staff turn-over, inadequate funding, poor housing and

equipment, absence of an archival law, high levels of illiteracy, Poor transport and

communication network. Ilana (2008) identified lost records and record storage as challenges

associated with records management. According to her, lost records can range from a minor

inconvenience for businesses to an enormous hassle that takes months, or even years, to resolve.

Thus, if clients request documents from the company on a regular basis and the company is

unable to provide them in a timely manner (or at all), the company risks the loss of their business

in the future. If important records are needed for a legal matter, such as defending the company

against a lawsuit, not supplying the appropriate documents can cost huge sums of money, or

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even mean the dissolution of the business entirely. On record storage, she stated that, depending

upon the type of business for which the company keeps records, as well as how long the

company has operated, the company may find itself running out of space.

2.5. Summary

In a world of change, information has become the most dominant resource in the success

of organizations and at the same time, organization has to meet increasing regulatory and legal

requirements. The management recorded information, irrespective of form or format, is more

vital to organizations than ever before (Sanderson & Ward, 2003). In its response to change,

record management has moved along with several conceptual frameworks, from archives to

information management. Now the discipline has to acquire another framework, derived from

information and communication technology.

The problems of record keeping identified generally in the educational system in Ghana

include lack of record manual and filing guidelines which lead to loss of vital information and

inadequate computer terminals. Others are difficulty in record retrieval and lack of appreciation

by management and staff of the need for well-controlled records. However, theory and literature

are emphatic as the significant contribution of good record keeping to an organization if it will

actualized it objectives in the both short and long term decisions.

Based on the literature review, records management is made up of two forms. These

forms are electronics and manual records management. The proper and continuous management

of these two forms of records management produce the records management practices in

organizations. The records management practices has both benefits and challenges which

influences the way and manner in which records are managed within organization

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