贊比亞大學(xué)記錄管理研究

《贊比亞大學(xué)記錄管理研究》由會(huì)員上傳分享，免費(fèi)在線閱讀，更多相關(guān)內(nèi)容在行業(yè)資料-天天文庫(kù)。

學(xué)校代碼:巡分類號(hào):魚(yú)麴研究生學(xué)號(hào):QZ!!墨QQ墨密級(jí):玉東北知予蘊(yùn)大孽碩士學(xué)位論文贊比亞大學(xué)記錄管理研究ResearchonthemanagementofrecordsattheUniversityofZambia〇烈ZA)博z<\yadseuTayawB芥豐作驚師:李瑞勤教授學(xué)科專'業(yè):情報(bào)學(xué)研究方向:信息傳播學(xué)位類型：學(xué)歷碩士東北師范大學(xué)學(xué)位評(píng)定委員會(huì)2010年5月.

14IInrIIIor}LI獨(dú)創(chuàng)性聲明IIIIII111111本人鄭重聲明:所取得的成果。據(jù)我所知,除了特別加以標(biāo)注和致謝的地方外,論文中不包含其他人已經(jīng)發(fā)表或撰寫(xiě)過(guò)的研究成果。對(duì)本人的研究做出重要貢獻(xiàn)的個(gè)11人和集體，均已在文中作了明確的說(shuō)明。本聲明的法律結(jié)果由本人承擔(dān)。1111學(xué)位論文作者簽名:幽絲j金i泣ス」盟日期:2.〇學(xué)位論文使用授權(quán)書(shū)本學(xué)位論文作者完全了解東北師范大學(xué)有關(guān)保留、使用學(xué)位論文的規(guī)定,即:東北師范大學(xué)有權(quán)保留并向國(guó)家有關(guān)部門或機(jī)構(gòu)送交學(xué)位論文的復(fù)印件和電子版,允許論文被査閱和借閱。本人授權(quán)東北師范大學(xué)可以將學(xué)位論文的全部或部分內(nèi)容編入有關(guān)數(shù)據(jù)庫(kù)進(jìn)行檢索,可以采用影印、縮印或其它復(fù)制手段保存、匯編本學(xué)位論文。（保密的學(xué)位論文在解密后適用本授權(quán)書(shū)）學(xué)位論文作者簽名：紐型塑:キ鄂蛾指學(xué)位論文作者畢業(yè)后去向:電話:

2摘要本文調(diào)查研究了贊比亞大學(xué)有關(guān)記錄管理的現(xiàn)狀（記錄管理效率低、不誠(chéng)實(shí)等）,并分析原因提出改進(jìn)方案。例如,被調(diào)査者中有69.8%的人承認(rèn)在他們?nèi)温毱陂gー些記錄消失的事件。他們同樣承認(rèn)他們很難定位并且恢復(fù)這些記錄。造成贊比亞大學(xué)記錄管理不善的原因有許多，其中最主要的原因在于贊比亞大學(xué)缺乏ー項(xiàng)記錄管理程序。因此,該大學(xué)就沒(méi)有管理記錄政策、記錄保留以及銷毀計(jì)劃表、手冊(cè)和小冊(cè)子的指導(dǎo)以便于更好地順利實(shí)施記錄管理。在這方面，記錄負(fù)責(zé)大以及來(lái)自其他大學(xué)的雇員就無(wú)從曉得他們應(yīng)該怎樣處理記錄。許多負(fù)責(zé)大在保留記錄時(shí)不明確記錄應(yīng)該保留的時(shí)間長(zhǎng)度,因此只能過(guò)早地處理掉這些記錄。由于缺乏指導(dǎo)類的文件作為依據(jù),因此記錄不能很好地分類、編排和入檔。本項(xiàng)研究同樣發(fā)現(xiàn)，大學(xué)電子記錄儲(chǔ)存于數(shù)據(jù)庫(kù)、電子郵箱以及其他二級(jí)存儲(chǔ)設(shè)備,例如，DVD光盤、CD光盤還有軟盤等,這些記錄很容易地丟失，也需要在專家的指導(dǎo)下統(tǒng)ー規(guī)范的管理。由于缺乏記錄管理程序,同樣造成了記錄管理功能不能最大限度地享有來(lái)自大學(xué)的支持。另外，記錄管理專家也無(wú)法與來(lái)自信息技術(shù)部門共商大學(xué)電子記錄管理事宜。贊比亞大學(xué)記錄管理應(yīng)該考慮設(shè)置適當(dāng)?shù)墓芾頇C(jī)構(gòu),以便于協(xié)調(diào)和指導(dǎo)大學(xué)的檔案管理工作。關(guān)鍵詞:記錄管理程序;贊比亞大學(xué);記錄，記錄管理節(jié)目

3TheresearcfficientanmanagemenA).Forinsoftherespoundertheirmissing.T1ties1ocaintimetheorsresponma1adminidministraatUNZAisthhasnotdrafandimp1m.Asarehavearecorschedule,mandproceduregard,recofficersaniredofthemonofrecordersityofZidentswheryoftenhavberoffactemajorcauram.Theuniementprsnottentionandntofrecordtknowwhatihdiscoversddishonesttofrecordtance,69〇ndentsadmicustodygoheya1soactingandreneededrecsib1eforstrationotionofrecelackofaretedementedsu1Lthedsmanagemeanua1sresneededfordsdotherunivwhenthatmaladms)isrifea8%ttedthatthknow1edgetrievingords.Therfrecordsaordscordsmanagarecorduniversntp〇1icy,aorthesmootersityemplinistratittheUnivereareincdthattheeareanumtUNZA.Thementprogsmanagitydoerecordsrehmanagemeoyeesdonos(ineambia(UNZerecordsedifficuseofma1aversityOgradisposals：Inthissrequproperlycnua1toexpshouldbec1sodiscovinv〇1vemementofthee1ectroniequentlosntofrecordsmauniversitycrecordsisparsofrecordshelhand1inguniversityrecords.Manyofficersdonotknowtherightretentionperiodofrecordsundertheircustodyhencetheydisposethey.Recordsarcnotlassified,indexedandfi1edbecausethereisnomalainhowrecords1assified*indexedandfiled.Theresearchaeredthatthenon—nagementexpertsinthemanaget1ya1soresponsibleforthefrdindatabases,electronicmai1sandthoserecordsstoredonsecondarystoragefaci1itiessuchrpartsfromtheITdepartmentioworkwigementoexpertstnthemanatlltheircountefelecofretronicrecordscordsatUNZAisersity.Maladministrationcompoundedbytheabsenceofacompetentmiddle1eveImanagementofficetoaidtheregistrar'SofficeinthecoordinationandsupervisionofrecordsmanagementactivitiesintheuniversiUniversityofZambiKeywords：Ma1administrationofrecords,a,Records,RecordsmanagementprogramTABLEoFACRoNYMSCD.ROMDBMSDataBaseManagememSystems分M—————一*C

4,e-amen^^^p?ホC：.ゼ.d；；FNc,ニー??一,Di目1t_a-rjミ!c硯,n.1.ym.e.m.oJ5.0…ManagementSySteHTML————-：—一C〇mrfiニュ,■~冷?グ豆す°tGLCtr?uQ)fl.aQiM1月gfb號(hào):ザ田號(hào)“江?▲一I—’一….Statistica1pack;一ageforirii1social

5TABLEoFCoNTENTSAbstract(Chinese)Abstract(English)IIIIIICHAPTER!DJTRoDUCTIONANDBACKGROU1.llntrclduc石on1.2HistoricaIBackgroPrincipaladminirNZA—?tyofZameOfficestheUniversINFORMATIONSchooIstDirectorateandlnstitufUNZA3nU山伍.WoRKANDOBJECTn吧SOFTHESTUDY2.IStatementofthePr曲lem.tivesoftheStu2.5ResearchQuesionsCHAPTER3L1TER/鋼ri,REREVOIWINCLUDESCONCEPTSDEFINITION,USES.▲OFRECORDSANDCAUSESOFMAI.ADMINSTARTIONOFRECORDS3.IMaladministratio1nof3.2Anx：cIrd—123.3Characteristicsofareool.d——14

63.4Usesofrecords一...一一一153.5Theconceptofrecordsmama)ement-一…一…一一…ーー219.ゝ.ecordslife、yode1vcrsI.ksRecordsContinuummodeI,3.5.2Theimpeln鋤ceofunderA_tlajuHingtherecords1ifecycleandrecordsContinuummode1sI.J.]"m…dsma…ロ罌卸]Iレ3.6.31沁c〇1?也?a?a■c???tpr〇gram」土^^冃ingb1ocks...-...*.?z,3.6.4Recordsinv)praisaI.V3.6.5EIemどntsn個(gè)arecordsmanagement>ニニ.ー厶，443.-6.2Bene3.6￡r-tsofde卸se^elopingmmrSatudiaanr_亠?1±ofM豆る1imp1ee_mtingae—cordsmrr^agemenp-^ograion血.、吃。f一

7schedu1???,rQ1(^———ーー.)—3.6.5.7PersonneIecords3.6.5.8Financefocords3.6.5.9P3.6.5.10mentheposite...65ar〇トuRd10onofrecor1a(^Xntfu*TTtiointhe(-ganiz1「A1cしt」ーCHAPTER4RETECHNIQUEMETHOD4.IResearcnPULATINDESCDendSampleSize-...D7ION,SAMPLINGギYs)3Samp1ingProcedureandJustification-...マ?...一…4SampIingUnits...一〇,工人ClSC〇!lectioninstuMments…--■??一1——..ヽmキ財(cái),igucment

8CHFINDINGS.CoNCLUSIONANDRECOMMENDATIONS15.2Discussionoftheresearchflmdings-88esea5.7A5.8S—evemeyJoftheuss?stioorfurMI、a.c[......—-^J—?.Q...search5.IResearchfindi〇fs

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10CHAPTER1INTRODUCTIONANDBACKGROUNDINF0RMATIONRecordsareofoneoftheindispensableresourcesofanyorganization.Theyareusedforadministrative,legalandhistorica1researchactivities.Toensuretheintegrityofrecords,arobustrecordsmanagementsystemshouldbeestablishedandimplementedbyanorganization.Awater—tightrecordsmanagementsystemisneededinorganizationsSOthatrecordsaremanagedina11efficientandethica1manner.Itishoweverdisturbingtoknowthathistoryisrepletewithcaseswherepublicrecordsandprivaterecordshasbeeninefficient1yanddishonest1ymanagedthussabotaginggovernment,organizationalandindividualactivitiestherecordsintendedtoserve.T11iSma1administrationofrecordshasbeenreportedinbothprintandelectronicmediaamonggovernmenta1bodiesandothertheprinciplesandphiZAwereestablished.■藩ーservicedeliverytothegenera1citizenryamonggovernmenta1bodies.MaladministrationofrecordsisacancerthatneedsurgentmedicaIattentionore1sei1lerodecompletelyosophiesuponpublicinstitutionssuchasUN1.2HistoricalBackgroundoftheUniversityofZambia(UNZA)DuringtheBritishc〇1onia1ruieinZambia,opportunitiesforhighereducationandtrainingforZambianswere1imited.OnlyahandfulofZambiansreceivedhighereducationandtrainingfromtheBritishcolonialgovernment.Thisresu1tedinanacuteshortageofhumanresourceinZambiajustafterindependencein1964.Theacuteshortageofhumanresourceconstitutedamajorbott1enecktothecountry'Sdevelopmentalefforts.Asaresultofthisshortage,Zambians、）1,it11lowerformalqua1ificationshadtoberecruitedt0fi11upthegaps1eftbyexpatriates?particularlyinthepub1icsector.Inviewofthis*thepostindependencegovernmentendeavoredtofindapanaceatotheproblem.Thethengovernmentunderthe1eadershipofDrKennethKaundadeemedtheestab1ishmentofUniversitiestoprovidetrainingtoZambiansarea1isticandpermanents〇!utiontotheacuteshortageofhumanresourcethecountryfaced.InMarchl963,acommissionchairedbySirJohnLockwood,aformerViceChance1loroftheUniversityofLondonwasappointedtoassessthefeasibiIityoftheestablishmentofaUniversityinwhatWasthencal1edNorthernRhodesia.ThereportwhichWassubmittedbyLockwoodcommissiontogovernmentledtotheestablishmentoftheUniversityofZambiain1966.

111.3PrincipaladministrativeOfficesofUNZATheprincipaladministrativeofficesattheuniversityare：OfficeoftheChancellor,UniversityCounci1,OfficeoftheViceChance1lor,OfficeoftheDeputyViceChance11or,OfficeoftheRegistrar,OfficeoftheBursar,OfficeoftheLibrarian,andDeanofStudentsoffice.Notethattheseofficeshavebeenlistedaccordingtotheirorderofhierarchicalimportance.TheseofficesconstitutetheprincipalOffiCeSresponsibleforthegeneraIadministrationoftheuniversitybusiness.1ASch〇〇1s,Directorateandlnstitute〇fUNZATheacademicbusinessoftheUniversityofZambiaisadministeredthroughSchooDeansandDirectorsoftheDirectorateandlnstitutewhoareanswerabl1etotheO伍cetheViceChancel1orandtheDeputyViceChance1lor.Therearenineschoolsa1theUniversity

12ofZambia.Theseare：AgriculturalSciences,Engineering*Education,HumanitiesandSocialSciences,Law,Mines,Medicine,NaturalSciences,andVeterinaryMedicine.Inadditiontotheseschools,thereisaDirectorateofResearchandGraduateStudiesandtheInstituteofDistanceEducation(formerlyca11edtheDirectorateofDistanceEducation).1.50therUnitsofUNZATheC1inicandTechnologicaIDevelopmentUnit(TDU)aresomeoftheothermajorunitsoftheuniversity.Theuniversityc1inicisveryessentialasitprovideshea1thservicestostudents,themembersofstaffandtheirfami1ies.Italsoextendstheroleofprovidinghea1thservicestothecommunitiessurroundingtheuniversity.TheTechnologica1Deve1opmentUnitischargedwiththeresponsibi1ityofdevelopingtechnologiesthatcouldbeappliedtomanysectorsoftheeconomy.一）1.6RecordscreationandmanagementaIUNZAiseseightprincipalLikeshownabove,theUniversityofZambiacompoffices,nineschoo1s*adirectorateandinstitute.Inaddition,thereareunitssuchastheclinicandthetechnologicaIdevelopmentunit.A11theseoffijG./e.s,schoolsd.irectorate/in.stituteandunitsiBinvolvedintnecreatlonanaaccumuofrecordsasofficebearersafcarryouttheday.to-daybusinessoractivitierEity.節(jié)妒TherecordsmanagementsystematUNZAisbasedontheBritishMode1ofmanagingrecords.Thisrecordsmanagementsysteminvolveskeepingactiverecordsintheregistries.Whentheybecomelessactive,theyaretransferredtothelowcostareascalledrecordscenters.Afterastipulatedperiodoftime,theserecordsinrecordscentersareohavepermanentva1uearecommitteThoserepreseredesappraisedandthosefounddtothearchivesforeternalcordswiThisisthesytema11theoffices,schools,directoratesanddepartmentssuchastheclattheU.niverofrecords.tyofZarnbiauseinthemanagement

13Itiscardina1tomentionthattherelSdecentra1izationmthemanagementofcurrentrecordsattheUniversityofZambiainthesenseipaloffices,schools*directorate,tute,clinic?thetechno1ogicaIdeve1opmentunitandotherunitshaveiregistrycentoftheircotherhand.semndividua1ntersrespurrent(aci-activeandionsiblefortive)recornactiverecordthemanagemeds.0nthesaremanagedoncentra1izationprinciplesastheyaIekeptandadministeredinonecentra1p1ace.].7CategoriesofrecordsatUNZATheChance1lorsoffice,ViceChance1lorsandDeputyViceChanceIlorke印recordspertainingtothegeneraladministrationoftheUniversity.Theserecordscomeintheformofreportsandpolicies.Theyalsoaccumulateandke印correspondences.memosandminutes.NotethatDeputyViceChanceIIorofficehaSsomeacademicrecordsasitistheofficewhichoverseestheacademicbusinessoftheuniversity.TheRegistrar9Soffice,throughthecomputercenter,keepsstudents^dmissionandresultsrecordsine1ectronicformatthroughdatabases.However,thebulkoftherecordskeptbytheRegistrar'Sofficepertaintotheemployeesoftheuniversity.Inaddition,generalrecordssuchascorrespondencestotheregistrar'Soffice.memosandminutesarea1somanagedbytheregiSt1"ar'Soffice.Schools,Directorateandinstitutenormal1yaccumulateandkeeprecordspertainingtOthestudents.Thesestudents'recordsinc1udeexaminationrecords,student'ScorresponderecordspertainingtOstudents,courses,andgeneralinfPr9n9onandrecordsabouttheheyaccumulateandmanagememos,students.Inaddition,tesandgeneralcorrespondeヤ為e'Deanofstudentsbeingresponsib1eforstudents'welfare,itmainlykeepsrecoroje&tainingtostudents'ac肋mmodationandgeneralrecordsaboutthestuaents.Ita1sokeepssomeacademicrecordsofthestudents.

14AccountsrecordsareaccumuIatedandmanagedbytheofficeoftheBursar.Accounts'recordsincludestudents'financialrecords,employees(salariesrecordsandotherfinancialre1atedrecords.The1ibrarian'Sofficekeepsrecordsabouttheuniversitylibrary.Theseincluderecordsofthe1ibraryusers.brarymaterials,correspondences,memosandminutes.Medica1erpeop1registrningtoirecordrecordsoearekepty.Thec1itsfunctis,minutfstudebythecnicregonssuces,ments,th1inicistryah勰purcsofstafsrecordmos,andS0on.nnovationsmadeattheuniverRecordsregardingtheIechn〇1ogica1sityaremanagedattheTechno1ogica1andDevelopmentUnit(TDU).Italsokeepsitsadministrativerecordssuch雒memosandminute

15CHAPTER2STATEMENT0FTHEPR0BLEM,JUSTIFICATION,OBJECTIVESRESEARCHQUESTIONSANDCoNCEPTUAI,FRA域、怕RKOFTHESTUDY2.IStatementoftheProb1emTheUniversityofZambialikeanyotherinstitutionFleatesandreceivesrecords期officersperforintheirdutiesandresponsibi1itiesinpursuanceoftheUniversity'Sgoa1sandobjectives.RecordsplayavitairoleintheadministrationoftheUniversity.Theyprovidereliableevidenceoftransactionsundertaken.Recordsa1socontributetoadministrativeefficiencyastheyareconsultedindecisionmakingandp1anning.Inadditionrsity.Borecordstdethica1,recordsthpaperahereforemanner.Iformthende1ectneedtobtishowecorporateronicemanagediverftheUniveicientanngtoobservethatrecordsattheUniversityofZambiaarenotefficient1yandethicalymanaged.Thereisma1administrationofrecordsa1theUniversityofZambia.ty,studentsandotMembersofstaffwithintheUniverderssuchasgovernmenthavebeencomp1ainingaboutma1administrationofrecordsmanagemem.Forinstance,in2006,thethenministerofeducationDrBrianChituboWasquotedbyboththeprintande1ectronicmediainZambia舔sayingthattheprob1emoffinancia1mismanagememaItheUniversityofZambiawasstemmingfromp〇orrecordsmanagemem.TheministernotedthatitWaSimpossib1etoaudittheUniversityofZambopRsofaccountduetopoorrecordskeeping.In2008,theAuditbrldenera1*SreportinZambiaalsoattributedfinancia1indiscip1ineperpetratedbyofficerspart1ytothepoorrccordsmanagement.Inthesameyear(2008),thethedntsheeouriivefsityFinanceandNationa1P1anningMr.PaterNg'anduMaganderefusedtoa1locateextramoneytotheUniversityarguingthattherewastoomuchfinancciplineattheinstitutionasofficerintheaccountsandotherdepartmentswereinthehabitofdestroyingprevailattrethestaffcou1dfai1heinstitution.rFherehaoftheuniversitytoretrievetheneededvebeena1soincidentswhestudents'recordssuchaswithdrawletters.Worseofal1,

16someoftherecordshavebeenreportedmissing.Inaddition*somee1ectronicrecordscannotbeaccessedbecausethetechnologyinwhicbtheyhavebeenkeptisoutdated.1.2JustificationoftheresearchAsa1readynotedintheintroduction*recordsplayaverycritica1roleinensuringaccountabi1ityandtransparencyinthemanagementofpublicaffairs.Recordsalsoaidindecisionmakingandplanning.Therefore,anyorganizationworthitssa1tshouldensurepropermanagementofrecords.Ma1administrationofrecordsattheUniversityofZambiahasbeenaperennia1problem.Thisma1administrationofrecordshasbeenatthecenterofandAuditor—General*Sofficeattributefinaneia1indiscip1inetotheinefficientandunethicalrecordskeepingpracticesattheuniversity.Inaddition,thestudentpopulaceandotherpeoplityofZambieandorganizataoftencomp1ainantheUniverecordswhoftenreportsofmissingrecords.ionsthattransact、加ththeUniversiciencyofthemembersofstaffievetheirimestheserecordsareneveracerea1eFromtheforegoing,itCanbeconcludedthatthereisageneralpoororganizationandmanagemendsmanagemtheUnivergtherightstudentsaersity.Ththestratecountabi1tofrecordentsystemsityofZamsandinterndotherstisa1soundgicr〇1eofityonhowsthusmakatbiatop1aestsofakeh〇1deerminesrecordsiingitimpyitspivorswhichtnensurinossibleforta1r〇!einpransactwitgtransparetherecorrotectinhtheunivncyandacItisagainsttheabovebackgroundthatacomprehensiveresearchneedstobecarriedouthavebeencausingma1administrationofrecordsattheuniversityandputforwarduniversityresourcesareuti1ized.tyoftheprob1emanrecommendationstotheUniversitymanagementforimp1ementationinordertorectifytheidentifiedprob1em.

171.3App1ledvalueoftheresearchTheresearchhasimmediateuti1itytotheuniversityinthesensethatithasunvei1edfactorsthathavebeencausinginefficientandunethicalrecordsmanagememattheUniversityofZambia.Ithasgonefurtherbyprovidingpractica1recommendationstotheuniversationwiib1eadoptionandimp1ementity'Smanagementforposthaviewtongthemanagementofrecordsatttution.2.4AcademicvalueoftheresearchOntheacademic舶nt'theresearchhascontributedtOthecurrentdebateontheneedforrecordsofficerstocooperatewithITstafrinorganizationsinthemanagementofelectronicrecordskeptinserverdatabasesandpersonaicomputersinordertoensureconformitytogoodrecordsmanagementpractices.2.5Conceptua1f一廠1I聊ew〇rkTheconceptthatguidesthisstudyisthe’'systemstheory75borrowedfromthesystemstheory.ThesystemtheoryhasbeendefinedinmanydifferentwaysbydifferentscholAccordingtoMcNamara(2010),asystemisanorganizedcol1ectPoTSf,parts(orsubsystems)thatalehi曲lyintegasa.tedtoaccomplishanoveral1gimplerterms,systernstheoryarguesthatanysysiem(suchasanorilztion)ismadeupofinterrelatedparts.Forthesystemtoperformeffectively.al1theinterrelatedpartsshouldplaytheirroieeffective1yandmustworkinterdependent1y.Itful'therpostulatesthatifonepartisnotperformingwe1I,thewho1esystemwi11benegativelyaffected.Theinterpretationofthistheoryisthatitadvocatescorporationamonga11thecomponentsofthewholesysteminordertorea1izeitsgoa1.Inthiscase,theUniversityofZambiarecordsmanagememsystemismadeupofmanycomponentssuchasrecordscenters,registries,andcomputerscenter.FortheuniversityrecordsmanagementsystemtofunctionproperlytheremustbecoordinationofactivitiesamongaIItheparties

18involvedinthdsmanagementemanagementofrecords,donotIfthepartiestorecorintegrateandworkllfailtOachieveiofmanagingrecordsionestInanneLtogether,therecordsmanagementsystemwitsgoa1na1lefficientandh（矽Genera10bjectiveThemainobjectiveoftheresearchistouncoverfactorsthatareresponsibleforinefficientandunethicalrecordskeepingattheUniversityofZambia.例Specific0bjective—TofindouthowwidespreadistheprobIemofma1administrationofSrecordsatUNZA-Tofindoutwhereactiverecords,semi-activerecordsandarchivesarekeptatUNZA—TOfindouthowrecordsarecategorized?indexedandfi1edatUNZA—Tofindouthowrecordsoffiee1strackthemovementofrecordsatUNZA—TotIndouttfUNZAlia*arac?r

19—ArerecordsofficersatUNZAinv〇1vedinthemanagementofe1ectronicrecords?—DorecordsofficersatUNZAreceivesupportfrommanagement?

20CHAPTERSLITERAn瓜EREVIEWCONCEPTSDEFINITION,USESOFRECORDSANDCAUSESOFMALADMINSTARTIONOFRECORDS3.IMaladministrationofrecordsThetermma1administrationhasbeendeffmeddifferent1yindifferentcontext.Ma1administrationmeanstoadministerormanageinefficientlyordishonestlyz,[11.Inconcomitancewiththeabovedefinition,Maladministrationofrecordsentai1stheinefficientordishonestmanagementofrecords.MaladministrationofrecordsconditionsarecharacterizedbyTrequentcascsofiIlege!d〇Ietingordcstroyingofrecords,missingofrecords,fairecordsetc.uretoretrievetheneededMa1adminiprintandestrationofrecordshasbeenreportedinboth1ectronicmediaamonggovernmtheg1obma1admitosupprenta1boda1.Someonistratiessthetriesanapfthese,oncasesuthabourivateoinvolvettheionsarouuctionofndrecordsi11ega1activitiesofsomeofficials.Forinstance,TheNewYorkSunon27nIDecember,2006reportedthatfi1esre1atingtoinvestigationsintotheleaksofc1assifiedinformationattheFederalBureauoflnvestigation(FBI)hadgonemissingatitsheadquarters.InNovember,2007,llleHerMajesty*sRevenue&Customs(HMRC)1osttwoCDscrammed謝也sensitivedata.TheCDscontained25mi11ionrecordsofagents,a1ternativerecipients,chiIdrenandcustomersonthechi1dbenefitdatabase.ASupermarketchaincailedLidlinIrelandon22rdofMarch,2005,destroyedrecordscontainingtheageofjobapplicantswhenitdiscovereditwasunderinvestigationbytheEqua1ityTribunalforagediscrimination.Itrefusedtointerviewa5I-year—〇1dmanf〇rthejobofdistrictmanageratLidlbecauseitbe1ievedhewastoooldforthejob(ThelrishExaminer：2005).InZambia,theAuditor-General,Mrs.AnnaChifungula,on22ndofJune,2009,reportedthatimportantrecordsre1atingtothea11egedmisappropriationofZMK(ZambianKwacha)28bi11ionintheMinistryofHea1thhadgonemissing,makingitverydifficu1ttofinishforensicinvestigationsintothecase[2].Othercasesofmaladministrationdemonstrateasheerincompetencyofthepeopleentrustedwiththeresponsibi1ityofadministeringtherecords.Forexample,onMarch7,h,2007,Louisiana'sbulwarkinsureroflastresortlostitsfinancialrecordsthatspannedaperiodoftwoyearsbecauseofmishand1ingofitscomputersoftwareprogram(TheTimesPicayuneandNewOrleans：2007).On25mDecember,2006,TheMSNBCreportedthatPresidentBush'SambitiousAlDS-fightingprograminpoorcountrieshadpushedSOhardforfastresultsthatbasicrecordkeepingandaccountabi1ityoftenwentbythewayside,makingithardtojudgethetrueSUCCESSoftheprogram.Theaboveexamplesshowhowwidespreadmaladministrationofrecordsisinorganizationsaroundtheglobe.Maladministrationofrecordshasfarreachingimp1icationsontheactivitiesoforganizationsandoftenatime,itresu1tsinfinanciallosses.Inaddition,ma1administrationofrecordsresultsinthevio1ationoftherightsofcitizensandorganizations.

21moneyandhumanresourceinanefficientandeffeetivemanner,thus,makingitpossibletoattainitsintendedgoalsandobjectives.Itissalienttonotethatmuchoftheinformationorganizationsuseisembeddedinrecords.Arecord,beingabeainformation,makesitassumesupremacyamreror+「?4,ongotnerassetsoforganizations.Thetermrecordhasbeendefinedbymanyorganizationsandscholarsindifferentways.Arecordis^recordedinformationregardlessofmediumorcharacteristics*[31.Arecordisfurtherdefinedassomethingtangiblewhichcomprisesdocumentation[41.Recordsareanymeansofdocumentingcommunicationinanenduringformat,which,is,written,

22verba1,communiphotographicorcomputer—captured,whichpreservesthecationandcanled.Recordsareinformationthatflowsfromoutsidethetoinsideorfrominsideout[51.Otherscholarsconsiderrecordsasbookstpapers,maps,photographsreceivedbyanypublicorprivaofits1ega1ob1igationsorineinstitutioninpursuanceconnection>tlfn1thetionofitsproperbusinessandpreservedorappropriateforpreservationbythatunctions,p〇!icies,orits1ega1successorasevidenceofitsfdecisions,procedures,operationsorotheractivitiesorbecauseoftheinformationa1valueofthedatacontai1ledtherein[61.TheNationalArchivesandRecordsServiceofSouthAfricaAct(ActN〇.43of1996),definesarecordasrecordedinformationregardlessofformormedia.TheActcitescorrespondencefiles,maps,plans,registers,ereasanexampleofformwhi1ePaper*microfiImorelectronicformathavebeencitedasexamplesofmedia[71.Fromtheabovedefin1tions,itcanbecontendedthatarecordisrecordedinformation,regardlessofmediaandformatwhichisreceivedorcreatedbyanorganizationinthecourseofpursuingitsbusiness,andretainedbythatorganizationasevidenceofitsactivitiesorbecauseoftfeeotherinformationva1ueitcontains.Recordscannotbebooksbecausethanorganizeyareapration.Thoductofbusey&recreatinessoractedobjectivesofanorganization.Thisimpliesthereforethatrecordshaveacontextinwhichtheyarecreated.Theyarenotcreatedfromwithout.Asaireadya11udedt0,recordscomeintodifferentformatsandmedia.Theseformatsandmediainclude：Photographs(analogphotos,negatives,slides)；SoundandVideoRecordings(audiotapesandcassettes,videotapesandcassettes,CDs,DVDs)；DigitalPhotographs；Document/Digita1Imaging：E1ectronicRecords(textdocuments,graphics*electronicpublications)：E—Mai1；Maps,PostersandOtherLargeFormats；Micrographics(microfilm,microfiche)；WebPages/Web一basedRecords&Pub1ication[8].

233.3CharacteristicsofarecordItisimportanttonoion.Ithascertainftethatarecordismorethanjustinformateaturesthatmakeitaprincipalsourceofeviclencefororganizaona1transactions.Recordshavespeciarinformationresou1featuresthatmakethemuniquefromotherces.,4Recordsalephysicalorvirtual,haveacontent,structure/form,alecreatedinacontexton"19].Recordshavefouruniquefeatustighracedevidenceofacportaccountationsandtransactions；recbi1ity,1yconnectedtoevidencebutwhicha11owsaccountabserved,someforveryshThePub1icRecordsActofSouthCarecords.TwhichisdaheActpointsouttaorganizedintordnaofl976spelIsoutfivecharathata11recordshavecontenticuse.Examp1eofcontentcou1dbeareportHHtphotographsandi11ustrations.RecordsaleaisosaidtOhavecontext.Contextprovidesthedescriptiveinformationthatconnectsrecordstootherrecordsandbusinessfunctions.Examp1esofcontextincludethenameof*thec*r?a.t0dep,a.rtmentna.me,d,a..te,s,etcXmetaaatai.Recoshaveastructurewliich6eUfUjS^tQ)thS&appearanceandarrangementofthecontent,essentiallyitsformat.Forexamp1edatamaybeformattedusingXHTMLfordisplayontheweborplacedintoaPDFdocumentforreadingelectronical1yorprinting.Onceprinted,paperbecomesthenewformat.TheSouthCar〇!inaActonRecordsfurtherpostu1atesthatrecordshaveva1uewhichreferstotheirusefulness,significance,orworthtoallorganization.Recordshaveadministrative,legal,fiscal,orhistoricaivalue.Thefifthcharacteristicofrecordsisthattheya1Ibearinformation.ThisinformationcalIbedata,contentorrecords,andaninformationsystemCanstoreeachtypeindependentlyorcol1ect

24Theabovearticulatedcharacteristicscannotmakerecordstobetheprincipalsourceoftion?theaboveevidenceofallorganization'Sactivitiesandtransactions.character!streputrecordsstructusamebasketinthesensprincipalsourceofevidenceandadmissibleinthecourtsofLaw,theyshouldpossessesinthesourcesspecialcharacteristics.Arecordismorethanjustinformation；itissupposedtobetrustworthy,reliableandauthentic,abletoserve弱evidenceandtOsupportaccountabi1ity[101.OtherschoiarsandorganizationsarguethatrecordsaredifferentfromotherdocumentsinthattheybearcharacteristicsthatCanbedemonstratedorproven.ifnecessaryinacourtoflaw.Inthisregard,arecordhastObeauthentic.Itmustbewhatitpurportstobe.Arecordmustbere1iablemeaningthatitmustbeafullandaccuraterepresentationofthetransactions,activitiesorfactstowhichitattests.Arecorda1soneedstohaveintegrity.Itmustbecompleteanduna1tered.Final1y,arecordshouIdbeusable.Itmustbeaccuratelylocated,retrieved,presentedandinterpreted.manybusinessactivitiesofanyorganizations.RecordsareusedUSevidenceincourtsof1aw.Whenthereisanylitigation,recordspertainingtodisputesthathavesparkedthe1itigationwi11berequestedandsubmittedtOthecoUrtsoflawasevidenceinthecase.Besidestestimonia1evidence,recordsconstituteoneoftheprincipa1sourcesofevidenceincourtsoflaw.Evidencebyrecordsincourtsof1awcomesinthreeforms.Thesearedocumentaryevidence,rea1evidence,demonstrativeevidenceandtestimonia1evidenceo“Realevidenceisathingwhoseexistenceorcharacteristicsareconsideredrelevantandmaterialtoanissueinatrial.Itisusua1lyathingthatwasdirect1yinvoivedinsomeevent

25inthecase,suchasamurderweapon,thepersona1effectsofavictim,orallartifactiikeacigaretleorlighterbelongingtoasuspect.Realevidencemustberelevant,material,andcompetentbeforeajudgewi11permititsuseinatrial'r*lll.DocumentaryevidenceiScontainedinorondocumentsandCanbeaformofrealevidence.Forexample,acontractofferedtoprovethetermsitcontainsisbothdocumentaryandrea1evidence.VI/he幾WtR網(wǎng)ア/yPa(efiAndwQyCa91Ppp"J乳〈eQftYnIe4eもy,awゼがセsp咐セctnywitness.Itisadmissiblewhenitfaitness'Stestimonyandlyandaccuratelyreflectsthewi1a1eexamp1esofdemonstridenceFromtheaboves,recordsaredefinitionthesourceosofthreetypesofevidenceincourt(static),artsasevideuthentic,nee.Theyhetc,recordeipgreatlysareprest0identifythedocumentorbywitnesseswhoCanestabiishachainofcustodyforthedocument.Evidence!sconsideredMdemonstrative**ifitdemonstratesori11ustratesthetestimonyofa1lustrateprofitsandlossesativeevidence.Testimonialevtnessattheproceedconsistsofwhatacompetentwiinginquestionsaysincourt.proveordisprovesomefact.Theyareneedednottomakethefactcertain,butatleasttheymustincreaseordecreasethe1ike1ih〇odofsomefact.Recordshe1ptoanswerquestionssuchaswhom?when?where?how?Soincaseofanylorganizationswi11re1yheavi1yonneededevidenceincrecordstobeaverycritanorganizationorindirecordstOprovidetourt.FFhismakesica1resourceastheyCavidua1sinitigation,hemuch11redeemRecordsa1nmakingCaoutcomeofmeeselectionontalprocessfaconIseof(cognitivepactionamongsevera1a1tegprocessproducesafinalTheoutputcarbeanacthoosethebestrnatives.Everydecisionmakinchoice.onDranopinionofchoice[121.Foranyonetoc

26coursesofactIon$SOthathe/sheca)IdetermIneIheconsequencesoTtaklngeachaction.Recordsprovidethismuchneededinformat1onindecisionmakingprocessinorganizations.ItiSimportanttOnotethatdecisionsaremadeatvariouslevelsofanorganizationvolvedindeciA11employees,seniororjuniorareinonewayinionmakinginformationwhichcanbeprovidedthroughrecords.Forexamp1e,thebirthregistrcler.kwi1ineedproofofdateofbirthandparentageinordertoissueatt(0eRtificate.Adoctorinahospitalwi1Ineedcertaininformationinordertodecideonthei11nessandprescriberequisitemedication.Theimmigrationofficerwi1Ineedinformationinordertoissueapassportorgrantavisa.Inaddition,decisionmakingactivitiessuchasthea1Iocationofbudgetaryresources,theprioritizationofprograms,thegrantingofsocialbenefits,theopeningofnewmines,theclosureofunproductiveventures,etcrequiresintensiveuti1izationofinformationwhichCanbeprovidedbyrecords.Relatedtotheaboveusageofrecordsistheuseofrecordsinplanning.Planningisaprocessforsolvingacommunity,Sprob1ems,protectingimportantfeaturesandguidinghowthecommunitywi1Igrowinfuture[131.Planninglooksatexistingconditionsandproblemsthendevelopavision,withgoalsandstrategies.1nbothpub1icandprivateinstitutions,Planningtakestheformofstrategicplanning.Fororganizationstoknowtheexistingconditionsastheystartp1anning,theyneedtoconsu1trecords.Recordswi11showtheexistingconditionsoftheorganization,county,city,stateorcountry.Nop1anningcouldbcproperlydonewithoutconsu1tingrecords.Fai1uretOuti1izerecordsindecisionmakingandplanningcouldbedisastrous.Historyisrep1etewithcaseswheredisastershavehappenedbecausetheplannersanddecisionmakersdidnotconsultrecords.Forexample,inMa1aysia,theKua1aLumpur-SerembanHighwayWasconstructedinthel970*Swithouttakingintoaccountthegeologicalunsuitabi1ityoftheterrain.Majorrepairshavebecomefrequentandproblematicandyet

27thiscouldhavebeenavoidedifgeologicaImonographsandotherrecordsintheNationa1Archiyeshadbeenconsulted.Recordsaleusefulinpolicyformulation.Beforeanypo1icyisformulatedeitheratgovernmenta1ororganizationa11eve1,recordsofpreviouspo1iciesshouldbeconsultedinordertohaveaclearviewofhowthingshavebeendone.Previouspolicyrecordsformas〇!idfoundationfornewpolicies.Recordsplayacritica1roleinprojectmonitoringandeva1uation.Aprojectisatemporaryendeavorundertakentocreateauniqueproduct*service,orresu1t[川?Projectsdifferfromotheroperaobjectivesreachedortdgetsandotsuchashumanichtheywanttionsofohavebeenheprojecherresouresourcesrganizatitterminatrces.Sinceprojonsinthae&Projecectshavesttheyendwhtshavetheipecifiedobjentheftrownbuectiveswhachieve,itiscardinaIthatfromtimetotimeprojectsatoredtOseeiftheresourcesreaimedatachievisuchasmoneya1ebeinguti1izedonactivitiesthangtheobjectivesoftheproject.Recordswi11he1pinmonitoringinthattheywi11showresourceswhichhavebeenspentontheprojectandwhathasbeenachievedinordertOachievethepurposeoftheproject.Peop1eontheprojectcouldcheckifwhattheyaledoingandwhattheyhavesect.ItisanotethatatCeSSeSorfatheprojecusesoffaipenta1ein1inewimthestatedobjectivesoftheproj1soimportanttotheendoftheprojectrecordsareusedtoevaluatetheSUCiiureoft.Recordsifproperlymanagedwi11high1ightthecalureorsuccessofectastheyalecapab1eofansweringquestionssuchaswhathappened?Howdidwedoi竹Whodidwhat?Recordsa1eimportantaudit,isthereviewofinfinancialaudiing.Financialthefinancialstatements(formalrecordsofthefinaiecEoranyotngintnepublactivities)ofay(inc1udinggovernmentiら員cPfAnindependentopiwhetherornotthosefinancialstatementsalerelevant*accuratcomplete,andfair1ypresented[151.Financia1auditinginvolvestheexaminationandeva1uationof

28Thepurposeoffinaneia1auditingistoadderedibi1itytotheimpliedassertionbyal1organization'Smanagementthatitsfinancialstatementsfairlyrepresenttheorganization,sPositionandperformancetothefirm'Sstakeholders(interestedparties).Theprincipalstakeholdersofanorganizationcouldbethemembersofthepub1ic,shareholders,otherpartiessuchastaxauthorities,banks,regulators,suppIiers,customersandemp1oyeesmaya1sohaveaninterestinensuringthatthefinancialstatementsa1eaccurate.Theauditisdesignedtoredunt.Amisstatemeasfalseormissiedbyfraudorerrcethepossibi1ityofamateriaImisstatementisdefinednginformation,whethercausor.Financialauditingisundertakentoimproveaccountabi1ityandtransparencyinthemanagementofthefinancia1resourcesofanorganization.Indevelopingcountries,Zambiainclusive,financialauditingiscritica1ingovernmenta1bodiesasitenab1esmeagerresethe1ivesourcestobeofthepeoplspentprudente.Noteameaningfuls.Financiatheaccountingpracticeshavebeensatisfactory.Poorrecordsmanagementrenderstheexerciseoffinancialauditingdifficuit.Somerecordsiaugingtheperikethoseshowingtrendsaleveryimportantingformanceoftrendrecords,showingtcou1dbeusedtoexplaisectors,systemsere.Forinstance,heperformanceofsectorsuchaseducatinhowtheseontcommerce,ctorhasbeenperforming.Itisupontheserecordsthattherelevantauthoritiescouldacttoinstitutemeasurestoimproveormaintaintheperformanceofsuchasector.Recordsfaci1itatechange.Changehappensinmanyorganizationsandtakesdifferentforms.Thiscouldbethechangeofnewofficebearers.Whenthereischangeofofficebearers,newappointeestotheofficewi11re1yheavi1yonrecordstoknowwhattheWiththehelpofrecopreviousofficebearersdidandwheretheyended.rds,theywi11knowwheretostartfrom.NotethatalthoughformaIhandingoverisdoneinorganizations,noteverythingwi1Ibeshownordisclosedtotheincomingofficebearerbyhi/herimmediatepredecessor.Sorecordswi11丘11thevacuumleftinthehandovernote.Therefore,recordsfaci1immchangeofofficeinmanyorganizations.Recordsareessentia1referencetools.Whentherearedisputesorsomeoneisnotsureaboutcertainissues,recordscouldbeconsultedtoclarifyissues.Thecaseinpointiswha(happenedinZambiain2009wheretheFormerLocaIGovernmentandHomingMinister,SylviaMasebo,demandedaccesstorecordspertainingtothepurchaseoflOOhearsesandboatsfromthePermanentSecretaryintheMinistryofLocaIGovernmentandHomingbeforemakingcommentsabouttheal1egationsthatthesaidvehiclesandboatswerenotpropedyprocure&ItWasa11egedthattheformerministerinflatedthepriceforthevehic1esandboats.Ms.MasebosaidshecouldonlyclarifythatthehearseswerepurchasedatUS9000perunitandnotUS29000perunitasWasa1legedoncerelevantdocumentspertainingtOthetransactionWeremadeavai1ab1e[161.AnothercasewhererecordshavebeenconsultedtoclarifyissuesisinthecasewheretheMovementforMultipartyDemocracy(MMD)inZambiaannouneedin2009thattheparty'SpresidentiaIaspirant,ProfessorCliveChirwaWasnotamemberofthepartyandtherefore,hecouldnotcontestthepartypresidentia1e1ections.ProfessorChirwasaidheWasafu11ypaid-upmemberandurgedthosethathaddoubtsabouthismembershiptocheckthepartyrecords[17].Recordsarealsousefulinthepreparationofincometaxreturns.AtaxreturnisadocumentthatCanbefi1edwithago

29，ff吊巳R&扌,oJLift.?tzati〇np,rind.ivtopaythegovernmentOVerasripulatedperiodofiime.Taxisafjidaup(QiI1Rlieaegdoyotherlevyimposeduponataxpayer(anindividualorlegalentity)byastateorthefunctiona1equivalentofastateOsJ.Taxesconsistofd1recttaxorindirecttax,andmaybepaidlnmoneyorasitslaborequivalent(oRenbutnotalwaysunpaid).InorganizationsTthesetax

30somecountries?fornmningabusiness*companiespaytaxontheprofitstheymake.The1awinmanycountriesrequiresa1lorganizationsandindividualtopreparetaxreturnsandpresentthemtorelevanttaxauthorities.ToproperlypreparetaxreDanls,taxaccountantsthatthepeoplepreparingtaxreturnsdonotunderstateoroverstatetheamounttheorganizationneedtopaythestateintheformtax.Theunderestimationoftaxreturnswi11tionsonthatorganlzatIonorindividua1fromthegovernmcnt?0vestimationwi11a1somakeanorganizationtOlosemoneybyoverpayingtax.Recordsthereforeservetheinterestsofboththetaxpayerandthegovernment.otherpeopiives)togetinformatiearnabouteinterestedthemuchneedon.Withoutthepast.Reinpasteveedrecords,cordsconntsruntOreitCanbedinectcords(archfficu1tt〇!ionofthepeoplewitFI,omtheacordsservbovementionedusesofrecords,onecouldsaythatreethreefunctions.Theseareadministrative,1ega1andhistorica1researchfunctions.Administrativefunctionsincludeactivitiessuchasplanning,decisionmaking.preparingtaxreturns,andreTerence.LegalusesoTrecordsincludeprovfdingevldenceInlhecouoflaworwherethereisadispute.Researchfunctionsinc1udehistoricalresearch,activitiescarriedoutbyhistoriansandotherpeopleinterestedinlearningaboutthepast.3.5TheconceptofRecordsManagementTheconceptofrecordsmanagementhasbeendefinedasa^systematicprogramfortheorganization,maintenance,use,retrievalanddispositionofinformation.Otherscholarsconsiderrecordsmanagementastheefficientandcosteffectivecareandcontrolofrecordsofwhateverformatfromthedateofcreationthroughtotheirprogrammeddisposa1eitherbyincorporationintoarchivesorbydestruction.”[221.Theabovedefinitions

31ofrecordsmanagememre1egaterecordsmanagementtoaCindere11afunetion.Thisisbecausetheynarrowrecordsmanagementtoactivitiessuch9$organization?maintenance,use,retrievalanddisposememisbroaderthanthat.Recordsmanagementismorispositionofrecords.Ita11records-keepingrequiremetabiishandmaintainitionofrecords.Recordsmanagethanretention,storageanddentailsntsthatal1owa1lorganizationtoescontroloveperations1whichisasbigatosaythatmanawhichisanartaties.Thesea1erinformationandadministrativeo23].Itisamanagementfunctionshumanresourcemanagemem.Itisindisputab1egementndasciencerestsuponsixfundamentalactiviplanning,organiz搟也F*“sbothaninv〇1vespnating,reing,staffing,directing,coordinatintingandbudgeting.Inconcomita.nce.ove,recordsmanagementcanbe^,iewedaartandsciencewhich1anning,organizing,staffing,directing,coordiportingandbudgetingforactivitiesthatrelatetotheadministrationoftheorganization'Srecordedinformationresources.P1anninginrecordsmanagementtakestheformofdecidinghowrecordshavetObecrested,stored,preserved,etc.Organizinginvolvesclassifying*indexing,andrUingtherecords.Staffingtakestheformofemployingpeopletolookafterrecordsanddevisingwaystranofficeorapresponsibguidancetresponsibordsofficsameofficeorotrain,deve]erson1eforrecothosechi1itiesoerssuchaapersonshoopandretainordsmanaargedwitf!〇okingsre百stryu1da1soc〇othem.Directingementtop11afterrecoclerks).T*dinatea11regcausesforoviderds(rechiscordsmanagementactivitiesinanorganizatisre1atingtonbydeveloorecordspingandimplementingp〇Iiciesandproceduremanagement.Andbudgetingca11sfordrawingupexpenditurep1ansneededtocarryOUtrecordsmanagementfunctions.Theu1timatepurposeofrecordsmanagementistoensulCeffectiveandprudentadministrationofrecordsSOthatpeopleinanorganizationCanhaveagC宅SStorecordswhenevertheyneedthem.

323.5.IRecordsIifecyclemodelversusRecordscontinuummode1Theabovetwoapproacheshavedominatedrecur&managementstudies.Therecordslifeeye1emode1viewsrecords1ponentsofthelifeikehumanbeingswit11a1ifecycIe.Proeye1emode1contendthatdie.Similartotherecordsareborn,growoldandeventuaChristianbeliefofjudeappraisedandthosegmentday,whenrecordsdie(inactive)theyarjudgedtOhavepe1y.Arecordlifefivemajorphases.Thntenanceanddisposabyarchivingordestrthegenerationofarermanentva1ueeye1eCanbediesearecreation,d1(eitheruction)[191.Creacordsuchrekepteternalidedintowhowantitintheexecutionoftheirduties.ThiSdistributioncouldbeinternalorexternalthroughmeanssuchaspersonaIdelivery,e-mai1,fax,ete.Useinvolvesuti1izingarecordwhenperformingdutiesbyaIIofficer.Maintenanceentai1sperformingactivitiessuchasindexing,fi1ingandretrievaIonarecord.Disposa1constitutesactivitiessuchasrecordsappraisalwhichevokesactivitiessuchasarchivingthoserecordswimpermanentvaIueanddestroyingthose^IVittlnovalue.The1ifecycleconceptprovidesausefu1startingpo硫forrecordsmanagementprogram.TherecordslifecyclemodelprovidesrecordsmanagersWtllabasisfordevelopingaprogramwhich,whileacknowledgingtheimportanceofeachseparatephase,managesthosephasesinacoordinatedway[201.Ita1soenablesrecordsmanagerstoensurethatpolicyandproceduresdevelopedforeachasearea1sosyarecordistrmattedinthca11beretriupportiveofotit1edandecreationphasevedintheherphases.Foecanhaveefferexamp1e,thectonhowfastmaintenancepdeonhow1ongirecordiscreated,decisionsaremaberetained：thisdefinitelyaffectsotherphasessuchasmaintenanceanddisposa1.Therecordscontinuumtheoryontheotherhandimp1oresrecordsmanagerstointegrbaxkwardandforwardintheirfunctions.Itextendsthespher^o!どompetencyandfunctionsofrecordsmanagersbyinc1udingthepre(recordscreationandrecordspreservationactivities.，叮herecordscontinuum.theoryisaconsistentandcoherent

33regimeofmanagementprocessesofrecordsfromthetimeofcreationofrecordsandbeforecreation.indesignofrecordkeepingsysternsthroughtothepreservationanduseofrecords腳archives,,[2i].Itextendstherecords1ifecyclebybringingonboardactivitiesoverlookedbytherecords1ifecyc1emodeI.Therecordscontinuummode1de—emphasizesthetime-bouecord-keepiarchivingpr—spacedimenndstagesongandocessesinsions.fthe1ifecyc1tointegratedemode1andctimeombinesther3.5.2Thec1eandreItisworthned.AnyreImportancecordscontimentioningtcordsofundersnuummodehatthesetherecordsnpracticea1ifecyreintertwimanagerneedtocomprehendtheabovetworecordsmanagementmode1sastheyprovidemanagerscnagement.understrdsmanarecordmanakina11effia11usetouThefu11andingogerstodgementprogcientnderstandwhatisinv〇1vedinrecordsmafthesemodelscouldenablerecoevelopcoordinatedrams,po)iciesandproceduresthatcouldresumanagemehereorgakeepingeortantfoandwhowipecia11yntofreconization1ectronirrecords11berecothecontirdsinorsalecrecordmanagerrdsmananuumganizasa1ongsgerstotions.Insidepapeunderstathis21nrrecordndthesecenturyws,itisimpmode1sesmodelasitcovgementofbotherscomprehenpaperandve1yissuesinv〇!vedinthemanaelectndact(archivinowtherecotheformatia1soanticigordestrucrdsarecreanwhichtheyspatehowthetion).Recotedandhouldbekeptrdsmanager.Recordsmans鋤decidehagerscouldcrecords.Themode1scanhe1pmanagerstounderstaiesthatalevedinthemanagementofrecordsfromrecordscreationstagesrecordswi1IbepreservedtOensurecontinuousaccesstothem.3.6Causesofma1administrationofrecordsAsarticulatedintheintroduction,manyorganizationsfailtOsatisfactorilymanagerecords.Theirrecordsmanagementsystemsareinamessanda1easourceofinefficiency.

34Thereisma1administraionofrecords.Bestandefficientrecordsmracticesstemmaingementpryfromdevgram.1tiopingandimp1ementingarecordsmanafficientrecordsmanagement.Manyprobtionofrecordswhtothelackofichorganrecordsizationsfacetodayalelargelyattributabiemanarecoandprograms.Fonethica1ientmannranyorganizationtobeabletomanageaftrecordsmam.rdsmanagemenprogramecordsmanagementprogrtofp〇1icies,prores,andactivitiesneededtomdinformation[241.themanagemeiontoensurecorernerecohowogramisab1urecordnizationasspellsprocerecordanddisorganid,stored,cessedrecords.>Recomintoff.nciaageistatesthranorganizanceofarecdsmanagemes,manygovernments(federa1andstateenactedRecordsActswib1ishrecordsthclausesthatcompelorganizationst0estamanagementprogramsasthewaytoensurecompliancewiththeRecordsLawsofthesecountriesorstatesandaswellastosetafoundationforbetterrecordsmanagementpractices.Forexamp1e,intheStateofNewSouthWa1esinAustra1ia,theStateRecordsActofl998compelsinstitutions(especial1ypub1icinstitutionssuchasuniversities)toestabiishandmaintainarecordsmanagementprograminconformitywithstandardsandcodesofbestpractice(theS.12(2)).Thestateauthorityensuresthatorganizations

35deve1opandimpIementrecordsmanageinentprogramstopromoteg〇odrecordskeepinginthestatResearchhasshownthatlackofarunningrecordsmanagementprogramisthesourceofmaladministationsdonotrationofrecordsinorganizations.Manyorganihavearecordsmanagementprogram.AresearchsponsoredbytheStateofNewSouthWalesinAustra1iawhichWaSconductedin2003amongsevenuniversitiesrevealedthatthreeoftheuniveramwhichrecordsmentprogrrsityhadhasresu1anagemenamisarecdeve1opetedinbettpracticeiptfordarecordteres.LackomentprogdsmanagemmaladministrTheAssociationofRecordsManagersandAdministrators(ARMA)intheUSAhaSbeenconductingresearchesonrecordsmanagementpracticesamongitsmembers.Theseresearcheshaveshownastrongercorrelationbetweenarecordsmanagementprograminits2007surveyonandgoodrecordskeepingpractices.Forexample,itsmembers'recordsmabers謝thagrecordsmaentandethnagemen〇odrunnnagemenica1mantpracticeingtprogramsner.Thes,ARMAdmanageriscoveredecordsinaabsenceofarecordoorrecordsmanagementprogramhasthepotentalofcausingpkeepingpracticesthusgivingrisetoma1administrationofrecords.ThiscouldprobablyhelptoexplainwhythereismaladministrationofrecordsattheUniversityofZambia.3.6.2BenefitsofdevelopingandimplementingarecordsmanagementprogramA1thoughmanyadministrativefunctionsoforganizations(inc1udingrecordsmanagement)u1tinbothquantiitstoanorganizaresnefThandunquantifiab1ebecordsCommisattemptedtospelloutthebenefiingarecordsmanagementprogram.'Theseinc11owing：OProvIdlngbetterservIceloconstltuentsProvidingbetterservicetoconstituentsisachievedthroughtime1yrespondingtoclientsandotherstakeholder'Srequestsasthereiseasyretrievaloftheneededinformation.Forinstanceauniversitywhoseclients(students)maywanttoknowhowtheyhavebeenperformingacademica11ywi11retrievetheinformationwithoutde1aybecausestudentsrecordsaremanagedproperIy.0PromotIngofflceproductiv1tyInorganizationswhererecordsarenotproperlyorganized,workersspentagreatdealoftimesearchingforrecordsandotherdocumentsneededastheyworkintheiroffices.Throughdeve1opmentandimp1ementationofarecordsmanagementprogram,recordsarewe11managed.thus,making!teasytoretrievetheneededrecords.Recordsareroutinelyappraisedandthosedeemedtobeinactive/valuelessarepurged

36fromexpensivestorageareas.Theyaretakentocheapstorageareasordestroyed,譬:thus,freeinguptheexpensivestorageareasforvaluablerecords0Av〇IdingadverselegaIconsequencesThedeve1opmentandimp1ementationofarecordsmanagementprogramensuresthataorganizationaccuratelycreatesandretainsinitscustodyrecordsofitstransactions.Theaccuratecreationandretentionofrecordsenablesal1organizationtoavai1therecordswhenneededincourtsoflaw.Properrecordskeepingservesanorganizationduring1itigation.3.6.3RecordsManagementProgramBuiIdingBlocksInal1organizationwheremanagementdoesnotseemtOattachgreatimportancetorecordsmanagement,recordsofficersshouldfirstseektoconvincemanagementontheneedtodeveIopandimp1ementarecordsmanagementprogram.Thisiseffective1ydonebywritingandpresentingtomanagementarecordsmanagementprogramproposa1.(i)RecordsManagementProgramproposalArecordsmanagementprogramproposaIisadocumentthatdetai1stheneedtodeveIopandimpIementarecordsmanagementinanorganization.Itclearlyshowstheimminent

37osadbyordnoth1shonagefagarecordsmanagementprograminpe1evidencewhichshou1dcomefromcinallorganization.Aproposalshsuchaprogramisneededinanorganization.Awe11houldincludethef〇11owing：hestatemtoftheproblemIdinsummmenthecurrentthestofrecou1d1recordrage.owelectroniackedup.ecordsarecurrent1ystshouldcationfacestegorica1Jysifitdoesnottatetheimminentrisksthatanoestabiisharecordsmanagementprogram.Risksinc1ofvita1records,financiallossesthroughlitigation,lossofanorganizationorcommunityhistory,andlossofgoodpub1icimagestemmingfromfailuretoresponndsakeholders*requestsbecauseofpoorrecordsmanagement.Thebasiccostforanorganizatthmoneyforhiringordesignatzation'Srecordsmanagerwhoshouhesponsib1eformanagization'Srecords.TheotherCOStswhichsosalalethehouldbeincludedintsysternstot.Notethacosreefficientandeffectiverecordsmanagementsforries,continuoustrainingofstaffandcomputerbeestimatedonanannua1basis.

38Theconclusionemphasizestheneedtoestablishandimplementarecordsmanagementprograms.Benefitsshouldbehighlightedagainstimminentdangerofnothavingaprogram.3.6.4Recordsinventoryandappraisalprogramdy.Arecorcompletengshe1dbeveloperndsinventoanddetai1yanorganieedsonlytryisaedsummaryzationoconductofa11recarecordsiords,andt1istingofrecordsbyseries、加ththeirhousing.Arecordseriesisagroupofidentica1orre1atedrecordsthatarenorma11yusedandfiledtogether.AccordingtotheFloridaDepartmentofStateriesalerecordsarativeCodeRu1eIB-24,recordssundeauserasin#efi1theyconsisingarrangementorkepttogetherasaunitofthecommoncharacterisamesubject'resu1tsfromthesameacttics.TheFloridaDepartmentofState'Sdeiinitionofrecordsseriespresupposesthattworecordsaboutthe￥ameactivitycannotbesaidtobeseriesiftheyandtheotherine1ectronicformat)Ca11besaidtobetwodifferentsetofrecordsseriesbecauseoftheftformats.Examplesofrecordsseriesinorganizationsincludepersonnelspondences,accountingrecordsandpursineitherpaperor.ItisimperativetOnotethatwhenconductingrecocategoriesofrecordsshouldbelistedwhethertheyarehe1dincentra1fi1ingsystemsorinindividualoffices,inpaperform,microfiImoreveninmachine—readab1eformat.Therati〇na1ebehindrecordsinventoryistobeab1etoknowthequantityofrecordsavailableinanorganization,theformatsofalItherecords,thestorageequipmentand

39supp1iescurrentlyinuse,ageandfrequencyofaccesstoindividualrecordsseriesandgatherinformationaboutthecurrentretrieva1systerns.Theinventoryexercisealsoenab1essomeonetoknowtheamountofspacetakenupbyrecordsandrevealcurrentdisposa1practicesandthe1ega1requirementsforthecreationandretentionofrecords.Inaddition,therecordsinventoryexerciseenab1esonetoknowthepurposeandfunctionsofrecordsseries.Italsoprovidesinformationonwhererecordsseriesarecurrentlyhousedwhichisusedtodevelopasystemforthephysicalandintellectualcontr〇!ofanotheentoryinventodeve1oprsurve.TheneryCanbeingarecywhenedediobtainordsconductingtherecordsinvnformationfortheedfromthesurveyconductedwhenmanagementproposAftersuccessful1yperformingrecordsinventory,arecordsmanagementprogram-whichisablueprintforthemanagementoforganizations'recordscanbedeve1oped.3.6.5E1ementsofarecordsmanagementprogramItisimperatapplytothetreeproganizHoweofarecordsmanagementprogram.Thisimp1iesthagementdevelopeddifferently；thus,theydifferfromoorganization.er,manyrecordsmanagementprogramshavesimi1are1ernents.Thesee1ements{IIe:.3.65.lARecordsRetentionandDisposa1Schedu1eArecordsretentionanddisposaIscheduleisa11authoritativedocumentthat1istsa11recordsbyseriesandstateswhentheyshouldbedisposedoff.ARecordsRetentionSchedule!s"adocumentthatanorganizationusestoensurethatrecordsalekeptonly私long弱theyarelegallyandoperational1yrequired,andthatobsoleterecordsaredisposedofinasystematicandcontrolledmannerr'[26].ARecordsRetentionSchedulesupportsanorganization'Sefforttomanageintel1ectua1property,controltheeostsofinformationstorage,locateandretrievedocumentsforlegaldiscovery,anddisposeoftherecordsattheendoftheirbusiness1ife.Arecordsretentionanddisposa1scheduleidentifiestheminimumamountoftimethatrecordsmustbekepttosatisfyadministrative,legal*fiscalandhistoricalneeds[27].Arecordsretentionanddisposalschedulea1sostateswhenrecordsshouldbedestroyedandwhencertainrecordsshou1dbetransferredfromonestorageareatoanother(suchasfromarecordscentertothearchivesforpermanentpreservation).3.6.5,1CA)Stepsindeve1opingarecordsretentionanddisposaIScheduleTheRecordsRetentionSchedulerepresentsa11therecordscreatedbya1lorganizationacrossdlvlslonsandfunctlons*regardle$sofmedlatype

40硒efLrStthingwhenestabl1shingaRecordsRetentionandDisposalScheduleistoidentifyand1istthegroupsofrecordsinanorganization.Thesegirpupsa1eidentifiedwhenperformingarecordsinventory.Groupsofrecordscommoninorganizationsinc1udeaccountingandhumanresourcesmanagementrecords(ii)Creatingauniversa1c1assificationschemeAfteridentifyingtherecordsgroups,creakaRecordsClassificationScheme.Arecordsclassificationschemeisagroupingofrecordsbybusinessfunction,recordclass,andrecordtypeasawayofdea1ingmorepractica11ywithhighvoIumesofrecords[28].ManycompaniesCanestablishten(orfewer)broadrecordfunctions?suchasOperations,Accounting,Financial,Tax,andLega1.Thesetop,leve1recordfunctionsarebrokendownintorecordclassesowhichare,inturn,brokendownintorecordtypes.Thefollowingisanexamp1e：RecordFunction：AccountingRecordC1ass：AccountsPayab1eRecordTypes：AccountsPayabIeAgingReports.AccountsPayableDistributionReportSoCashDisbursementReport(iiOPerforminglegalresearchConduct1ega1researchtodeterminewhattheretentionperiodforeachrecordclassmust'.1be.Lookatwhatgovernmentlawsaysabouttheretentionperiodofeachandeverye1assofrecords.YouCanalsolookatwhattheinternationaIlawssayattheretentionperiodofthoserecords.Inaddition,thereisneedtolookatwhatcommissionsandotheragenciesofgovernmentthatissueregulationssaySOthatretentionofrecordsis1ongenoughtomeettheregulatoryrequirements.Theseagenciesinc1udeTradeCommissions,CommunicationCommissionsandDrugsandSafetyCommissions.Engageyourlega1.counse1,consultantsorexterna1recordsmanagementexpertswhenperforminglega1research.0v)Overlayoperationa1retentionrequirementsThisinvoivesdeterminingtheretentionperiodforrecordstomeetoperational/administrativeneedsofofficersinanorganization.TaJktoofficerswhocreatevariousrecordsina1ithedepartmentsSOthattheycouIddisc1osehow1ongthe■recordsshouldberetainedtomeettheiroperationalneeds.Afterthis,estab1ishtheretentionperiodofal1therecordsciassesasshownbe1ow：RETENTIoNDISPOSAちRi曲:gqぶ公吊キぎ【〇NANfE1.AccounlsPayable(includesbi11ing,.?payments,overdueaccounts,invoices,5YearsDisposereceipts?paymentvouchers?dup1icates,etc.)2AccountsReceivable(includes5YearsDisposeReceiptrecords,write夠,invoices,etc.)王Annua1Financia1StatementsPermanentPermanentNotethattheretentionperiodbeginsatcut—offperiod(whenthefoIdersaleclosed).Forexamp1e,forannualfinancialrecords,thecut—offPeriodistheendofeachfinancia1

41Afterdeterminingtheretentionperiod,thescheduleshouldbepub1ishedSOthatal1theofficersintheorganizationcallknowaboutitsexistenceandfo11owitastheyhandlerecords.Therearebasica11ytWOtypesofRecordsRetentionandDisposaISchedu1es；theGeneralandAgency-SpecificSchedules.Thegenera1asthenamesuggestsisusedbymanyorganizationsasitcoversconlInonrecordsthatarefoundinorganizations.GeneralRecordsRetentionsSchedu1esarenorma11ydeve1opedbygovernmentsandarefollowedieswhenmanagingpub1icrecordbygovernmenta1bodyassociationsandcandevelopageneraindustryleadeeusedbymemberorganizatioentionandDitai1oredtfaparticudevelopedn.Notethaorganizatiocy-specificns.OntheothsposaISched)meettherelarorganizandimp1emetbothpublinsCalldevelschedule.erhand,Agencu1esa1ecordsmanagation.Itisntedbyoneocandprivat)pa11ageny-SpecificRetementneedsorganizatioecordshedu1%RecordsRetentionandDisalScheduleoffefits.TosthelpsiZatiededbtherwirdsretontoythestrseacommercientionanddsththattothaduleensurtionforopcordnedfortheappropriateperiodoftime[29].Thespurposesarchedulealslandevidentia1va1ue.Theschedu1e1egitimizesthionofrecordsthusodstoexplahelpingrecinwhycertadestroyed.Itsupportsthemaintenanceofvita1recordsprotectionprogram.Aschedu1ea1sohe1pstheremova1ofinactiverecordsfromexpensiveofficeaccommodationhence

42helpinginthecreationofstoractionmakesaRecordsgespaceforactiverecords.ThisfunRetentionandDisposa1Schedu1sretrieva1硒active協(xié)etobeafaci1itatorofquickerrecordrecordsarenotmixedorfirds.nerecordsretention1edtogetherwiminactiverecoanddisposa1schedulef1eesupcompdiaforre-use.uterstoragemeFromtheabovementionedbenefitsfitea1Ibeagreedthatarecordsretentionanddisposa1schedulritica1eisveryimportantinthemanagementofrecords,inensuringsmoothmanagementofrecords.Onecou1dthereforearguethatma1admionofrecordsatUNZAispschedulrecordtymakeofficeeareatprobabtdiffirecordchedu1a1sober)dsatthe?art1yate.Theabsretentsitdiffrstoknooanothe1ymixincuIttors.Theabeattheuesponsib1institutitributasenceofionandicu1tfwwhentr.Theyactiveetrievsenceoniversefortheb1etot1diSpOSorrecootransandactethenefrecoritycoude1etinfieiackoa1scherdsferreciverecededdsrete1dandmissfarecordsretentionduleattheuniversiordsfromonestoragords,thus,makingintionanddisposa1singofimportantrecorfficersdonotretaretentionperiod.Theydisposetherecordspremature1yordestroythem謝tl1intentiont〇一destroyevidenceoftheirbadactionsinthei「offices価thereisnorecordsretentionanddisposa1schedu1etoholdthemaccountablefortheiractions.InsomeStatesandGovernments>a11pub1icorganizationsareobligedtouseageneraloragency—specificrecordsretent1onanddisposaIschedu1einthemanagementofpublicrecords.Forinstance,alIpublicschoolsintheStateofMichiganintheUSAareobligedtouootheStatedeve1opedschedu1einthemanagementofpubIicschoolsrecords.TheschedulestatescIear1ywhenrecordsshouldbetransferredfromonestorageareJ1toanother.Ita1sostateswhichrecordsshouldbedestroyedandwhentheyshouldbedestroyed.Inthisway,StateAuthoritiesmanagetominimizema1administrationofrecordsinpublicinstitutions.

433.6.5.2ActiveRecordsManaMa1administrationofrecordsinmanyorganizationsaffectsmainlyactiverecords.Manyorganizationsfai1toproperlymanageactiverecords.Activerecordsarerecordsrequiredforongoingoperationalpurposesandarereferredtomorethanoncepermonthperlinear[301.Thesearerecordsthatalefrequentlyusedbyofficersinorganizationsandtheyaremain1ykeptinofficesofindividualofficersortheregistries.Theserecordsneedpropermanagement.AnyrecordsmanagementprogramshouldclearlystatehowactiverecordsaregoingtObeorganized.ActiverecordsneedtobeclassifIed*indexedandfiled.ActiverecordseitherinofficesorregistriesneedtobeorganizedSOthattheycanbeeasi1yretrievedwhenneeded.retrievalandmaintacordsinofficesandprocessbywhrsubjectmaieva1[311.ntoforrecordsidandprocedstem.0the1arsdefinecordswitrdocumentsatoke印a111iordsnsfileintegrity.Notethatpeoplemanagingre3.6.5.2例icationoRecordsclassQぶdcategorizfi1ingonthery,andareasnumberforeftificationabusinessactngtOlogicalconventiondinac1assiorganizatitionasthegcommoncharas[32].Thepobasisoftheisignedafileficientretrndarrangemeivitiesand/iystructures,methods,ficationsyonsandschoroupingofrcteristicsointofhavingionsystemisxpeditesrecichrecordsartterandsubjItisthesystntocategoriuralrulesrrerecordsclhwithsimi1arkerecordstoeidentifiedectcategoematicidenesaccordiepresenteassificafunctiongether.whiregistilesshouldclassifyrecordsaccordingtorecordsclassificationsystemoftheorganization.Ciassificationsysternssortrecordsbymajorclassesandthenfurtherbreakindividualfiles.Themajorc1assnameunctionormainpthesub—c1assisasman.Forexamp1e：usuallyisdecidedbythemajorfurposeofrecords；11componentofthemajorfunctio

44MainC1ass：HumanResourcn1doleazc.1tireeesrehhtTy+n0mad1ncSu■fsdJuohhwybr〇cecroeNedd.ncjuejbusplathcecerujsbysuodhCtCPoiuerordsust1tenuraggritparcordsfromtheitor《ii)FunctionCificationClassdsbytfunctisa1oifyingrechepurposeiontheysegica1arraordandzingrecorfannd,iitierve.Functngementofutionsbusines3].Functionsanailsandorganizatiogamation,.—gorevinbasedsfunctionddeneanab——fusofanorgani1anning.C1afunctionsivecontextord/orvensansifrecordswithmarctsthlace.ochangethroughama1

45dev〇1utionanddecentra1ization[341.Thestructureofallorganizationmaychangemanytimes>butthefunctionsanorganizationcarriesoutusua11yremainmuchthesameovertime.(iii)OrganizationalClassificationAsarticulatedabove*recordsCana1sobeclassifiedonthebasisoftheorganizationa1structure.Departmentsandunitsofanorganizationformthebasisforclassifyingrecords,Aspointedout,thisisnotastablewayofclassifyingrecordsasdepartmentsandunitsof3.6.5.2fqlndexingofrecordsAftercategorizingtherecordstthereisneedtoindexthem.Indexingistheassigningofsearchretrievaikeys(terms)torecordsseries.filesordocumentsinordertoenableusersfindparticulalitemswhenneeded[35].Indexinginvolvesassigningindexterms(codes)torecords.Thesecodesshouldbepastedonboththerecordsfilesandthefi1ingequipmenttoensureeasyretrievalofrecords.Normallytheseindexterms(codes)a1ea1pha—numerica1.ThesecodesorindextermsaleassignedtotherecordasshHRHumanResources(mainc1asownbesiow：HR—01Payro1lOffice(sub—c1ass)HR..01..02Timesheets(file)Theindexingsystemshouldfollowthehierarchicalprinciplewhenassigningcodestorecords.Thegeneralindexterm(code)forinstanceHRcouldbeassignedtotherecordsmainc1ass(thehumanresources),thenHR.,01andHR—01—02tosub—groupsasshownabove.Theseindextermsshouldbeexp1ainedina11indexSOthatotherpeoplecouldunderstandwhattheystandfor.3.6.5.2fDJTheinterdependenceofclassificationandindexingfunctionsClassificationandindexinginpracticealeinterdependenttasks.Asarticulatedabove,classifieswhi1eindextionentai1sdecidingwhatadocumentorrecordsisabouinginvolvesselectingtheappropriateretrievalkeysortermsforthatdocument.Whatistrueisthatcategorynamesofrecordsareusedasindexterms(retrievalkeys).ForinstanceHRwhichisrepresentingrecordsforthehumanresourcefunctionistakenasanindextermforal1thehumanresourcerecordsofanorganization.Thismakesc1assificationand'-indexingtaskstobeinterdependence.3.6.5.21E)Fi1ingofrecordsAPcrclassifyingtherecords,thereisneedtodeterminehowtheywi11befiled.Therearemanymethodsusedinthefi1ingofrecords.Theseincludealphabetica1?chronological,numerical,a1(Pルrica1andgeographaacia1fi1ing.Alphabetica1fiiinginvolvesarrangingfilesinstraightalphabetica1order.Forexamp1e,subjectcorrespondencewouldbearrangedfromA—Z,basedonthenameofthesubject.Thismethodisalsoca11edtheMdictionary#*methodbecauseitisthemethodusedindietionaries[36].(1i)Chron〇!ogica1Chronologicalinv〇1vesfi1ingrecordsaccordingtothetime(date)theywerecreated.

46Recordscanbefi1edbytheyearormonthinwhichtheywerecreated.(iii)Numerica1NumericaIfilingplacesrecordsinascendingorderfromthe1owestnumbertothehighest.Thismethodalsooftentel1sthesearcherwhichfilesaretheoldest(the1owestnumberedfiles)andwhicharethenewest(thehighernumberedfiles).(iv)A1pha-numerica1Analpha-numericarrangementusesacombinationofnumericdigitsandalphabetcharacterstocreateaflexiblefi1ingsystem.Recordsmainclassesandtheirsub—classes(V)Geographica1

47Geographicalfi1ingentai1sfiiingrecordsaccordingtOthegeographica1placestheycomefromorrepresenestedbyp1aceort.Whentherecordsofanorganizationarerequ1ocationratherthanbyindividualorbusinessname,geographicalfi1ingisadvantageous[371.Ma1administrationofrecordsattheUniversityofZambiacouldpart1ystemfromthepoormanagementofactiverecords.ltishighlyprobab1ethatrecordswhichareinboththeregistrycentersandworkersofficesarenotproperlyclassified>indexedandfiled.Thismakesitdifficu1ttoretrievetheserecordswhenneeded.3.6.5.3Semi-activeandlnactiveRecordsManagementAwe1Idevelopedrecordsmanagementprogramshouldarticulatehowsemi-act!veandinactiverecordswi11bemanaged.Asa1readyarticulated,semi-activerecordsarethoserecordsthatareinfrequentlyreferredtoandarenoactiveusewhi1einactiverecordsrethosethssofanorgatalenolonganization.rday—to—daySemi—acdpaperrecordjtもstifytheirbceandequipmens)arenotuseeingstoredint.Theyshoulddoftenenoughprimeofficespanotcontinueoccupyinganorganization'Sexpensivecomputerharddisksoroffice/registryspace.Semi-activerecordsshoulcithereforebetransferredfromthesehighcoststorageareastolowercostareas.ThoseinpaperformatshouldbetakentOrecordscenters,fhoseine1ectronioragemeditapes,mferringstoragearhouldbeforegard?thretentiondestroyed.ouldbetranlowerstoratareasresucformatsasuchasmagnetisemi-aeas?aRec1lowed.1osesemi—periodshOnlyrecorsferredtogearea.Th1tsintheshouldbetagneticcDiscsectivereordsRetennthisactiverecou1dbedswhoseretetransferoransferretC.NotecordstotionandDiordsthathentionperifsemi,actidtoinexpthatwh1owercsposa1Scavereachodhasnoteverecordsensivestentransosthedu1esedtheirxpiredshto1owcosreductionofthefatinthesystemofactiverecordstoreducethesearchtimetofindcurrentrecords【381.Inaddition.expenditureonstorageequipmentforrecordsisminimizedasspaceisfreedupbytakingrecordstomore1owcoststorageareas.3.6.5.3㈣RecordstransferringprocedureVv*Jlentransferringrecords*ensurethattheyaretransferredasagSroup.Recordsshouldnotbeseparated.A11therecordsgroupsthathavebecomesemi—activeshouldbepackedandtransferredtogethertotherecordcenter.Thereisneeda1sotowritedowna11therecordsthatarebeingtransferred.Arecordstransmitta11istisusedinthisexercise.Thesize(v〇!ume)ofrecordsgroups,theperiodtheycoverandotherdetai1sshouldberecordedinthetransmitta11ist.Whena11therecordsarriveattherecordscenter；theyshouldbecheckedagainstthetransmitta11isttoensureaccuracyandaccountabi1ityofthetransfer.3.6.5.3(B)A膩angementofsemi—activerecords.ntheRecordsCenterRecordsintherecordscentershouldbec1assifiedandfi1edinthesamewaytheywerecIassifiedandfiledintheregistryoroffice.Thisisdoneinordertomaintaintheintegrity

48ofrecords.Ita1soc1H1sureseasytrackingandretrievingthetransferredrecordswhenneeded.3.6.5.3側(cè)Disposal。fina.ctiver.ecords.Oncethesesemi-activerecordsbecomecomp1ete1yinactive,theyshouldbedisposedofin1inewimtheRecordsRetentionandDisposa1Schedu1e.ThisrequiresacomprehensivereviewofaiItherecordsinrelationtowhattheRetentionSchedulesayabouttheirretentionperiod.Thoserecordgroups,whoseretentionperiodstate’キermanent",shouldbetakentothearchiveforpermanentstorage.ForthosewhoseretentionperiodhasexpiredandIheSchedulestatesthattheyshouldbedestroyed.theyhavetobedestroyedaccordingly.ThesafestandenvironmenhaclfdTsises用れし年円熱ナ專バ*バ＜?"リ咼るP墨」冉diceadbedonebytheorganizationitselforcontractanotherorganization.Unwantedrecords(especia1lypaperrecords)cana1sobesoldtoapapermakingcompanywhichcanrecyclethem.RecordsinelectronicformatshouldbedeletedSOthatthestoragemediacanbeused.CareshouIdbetakenwhendestroyingrecordstoeFisurethattheconfidentiaatyofrecordsismaintained.

49AI1therecordswhichaleduefordestructionshouldberecordedonarecordsdestructionformtoensuretransparency.Thedetai1storecordonthedestructionformincluderecordsseries,theyearstherecordscoverandthepemonororganizationthatwi11carrythedestruction.3.6.5.31D)ArrangementandorganizationofarchivesForthoserecordswithvalue(archives)shouldbetakentothearchivesandbearrangedinthesamewaytheywerearrangedintherecordscenter.Thisispossib1eifthearchivalfaciiityisin-house.Evenifanexternalarchivalstoragefaci1ityisused,recordsshouldbekeptaccordingtotheorganizationtheyarecomingfrom.Recordsemanatingfromoneorganizationshouldbekepttogether.Recordsinthearchivalfaci1ityshouldbewel1classified,indexedandfiledtoensureeasyretrieva1.s3.6.5.3《E)TrackingthemovementsofrecordsToensurethatthemanagementofbothinactiveandactiverecordsiseffective,thereisneedtodeveioparecordandfiletrackingsystemformonitoringthemovementsofrecords.Atrackingsystemenablesrecordsofficerstoknowwhereafileisa1atime,whetheritiswithaparticularuser,ontheshe1vesorinsecondarystorageH4].Atrackingsystemcontrolsthemovementofrecords.Trackingsystemsa1ecardinalinthemanagementofpaperrecords.Bothmanua1andautomatedtrackingsystemsareused.Manua1trackingsysternsinc1udefi1emovementbookregisters>emovementcardsandfi1emovementtrackers(fi1eoutcards)areusedtotrackthemovementofrecordsinorganizations.Automated(electronic)filetrackingsysternssuchasdatabasespoweredbybarcoclingtords.Notetechn〇!ogyahatasimplereusedintrackingthemovementofreccomputemovemenopedandusedintrackingtherdatabasecanbedevetsofrecords.Thechoiceofwhetherhavinganelectronicormanualsystemisinf1uencedbyanumberoffactors.WherethenumberoffilemovementsiSlessthan400pe

50systemssuchaslocationcards,indexcards,docketbooks,andfiletransfersiipswi11suffice(451.Seriousconsiderationshouldbegiventotheuseofcomputerdatabaseswhentherea1emorethan400fiIemovementsperweek.Anelectronicsystemreducestheamountofpapergenerated.andthereforethevolumeofpapertobestored.Itisalsomoreefficientasitspeedsupinformationretrieva1andreducesmisfi1ing.Theprob1emofma1administrationofrecordsattheUniversityofZambiacou1da1sobeparllyattributedtoalackofaproperrecordstrackingsystem.Intheabsenceofaproperrecordtrackingsystem,itisdifficu1tforrecordsofficerstotrackthemovementofrecords.Thisresu1tsinthe1ossofsomerecordsintheireustody.3.6.5.4VitairecordsprotectionsocaterforthemanagementandArecordmanagementprogramshou1da1protectionofvita1recordsfromelementssuchapestinfections,thefts」拿re,floods,excessivehumidity,andde1ibercordsarerecontinuedfuncduringandafteanda1sothotherightsaatedestruccordsthatationingorrecoranemergencyserecordsendinterestandoftheindividua1sdirect1yafareessentialrecordstionofrecords.Vita1rereessentia1tothenstitutionofanorganizationssentia1toprotectingsofthatorganizationfectedbyitsactivities【柏I.Thesewhichcancostanorganizationaegandanarmiflost.Theya1eneedediestabiishmentofanorganizationinaneventofadisaster.10%ofanorganization'Srecordsconstitutevita1records.RecordsmanagersshoulddevelopaplanOnhowtoproteetvita1recordsf41].//IdentifyingVita1recordsThefirststepindevelopingthisplanistoidentifyvitalrecords.Foridentifyingvita1records,oneneedstounderstandtheobjectivesandfunctionsofanorganization.Thisunderstandingisthefoundationforknowingrecordswhicharevitalandwhicharenot.Thereisneeda1sotolookattheresultsofarecordsinventoryexercise.Theinventory卜r圖ちideinformationontheorganization'Srecords.Seniormanagersintheorganization

51shouldbeinterviewedinordertoobtaintheirunderstandingofwhicharethevita1recordsassociatedwiththemajorfunctionsoftheorganization.A11recordsshouldbeinvestigaicrecordsvita1recoructionsshotedregarareidentds?computu1da1sobedlessofmeifiedasersystemsporinstancnsandoperaincludedsothattherecordscMbeaccessed[421.Notethattheretentionofthesevita1recordsshouldbeiniinewithwhataRecordsandRetentionSchedulestipu1ates.00IdentifyingPotentia1RisksAfteridentifyingvita1records,thereisneedtoidentifythepotentialriskstheyface.Tosuccessful1yidentifytherisksrecordsface,thereisneedtoconsiderthepolitical,localgeographoconsideicalandenvironmenta1factors.P〇1iticalfactorstrincludethepolitica1stabi1ityofthep1instabi1itycouW卸I'Sandotherciviographicalandlaceorcountryoneisoperatingin.P〇1itica1dresu1tinIstrifethatcouldleadtothelossofrecords.Geenvironmenta1factorstoana1yzeincludethepossibi1ityofthep1aceoneisoperatinginexperiencfloodsetengearthquakes,snow.A1s〇1〇okatthenatureofworkdonebytheorganization.L〇okattheactivities/functionsofanorganization.Someoftheactivities/functionsofanorganizationcouldposeathreattOitsrecords.Forexamp1e,theinte11igenceofficesinPakistanwerebombedbytheTaiibaninOctober,2009becauseitWasprovidinginformationabouttheTalibanactivitiestothePakistansoldiers.Therearethhnicalandhcategoriesofrats.isks.Thesearenatura1tecNaturalthrinterna1fiooding,externalflooding,seismicactivitierms,volcanicerup(earthion,inds,snowandicestotornado,hurringthetechnicacane,epi1threatsincludewave,typhoon.Amopowerfailure/fluctuationtheating,venningfailure,ma1functionorationorairconditiofai1ureofCPU,fai1ureoftionsoftwate1ecommuionsfai1unicationsfare,andnuc1esystemsoftware,failureofapplicailure,gasleaks*communicatarfa1lout.

52Humanthreation,burg1terrorism,ion,War,bicontaminatehiclecrasworkstoppagercrime*431.(iii)RinkingRanktheideneasurementttsarerobary,vandcivi1dis〇1ogicaIion,radih,airpore(InternasksRatif1edrisermssuchbery,boma1ism,order,chationcontproximiI/Externaksintermsbthreats,emica1spitaminatioty,1),andcompembezzlem11,sabotan,hazardoute1ih〇odoccent,extorge,exp1osuswaste,vurrence.Masveryhlgh.high.Iow.verylowareassIgnedtoalllherlsks.Therlsks謝也very?功haveaveryhi曲1ike1ihoodofoccurringandprotectivemeasuresshou1dbeinstitutedtOprotectrecordsfromtheenvisageddisasters.3.6.5.4.(A)Vitalrecordsprotectionme納odsTherealebasicallyfourmethodsusedinprotectingvitairecords.Theseare.ndispersal,dup1ication,on-sitestorageandoff-sitestorage.何Dispersal—Thisisbothunplannedandplanneddistributionoforganization'Svita1recordstootherbranchesandoffices.Itisunp1annedinthesensethatvita1recordscanbesenttootherofficesjustforadministrativepurposesbuttheyendupbeingabackupfortheoriginalcopies.Itisplannedifthedistributionofvitairecordsisforprotectionpurposes.Usingdispersal,copiesareusuallysenttodesignatedofficesinotherlocationsunti1thevita1onrequirerecordsretentmentsaremet.Oi)Dup1iionRecordsthaoduced.Extrecordshavs,keepinmiv〇!umeofreccatta1evita1racopiesoetobemadendthesizeords,frequtotheorganfthe.Whenmakinandencyofupdatizationhagextracopes,storagevetoberepriesofrecordfaci1ityreqconditionsforrecoyinformationmediauirementsandenvironmenta1rds.Duplicationcanheinan：paper,microfi1ms,electronicormagneti

53Thisinvolvesstoringvita1recordsinfire-resistantcontainers.fandfi1eroomsdesignedforthepurposeofvita1recordsstoragewithintheorganization'Spremises.Suchstoragereceptaclesshouldbewe1Imarked?andtheagency'Sfireprotectionplanshouldincludespecialprecautionstopreventfirefromspreadingtoareaswheresuchequipmentislocated.Notethatthecontainersshouldbegoodenoughtowithstandenvironmenta1factorssuchastemperatureandhumidity.ThiteQ19iキsQegpQnalorcopiesofvitaecordsinfacilityoutieyourorganization.Inthisregard*therecordsCanbesentforstoragetoasisterorganizationorparmerorganizations.Alternatively,recordsCanbesenttoprivate1yownedrecordsoff—sitestoragefaci1ity.Advantagesofanoff-sitestoragefaci1ityinc1udegoodenvironmenta1controlsfortemperature,humidity*airfi1trationandcircuiationandotherdetectionandmonitoringdevices蟀necessary.Inaddition,thestaffaretrainedinrecordsmanagementandthefaci1itieshavethelateststoragerequirements.Thesecurityinanoff-sitefaci1ityusua11yhasstate-of-the—artsecuritydetection.Inconcomitancewiththeabovearticu1ationonvita1recorcisprotectionp1an,theproblemofmaladminislrationofrecordsatUNZAcouldbepartlyduetothelackofaplantoprotectvita1recordsoftheuniversity.Asaresu1t,vita1recordsoftheuniversitygomissing,hencehamperingtheeffectiveadministrationoftheuniversity,3.6.5.5Forms,correspondence,reports,p〇|icyandproceduresdocumentationmanagementIntraditiona1recordsmanagement*emphaSishaSbeenpIacedonthe1aSttWOphasesofthelifccycleofrecords(maintenanceanddisposa1).Thefirstphase(creation)hasbeenneglected.Thegrowingpracticeofcreatingandkeepingrecordsinelectron1cformatshaSnecessitatedtheneedtocoordinatea11re.cordsmanagementactivitiesfromthecreationto

54thedisposalstageofarecord.Asaireadyarticulatedtarecordscontinuummode1hasemergedinthesphereofrecordsmanagement.Theproponentsofthismode1contendthattheefficiency、加t1Iwhichelectronicrecordsarestoredandretrievedisdependentonthecontrolsthatwereimplementedduringthetimeofcreation.*hisindisputabletosaythatcorrespondence,reports,policyandprocedura11nformationandformsconstitutethemajorfourtypesofrecordsinorganizations.Itisimperativethereforetoprescribehowtheserecordsshouldbecreated.Programsandcreationcontr〇!measuresofthesetypesofrecordsshouldbec1ear1yarticu1atedtoensureefficiencymanagementofrecordsinanorganization.oiorTnfcang3.6.5.5例Benefitsofcontrollingthecreatiofcorrespondence,reports,policyandprormationandf〇rms力口anofAytri%Jebenefitsthataccruetoallorganizationfromcontr〇11ingthecreationofcorrespoMence,reports,policyandproceduralinformationandformsincludethef〇11owing：>Thereiscontroloverthevolumeofinformationbeingproducedina11organization,makingiteasyformanagerstomakedecisionfasterinthatthedocumentstheyhavetosiftthroughandassimi1atea1eminimal.>Minimizationofdup1icationsiSachieved,thuslesseningpressureonthestoragespaceneededforrecordnddirecepeop1ewhoneed>Informationisitintheorganiz>Theressingo湖..?

55j〇3uiipueqiBjaudSpusuo1lejaudSaqiJdAOioj1u〇o,qsifqBisaoj^aaspfnoqsua44iJMjaq4opue4sdI\s3ui)nojuinpuBJouiaui*spjB3)sod'sjaaqsAjBuiuins(s)uauissjopua*sluej3jfe*sui8j3aia4[山j(luò)oj'suinpuujouiaui^ja))a?JO4sTsuooaouapuodsajjoQaouapuodsajJooSujSBubuijojuibjSojJlgJg?g,9?g*spjooajj0sadA41uajajjip9uiSBUBUisuiBjgojdJaqioq4tmsui[aabq0s[bp(n0qsuBjduoiiOBaq^,uiBjSojdBjos[BO^pspudiuisq;aAdiq38O1pau9isapsai)ゼp-rつ乜?ケu『ザ@喉ゼゴ!0iuauid01aA3Q團(tuán)saI1lunjjoddopuBs〇ajbuiajq0jdpue4pa)en?BAapuppauiuiexaaq)snuisajnpaoojd]uasajjsojnpaoojdiuas9JdjoA9Ajns(///)方ハザfセ/ぎ升BJgOJdXUBJIlUB)JOdUITS14UaUIdSBUBlULUOJjS?s9T1TIIqTSUOdS0JU§TSSBpUBUIBJSOJdOuiiosTBoSauiinoTradspinousAoitodautuiBJSoJdaqiSuizjjoq4nB4uaUI33BUBUIUIOJJlUSUiaiBlSAOl{OdBJOUOl1BUIUI9SSIQ0/)'aouBuiJojjad^JOMjiaq4uisaA|asuiaq4pueuoi4bziuB3J0aq441jauaq([1muiBj2oJdaq)MOq33SJJB)SpUB4UdUId3eueUl)Bq]3jnSU3*SllJdU3qA3U3I3TJJ3pUBlSO3JOsujja4uIpaqonooaqp(noqsaiBjSojdaq4jos]b03aq1*spj0oajj0u014BjauaSpuBUoi4baj3aq4Sui[|OJ4UO3Uip9paausiuiBjSojdBq3nsXqMa4B(n3i4JbAjjBa(3pjnoqsjaSBUBUiSpJO33J3111,MSIldUlO33B0]SpUd4UllUBJ3OJddq448qMA{JBdI39UI4B4SS3A[OAUlSiqiuiBJSojdaqiJosiBoSaqiSuiuijaafij)：2urm0j1ojaqiapniauisdd4S3Sdqi,psm0jj0j9JBSd3)S|BUipJB3U|B4U33*J3A3M0H*SpjO33JjOSddA]4U3J3JJ1pJOUOI!BJ3U3SpUBU0I4B3J3aq4aSBUBUiQ4suibjSojd9spJO3aJpjouoi4aaauaSpu[aaa0(0)g?s-9?￡uidO[aAapuaqMpaAo(dapajBspoq4auipuBsaqoBOJddBAuB^josadA44uabuoi4Baaoaq4aSBUBuio4suibjSojd

56correspondenceinordertoenhanceproductivityinanorganization.TheobjectivesofanycorrespondencemanagementprogramaretOlimitcorrespondencetOessentia1ityofcorrespondence,requirementstOimprovethequa1provideforitscreationinaneconomica1andef五cientmanner.3.6.55{clIGoa1sofacorrespondeneemanagementprogramThegoalsofacorrespondencemanagementprogramincludethef〇!1owing：>ReducetheCOStofproducinganddisseminatingcorrespondence.>Toimprovethequa1ityofcorrespondenceintermsofpresentation,readability,andtime1iness>Toreducethetimetakeninproducingcorrespondencetherebyimprovingproductivity.>Tofaci1itatethestorageandretrievalofcorrespondence.We11preparedcorrespondencewithappropriatereferencing,andformattingiseasiertostoreand,retrievef48】?3.6.5.5(c2)FacetsofcorrespondencemanagementprogramThemajorcomponentsofacorrespondencemanagementprogramincludethef〇11owing：(i)Aprescdenceinthinstanca,billsdesignedaanization(ii)Pr〇Viite)correorganartmetraiI)ing.uch(iii)DeVetimeistakrespondonebyautomatesotheneeriptionofaseorganizatietemplatesfandreportssndf〇!1owedbyadingtraininspondenceinization.ntshou1dlopingstrateninproducidingtOcorimplementdcorrespondidt0insta11ty1eforwon,Fororwritinhou1dbe11staffinagtOworketheThehumbeaskeegiestoengandrespondinganngmanagerritinga11g1etters,norgrsonhowtanresodt0orgnsurethaence.Thlentsyster1corresponmemorand0create(wrurcedepanizestininimumiscou1dbe1.Thereisa1

57wordprocessingsoftwarethatwi11makeitpossib1eforthestafftoproducequa1itycorrespondence.Staffshouldalsobeencouragedtocommunicateinformation(correspondence)usingcosteffectivemethodssuchase—mai1sandtelephonevoicetoavoidrelianceOllhardcopySOastobeefficientandcutclownonthecosIofrecord$managementInIheorganIzatIon.ThereIsneedaIsolodiscouragethehabitofprintingsomanycopiesofcorrespondence.correspondence(iv)Supportfromstafftoensurethatmanagementproceduresareouldbeachievedby1PofusingthesoftwataffaIwayshavingexpre.ensurecontinuandupdatethecorrespondencemanagementprocedures.3.6.5.5tD)ReportsmanagemenlprogramReportsconstitutethebasisuponwhichorganizationsmakedecisions.Areportissynonymoustointe11igence(actionableinformation).ReportsheIpdeterminewhere,whyandhowprob1emsOCCUr,therebyallowingagenciestobetterdeterminewaystodistributeresources,manageroutesandoperatesystems.Reportsmanagementisaboutmanagingthereportingsystem[491.Asystemonhowinformationisc〇1lectedanddistributedinanorganizationneedstobedeveloped.4.6.5.5(DOGoa1sofareportmanagementprogramThegoa1sofareportmanagementprogramincludethefol1owing：>Toimprovethequa1ityandcosteffectivenessofreportingsystemswithintheorganization>Toensurethatexistingreportseriesaremeetingtheneedsofmanagers>Toe1iminateduplicationandunnecessaryreporting

583.6,5.5(02)FacetsofareportmanagementprogramComponentsofthisprograminc1ude：>Aninventoryofreportserieswithintheorganization.Itisimportanttokeeparecordofal1theexistingreportseries.Detai1sofeachseriestoberecordedincludetheoriginatingandreceivingdepartments,titIe,reportingnumberingsystem,fi=.equency?datestheinformationisrequired?authorityandexpirationdate.>Aprocedureforassessingeachnewreportingrequirement.Beforeconsideringopeninganothernewreportseries,thereisneedfirsttocheckthereportseriesinventorytoseeifsomeoftheexistingreportseriescapturetheneededinformationorsomeseriescou1dbeamendedtocoverthenewinformationneeds.>Aformfornewreportingrequirement.AformshouIdbemadeavai1ab1etothedepartmentsrequiringnewreportseries.Thedepartmentrequestinganewseriesshouldexplainwhytheneedforanewseriesandtheprocessesinvolved.stingreportser>Aperiodicreviewprocesstoensurethattheexinecessaryandcosteffective.nethevalueofre>AreportscostingsystemshouldbedeveIopedtoadequatelyassesthecostofreportingSOthatmanagementcandetermiportseriesinanorganizatio3.6.5.5《E)F0mmanagementprogramFormsconstituteoneofthemajorrecordsinorganizations.Formsa1eusedinthec〇!lection,processinganddisseminationofinformationinorganizations.Aformisatoolusedintheoperationofanagency*sbusiness.Itisadocument*onpaperorelectronicmedia,whichiscarefu11ydesignedtogatherandtransmitprescribedinformation[501.Generally,aformisusedininitiatinganaction,recordingatransactionandreportingsomething.Aprogramshouldbedevelopedandimplementedtoensurethatthedesignandgenerationofformsinanorganizationaremanagedinordertoavertunnecessarypaperrecords.Thefacetsofaformprograminc1ude：_AninventoryofaUformscurrentlybeingusedinanorganization.Thepurposeoftheformandthemethodofenteringdataontheform(suchasuseapenci1orfi11on1ine)shouldbestated.Theformatoftheformshou1da1sobestated._DeveIopahumberingsystemforeachandeveryform.Thenumbercou1dbeacombinationof1ettersandnumbers[sq.Lettersrepresentingadepartmentrequestingaformplusthemonthandyeartheformwasdesignedcouldbeused.Examp1eofanumb-AneumreAPaM"IQ〇1/2

59?Formdesignguidelinesshouldbeestab1ished.Guide1inesonhowtodesigntheformsshou1dbedeve1opedandmadeavai1ab1etothoseinv〇!vedinthedesigningofformstoensurestandardizationofformsinanorganization.Proceduresfortheproductionofforms.Formscouldbein-houseproducedorengageaformproducingfirmtodothatfortheorganization.?DistributionandstorageproceduresshouldbedevelopedandensurethataninventoryisestabiishedSOthatthereiscontinuousrep1acingofformswhenthe

606.5.51F)Poementprogrndproceduremanures(manua1s)alecreatedbyorganizatio1oyeesshouldperfotuteoneofthrmtheirterecordsasks.P〇1iciesandproceduresequailyconstiorganizaordsshouprogramshistingp〇!ionsaccumuldbedrawnup.uldincludeesciesandate.AprogramtomanagetheserecThetabiishingacompletelistoftheexprocedurencludethetoavoidduplistab1ishmentcationofefforts.Itshouldalsoiofap〇!icyandpensurestandard!zesthatalegrocedurereviewprocess.Inaddition,theprogramshouldationintermsoftheformatsofthepoliciesandprocedureneratedbytheorganon.Theprob1emoeexacerbatebyp〇ormanagforms.reporandp〇!icforms,recontr〇!1onofalotmakingitdianage.izatifmaladministrdementofthecretsies.Thecrportsandped.Thishaofunnecesfficu1ttomitionofrecoitionandgeieationo〇1iciessresuitsaryrecrdsatUNZAcou1erationofcorrfcorrespoisprobab1edintheacordsthusdbeseentobespondence,ndence,ynotcumu1ati3.6.5.6E1ectronicrecordsmanagementElectronicrecordsmanagementisalsoamajorcomponentofanyrecordsmanagementprogram.〃Electronicrecordsareinformationalordatafilesthatalecreatedandstoredindigitizedformthroughtheuseofcomputersandapp1icationssoftware"[521.Theseelectronicrecordsarestoredonvariousmagneticandoptica1storagedevicesandareproductsofcompcTransactionAcTheUniformElectroniutersandcomputersoftware.t(UETA)defmeselectronicrecordsas**arecordcreated,generated,sent,communicated,received,orstoredbyelectronicmeans,*.Itiscardinaltonotethatelectronicrecordsarepartofabigfami1yca1led*"digitaiobjects''.Theyareaigitalobjectsbecausetheyarecreatedandstoredinnumerica1form(representedbynumbersOsandls)andon1yamachinecanreadthemandrendertheirmeaningtohumanbei11薩throughuserinterfacesuchasacomputermonitorandcamerasE1ectronicrecordsposemorecha11engesthanpaperrecordstorecordsofficershencetheneedforanyrecordsmanagementprogramtOaddressthemanagementoftheserecords.Inmostorganizations,electronicrecordsarekeptincentralizedanddecentralizedDataBaseManagementSystems(DBMS),E1ectronicManagementSystems(EMS)andDocumentManagementSystems(DMS).Somee1ectronicrecordsarestoredonpersona1computers'harddrives,OpticalDiscs(CDROMs/DVDs),MagneticTapes,FlashDrivesetc.Toensurethatelectronicrecordsaleeffectivelymanagedandtheirauthenticitymaintained,organizationsshou1ddeve1opandimp1ementane1ectronicrecordsmanagementprogram.Theprogramshouldinciudethefol1owingcomponents：

613.6.5.6例GuidelinesOnsoftwaretoprocurefore1ectronicrecordsmanageAsaireadyarticu1ated?manyorganizationskeepandmanageeWTeQnrIonicrecordsinDataBaseManagementSystems(DBMS),ElectronicrecordsManagementSysterns(EMS)andDocumentManagementSystems(DMS).Itisindisputabletosaythatnota11EMS.DBMSandDBMSsottwarearesuitab1eforthemanagementofrecordsandotherinformation.Somedonothaveinbui1tsafeguardsandcapabi1itiestoprovideaudittrai1ofrecords.AudittraiIrecordsaIeimportantast1leyprovetheauthenticityandre1iabi1ityofrecordsinthesensethattheydocumenta11theactivitiesthathappentorecords153].Audittrai1recordscouldbethedetai1sofapersonwhoeditedtherecordsandwhenthea1terationsweremadetotherecords.Withoutaudittrai1,youcannottrackwhathappenedtoarecord.Inaddition.otherrecordsmanagementsotiavaredOnothaveinbuiItmechanismstoprovidearchivalservicesSOthatinactiverecordscouldbepurgedfromthemainsystemandarchived.TI1iscouldresultinthelossofinactiverecordsandotherinformation.Thereisneedthereforetospel1outrequirementsandspecificationsforanysoftwaretobeprocuredfore1ectronicrecordsmanagement.Benchmarksfora11softwaretobeacquiredneedtobesetSOthatonlyrecordsmanagementsoftwarethatmeetsthesetstandar.dsare

62procured.Thiscouldenhancetheauthenticityandre1iabiIityofrecordskeptinthesesystems.3.6.5.6(B)GuidelineSoOnhowtocaptureandkeepwebsitecontentsManyorganizationsprovideservicesandgoodstotheirc1ientsthroughwebsites.Inthisregard?materia1sprovidedonagencywebsitesmustbemanagedasotheragency,Srecords.Documentsthatwouldqua1ifyasofficialrecordswithpermanentorlong-termvalueshouldbecapturedandretainedeitherinhardcopyorelectronicallyt54I.ThismayapplytoindividualpartsoftheagencywebsiteoritmayapplytGuide!inesonhowwebsitecontentsshouldbecapturedandkeptshouldbeestablishedandadheredto.Forexamp1e,ifanagencyplacesapub1icationonitswebsite,andthepub!icationisnotavailableinanyotherform,thenthatpublicationistheofficia1recordtheirwebssusedtocrthenthecolydoesnotiteandhaseatetherepyontheweneedtobepapercopiport,bsiteisadcomputerfecopyandpcaptured.Additionally*ifawebsiteisbeingusedtoconductbusinesstransactions,thewebpagesassociatedwiththeactivitiesaleconsideredpartofthattransactions'1ega1documentationandmustberetainedinordertoestab1ishwhattheusersawwhentheorderWasplaced.3.6.5.6(c)E—maiImanagementguide1inesE-maiImessagesareelectronicdocumentscreatedandsentorreceivedbyacomputerSystem[551.E—maiImessagesaleoftenused舔communicationsubstitutesforthetelephoneaswelmationprevious1astocommunicatesubstantiveinfor1ycommittedtopaperandtransmittedbymoretraditiona(methods.Itissa1ienttOnotethatthesee—mailsde1iversoftwaresystemsthattransportmessagesfromonecomputerusertoanother.Eー?

63mai1systemsrangeinscopeandsizefromaloca1areanetworkemaiIsystemthatshufflesmessagestouserswithinanagencyoroffice；toawideareanetworke-mailsystemthatcarriesmessagestousersinvariousphysicallocations；t〇Intemete—mai1thata1lowsuserstosendandrecelvemessagesTromolherlntemetusersaroundtheworld.Nota11e—mai1squa1ifytoberecords.E-mai1sthatshouldbedeemedasrecordsmustcontaininthemsomeevidencerelangtoofficialorganizationaItransactions.Therefore,personale—mai1sreceivedbyorganizatsideredrecordsandion,Semp1oyeescannotbecontheysholvalue,e—mailseca11edu1dnotbInadditwithoutrecordsemixedwiion,offievidentis、析thevidentiaFore-maiIswithevidentia1va1ueedtoclearlydefinetobemanagedproper1y.thereisnewhate—mai1wi1Ibeconsideredrecclearlythepersonorords.ThereisneedaIsotostatetheofficethatshouldcaptureandretaine—mai1sincaseduplicatemai1saredistributedinthesenderorthereceiverdependingonwhattheorganizationdecides.Decidingwhoshou1dberesponsib1eforcapturingthee—mai1wii1ensurethattherecordsareretainedanditwi11reducediskspaceconsumedbyredundantinformation.Inaddition,theorganizationshouldprescribethemethodsbywhiche—mai1swiIIberetainedtoensurethatmeyaremadeavailablewhentheyareneeded.Thereareseveraiacceptab1emethodsofmanaginge-mai1communications.Oneofthemethodsisbymostorganizations,e-mai1sshouldonlybestoredwithinelectronicmai1systernstemporarily[57].Inaddition,ifthismethodisinuse,e.mai1accountsmustnotbede1eteduntilasupervisorcertifiesthatal1officiaIrecordsinthee-mai1accountshavebeentransferredtoanotherrecord—keepingsystemorthatanyretentionperiodshavepassedandthereisnolitigation,audit,investigation,orrequestforrecords.Advantagesofthismethodincludethefol1owing：

6411lesystemusesexistinginterface；iteasyforendusertomanageanditisavailableviaOutlookWebAccess(OWA).However,therearenorecordsmanagementtool(nog1oba1searchcapabi1ities)avai1ableforthismethod.Theotherdisadvantagesofthismethodareinadvisablelong—termstrategyfrom一Micros。屯increasedcosts(server,storage,backup,etc.),relianceonendusertoadheretopolicAnothermeatarestornaginge—meofthe1beviewedusingthee—mai1c1ient.Ife—mai1itoredonashareddrive,properandregularbackupproceduresmustbeinplace.Advantagesofthismethodinclude：ThereisutiIizationofexistingtechnologyanditeasyforendusertomanagebecausetheyarefami1iarwit11thetechnology.Thedisadvantagesassociatedwiththismethodarenorecordsmanagementt〇〇!(nogIoba1searchcapabilities)andreliance.onenduse1Htoadheretopolicy.,Organizationsandindividua1sCanstore,accessandmanagee-mai1messagesandotherelectronicrecordsusinganEnterpriseContentManagement(ECM)system,suchasmMFi1eNet[5s1.Advantagesofthismethodarethatitenablesgloba1searchandaccesstoal1retainedmessages.Ithasthepotentia1tocapturee—mai1,calendars,contacts,tasks,andnotes.ThereisalsoreducesrelianceOnenduse1"througha1lowingforautomated,rules—basedcapturingofe—mai1s.Inaddition.thesystemallowsselectiveretentionanddispositionofe—mai1sandretentiodisadvaarecostmethodalseresourceandsupptaff).E—mai1seassionandrdita11ownperiodsntagessassocorequires(server0rtSnbemanageceiptdasuserstome.Theassociatiated誦也ssadditionas,storage,edbyprintitaetmai1boed、加t1oWccar1techn〇!xs1zequo1thisme.Thisogyandadtasanethodministrativngsystem.TheAdvandmaintaintheminamanua1fi1antagesofthismethodare

65Noadditiona1technologycoststoa11_organization.Thedisadvantagesassociatedwiththismethodarethatthereispotentia1forhighadministrativecosts,storagecosts(faci1ities,tainers,etc.),andsmokeproof/firepsecurityandr〇ofconauthenticityofe.mai1scouldbecompromised[591.ThereisalsoneedtoprovideguaqyjO^t*errecordngtotheorganiz外Cgheme.Iftheclassiul°dbec1assifiedaccfyandfisshou1dbationa1cfication/fordingto1ee—maiec1assif1assific1ingschemeide1ineso1s.E—mai1iedaccordiation/fi1isaysrecordsshothefunctiontheyserve,thatshou1dbef〇11owedeveninthemanagementofe—maiIs.Fore—mai1sthataremanagedthroughcommereia1e-maiImanagementsysterns,thesesysternsshouldbeconfiguredtomeettheorganization'Sc1assificationandfillingofe*mails.TlehrTcola*thralotInp〇hmtoneandwhatinformationshouldnotbelostduringthepreservationprocess.Inaddition,thereisneedtoassignresponsibi1itytocertainindividualsintheorganizationwhoshou1dbewatchingandmonitoringthechangesinthetechnology.Thisgroup(techno1ogywatchgroup)shouldevenshouldertheresponsibi1ityofpreservingelectronicrecordsfortheorganization.Thereareanumberofmethodsusedinthepreservationofelectronicrecords.Theseincludemigrationandrefreshing.Migrationistheperiodictransferofdigitaimaterialsfromonehardware/softwareconfigurationtoanotherorfromonegenerationofcomputertechnologytoasubsequentgeneration[61].TheTaskForcefurtherpostulatesthatthepurposeofmigrationistopreservetheintegrityofdigitalobjectsandtoretaintheabi1ityforclientstOretrieve,displayandothe.r)viseusetheminthefaceofconstantlychanging

66technology.Otherscholarsobservethatpreservationofdigita1resourcescal1sformediamigrationandformatconvetionandtechnological.obsolescencethatdigita1rcesface*621.rsionsasthewaytoavoiddegradaresounisimportanttonotethatmigrationisbroaderthantrrefreshing**conceptwhichisaprocessofcopyingdigitalobjectsontonewmedia.Migrationaddressesboththeobsolescenceofthestoragemediaandofthehardwareandsoftwarecontrollingandmanagingelectronicrecordsandotherdigitaiobjects.Withmigration,electronicrecordshavetobeconstantlytransferredfromoldhardwareandsoftwaretechn〇1ogytonewonesy.Forexamp1Technology!schangingrapide,inthepastyears,floppydisketteswereused嬲storagemedia(hardware)andcomputerswithdiskettedrivewereinfashion.Buttoday,floppydisketteshavebeenrep1acedbyCDs,DVDs,andflashdisksandnocomputerswimdiskettedrivearepofmigration,e1ectronicrecordsstoredonFlopsferredtonewstoragemediaresent.In1inewiththeconceptpydisketteshavetobetran(hardware)suchasDVDs,andF1ashdisks.Note：Whentransferringelectronicrecordsfromo1dgenerationofhardwareandsoftwaretonewones.ensurethatnoinformationaboutsuchrecordssueh嬲Metadataislost.Anothermethodtoprethemonfi1eformatstserveelectronicrecordsistosave(keehatdonotbecomeobsoletefast.**Afi1eformatisencodingthatmakeselectronicobjectsreadab1ebytrans1atingtheobjecttoahumanreadab1eformwithformatsoftware"*63].Accesstodigita1resourcesoccursatformatlevel：thusfi1eformatisfundamentaltoa11accessibi1ityandpreservationactions.ItisworthnotingthattOOmanyfileformatsexistea1ready.Furthermore,somecompatib1ebothranewfi1eformatversioncannotandsomeareobsoletfileformatsarenotbackwardsandforwardsbeopenedin〇1dversionofthesoftwareandthenewversionofasoftwarecannotopenfileformatscreatedintheoldversion).Examp1esofsuchfi1eformatsarePDFandMicrosoftWordfi1eformats—butwithWordyouCaninstai1afi1econvertertoovercometheaboveprob1em.SinceelectronicrecordsarecreatedmainlyusingproprietarysoftwareappiicationssuchasMicrosoftWord.forlongtermpreservation>itIsadvisabletoconvertthose(records)tonon-proprietaryfi1eformatssuchasXML.Fileconversionsoftwareareavai1ab1etodotheconversionincasetheprogramyouareusingtocreatesuchdigita1resourcescannotprovideyouwithoptionstOsaveindifferentformats.Thisisbecausenon-proprietarysoftwareisnotownedby鋤individualorganizationorpersonandCanbeaccessed、析thdifferentsoftwaresystems；therefore,theyaremorestabIethanproprietarysoftware.XMLfi1eformats,forexample,a1eindependentofthehardwareandsoftwarethus；theydonotsufferfromhardwareandsoftwareobsolesceproblem.XMLfilesCana1sobeaccessedwithdifferentsoftwareandsoftwaresystems[641.XMLfi1eformatisthereforegoodforpreservat

67ionoftextbaseddigita1resources.However,someproprietaryfi1eformatswhicharestandardopensourceformatssuchasPDFCanbealsoused^fileformatforstoringtextbaseddigitairesources,althoughithasaproblemofbackwardcompatibi1ity.Forvideos,itisadvisabletohavethemsavedorconvertedtoPNGformatnotAVIrormat.Photo*shouIdbesavedmain!yinJPGandBMP.3.6.5.6(E)GuidelhTesOnretentionanddisposalofelectronicrecordsTheretentionanddisposalofallelectronicrecordsshouldbeiniinewiththeorganization'SRecordsRetentionandDisposalSchedule.Thescheduleoughttobeadheredto.

683.6.5.7PersonnelforrecordsmanagementprogramPersonnelisoneofthemajore1ementsofarecordsmanagementprogram.Noprogramprogramshouldseektoattract,trainandmotivaterecordsmanagementstafftostayinthe一organization.3.6.5.7(A)CriticalskilIsforrecordsofficersriTaninformatioInthisinformationage,wherethereisanexponentialincreaseinele

69Theheadofrecordsmanagementprogramofa1lorganization(therecordsmanageOshouldbehi曲lyexposedtoDatabaseandWebsitheistheleaderofnagementfunctionsina11oIybehigh1yrganization.Theheatechecordsmanagementbuta1son〇!ogyininformationcommuydatabaseandwebsitedesigningtechnologiesSOthathe/orgoneimpdknbotinaesthemuchadershipinsofantion?Therethaheaeratiftherrtofmannde1ectbeperfothemanagementofbothpaperandelectronayingthat**anarmyofsheep1edbyH1ismanagement1eaderisqua1ifiedanrdsmanagement,his/hersubord1intheirvariouspositi5.7ionughtrwho(B)AcademiofarecordscquManrehasbeennospecou1dbeagerificsetacademicqua1ificatirecordsmanageroaryradministrator,aminimumofadStudies,RecordsManagementorInformationScience謝mabiastowardsdatabaseande.Noteturrentlytherearefewornoinstie1or,Srecordsmanagement.Recordsmcomponentencemajorand3.6.5.7onsofreRe,cordssuIntnemana(C)AcadcordssupervisorsgementofPeandequalificativisorsandc/elerksareveryimportantpersonnelrecords.Theyshoulda1sohavegoodacademicqua1ifications.MinimumqualificationuldbeacertificateinRecords/ArchivesManagementorLiryandinformationItishoweverdisappointingtonotethatmanyorganizationswhentheywanttoemp1oyaregistryofficer,theysethighersecondarycertificateasaminimumquaiification.For

70examp1e,theUNDPinKenya,December(2009),setasecondarycertificatequalificationforacandidatetobeemployedasaregistryoffice1"tobebasedinKenya^S'Thisoqualificationisnotgoodbecauseapersonwithahigherschoolcertificatedoesnotunderstandrecordsmanagementprincip]esandcannotperformbetter.p3.6.5.7(D)ContinuousTraMngandDevelopmentofrecordsofficersSocietyischangingrapidly.Thisimp1iesthateventhewaywedothingssuchasmanagingrecordsischangingrapidly.RecordsofficersneedtObekeptabreastofthechangesore1setheywi1Iberenderedirre1evant.Thisthereforeca11sforcontinuoustraininganddevelopmentofrecordsofficers.Trainingisaprocesswherebypeopjeacquirecapabi1itiestoaidtheachievementoforganizationa1goa1s.InaIimitedsense.trainingprovidesemployeeswithspecific,identifiab1eknow1edgeandski11sfor11seintheirpresentjobs.Sometimesadistinctionisdrawnbetweentraininganddevelopment.withdevelopmentbeingbroaderinscopeandfocusingonindividualsgainingnewcapabi1itiesusefulforbothcurrentandfuturejobs[67].Traininganddevelopmentcouldbeinternalorexternal.Internaltraininganddeve1opmentinv〇1vesin—houseimpartingofknowledgetothestaffintheorganizationthroughactivitiessuchasreentering*workshopsandseminars(faci1itatedbyintemalstaff).Externaltraininganddevelopmentisachievedbysendingemployeestoattendseminars,workshopsandconferencesorganizedbyotherpeop1eandorganizations.Sendingemployeestostudyinuniversitiesandcollegesalsoconstitutesexternaltraininganddevelopmentofstaffinorganizations.Throughtraininganddeve1opment,employeesacquireknowledgewhichcouldimprovetheirperformanceintheircurrentandfuturejobs.Anyrecordsmanagementprogramthereforeshoulddeveloptraininganddeve1opmentprogramssothatrecordsofficerscontinuetoacquiretheknowledgeneededindischargingtherfunctions.Withoutcontinuoustraininganddeve1opmenKrecords

71officersareleftbehindfitstheartofmanagingrecordsischangingrapid1y.Theywi11befai1ingtocontributetOlheefficiencymanagementofanorganization,Srecords.3.6.5.7(E)MotivationofrecordsmanagementstaffItiseasytoattractgoodemployeesbutitisdifficuittoretainthem.Itisdifficulttomotivatethemtoremainwithyourorganization.Forarecordsmanagementprogramtobeasuccessfulstory,recordsofficersneededtobemotivatedtowork.Motivationreferstolhcforceswlthlnapersonthatarrecthlsorherdirection.inIensity,andpersistenceofvoluntarybehavior16弓Althoughmoneyisnottheonlysourceofmotivation.itisaveryimportantmotivationa1factor.Emp1oyeesneedtObeadequatelyremuneratediftheyaretOstaywimanorganizationOreIsetheywiIIhepoachedbyyourcompetitorswhowiIIofferthemmoremoney.Inthisvein,recordsofficersneedtobeadequatelyremunerated.Accordingtoemployees^erceptionofadequatepay.thepayshouldenableemployeestomeettheirneeds.1tsheuldbeabletOmeettheIn*sttwosetsofAbrahamMas1ow'ShpI1FOcmrE.1ndaugodelkwnsienhe.1decfnanseseernlprogramneedsfmanciaosupportrecordsmanagementprogramshou1da1omeanacommitmenttofinance3.6.5.8RnanceforrecordsmanagementprogramNoprojectCanbesuccessfulwithoutmoneyInthesameway,arecordsmanagementsupport.Commitmentfrommanagementttheprogramona11ongoingbasis[69],Securingfinancia1commitmentfrommanagementforrecordsmanagementactivitiesiseasyiftheinitia1studytostartarecordsmanagementprogramshowedpeopleinmanagementthe1ong-te1111costsavingsinareassuchasequipmentand

72isimperativethataI1fundsmeantforrecordamarecontr〇]1edbyasmanagementprogrcontr〇11ingandequipmentsnorecordindividuaentbudgetandsupp1ismanager?1departmes.Oncefinrethereidsmanagemareavailableforrecoitiessuch嬲f(shuō)i11ingsmanagementprogram?issuesoffaci1recordsmanager.Themanagershou1dbemonitoringtheexpenditureonequipment,computers,software,scanners,printers,furnitureandaccommodationforboththerecordsandstaffcanbeeasi1ysortedout(procured).In1ine謝tlltheaboveargumentontinancialsupportforrecordsmanagementprogram,receivemuchfinancia1supportfrommanagement；hence,theproblemofma1administrationofrecords.3.6.5.9ProcecluresforrecordsmanagementProceduresformthebasisoftheentirerecordsmanagementprogram.Aprocedureisaspecifiedseutedinthesaordertoalwaances[701.Eproceduressalefirstdrecordsmanesare姐imporecordsmanrdizationomanagementariesofactiomemannerinysobtainthexamplesofincludeemeevelopedwhagementsysrtantpartoagementprofa11recordctivitiesinnsoroperatsameresultrgencyproenatemisbeinfgrambecausanorganizaionswhichhaunderthesamcedures.Prgdevelopedsetheyensution.Thesepvetobeexececircumstocedure.ProcedurrestandarocecluresCmanua1sandtheyshouldbefrequentlyupdated.Recordsmanagementwhichshouldbedeve1opedandmadeavai1ab1eshouldcoverhowrecordsshou1dbec1assified,howtheyshouIdbedischargedtothec1lents,andhowrecordsshouldbedestroyed.Proceduresshou1daIsoprescribehowrecordsshouldbetransferredfromonestoragep1acetoanother.Procedures/manualsshouldbedevelopedSOthatofficersknowwhattheyshouldbedoingastheydIschargethelrfunctions.,

733.6.5.9RecordsManagementP〇!icyForarecordsinanagementprogramtoenjoysupportfroma1]emp1oyeesintheorganization,managementshoulddevelopapolicyshowinghowitsrecordswi11bemanaged.AP〇!icyisaplanofactionadoptedbyal1individualorsocialgroup[7q.Arecordsmanagemempolicyistheofficia1charterforperforminga11recordsmanagementfunctions.ItshouldrefertOatota1recordsmanagememprogramofanorganizationandtshouldcoveral1thee1espe11theobjectivesofaprogram.Inshort*mentsofarecordsmanagementprogram.Theabsenceofprocedures,p〇1iciesandmanuama1adminisrsonneImanwithomf〇!11sopart1yethereiSma11sbreedstrationofragerecordsowing1aiddxp1ainwhyadministraecordsasrecownprocedurtionofrecorordsofficeesandrulesdsattheUnrsandotherpe,ThiscouldayofZambia.3.6.6ThepositionofRecordsManagementfunctioninanorganizationalstructureThepositionofrecordsmanagementfunctioninthestructureofanorganizationhasabearingontheefficiencyandeffectivenessofanyrecordsmanagemen(program.Whererecordsmanagementfitsinanorganizationa1structurevariesfromoneorganizationtoanother.Whereitisplaceddoescontributetoitseffectivenessorganization[721.Traditiona11y,inmanyorganizations,r^eh。QmUJngnign^Jfかn^cQipnisastafforsupportfunction.Itfa11sundertheadministrativeserviceswhichareheadedbythedirectorofadministration.Insomeorganizations,therecordsmanagementfunctionisplacedinthelegalcounseloffice(thelegaldepartment)becauseofthelegalimp1icationsrecordsbear.Otherorganizationsp1acerecordsmanagementfunctionsundertheInformationTechnology(IT)department.Thisisbecauseoftheemergenceofe1ectronicrecords.Insomeuniversitiesandotherinstitutionsofhigherlearning,recordsmanagementfunctionisundertheofficeofthelibrarian.Itshouldbenotedthatplacingrecordsmanagementfunctionsunderanydepartmentdemeanstheimportanceofrecordsfunctions.Recordsmanagementfunctionsbec.omeacindere1lafunctionwhichisinsignificantwheninfactrecords(informationresource)areamajorassetoranyorsanizatlon.Recordsmanagementlsalinefunctlonwhlchshouldhaveaplaceinorganizationa1charts【73】?Injargeorganizations,itisidealtocreateapositionofarecordsmanagerinthehierarchyofanorganizationandp1acerecordsmanagementfunctioninthisoffice(therecordsmanager,Soffice).Therecordsmanagershouldbetheoverseerofal1recordsmanagementina1lorganization.ArecordsManagerisanexpertinrecordsmanagementandshouldbeinchargeofrecordsfunctionofanorganization.Entrustinga11recordsmanagementfunctionstorecordsmanagementdepartmemmakescoordinationofrecordsmanagementfunctionsacrosstheorganizationeasy.Inaddition,moreresourceswi11becommittedtorecordsmanagementactivitiesbymanagement.Itca11thereforebearguedthatma1administrationatUNZAispartlyduetotheassigningofrecordsmanagementfunctiontoanofficewhichisnotcompetentandoverburdenedbyotherresponsibi1itiesmakingitdifficu1ttoefficientlycoordinatea11recordsmanagementactivitiesintheUniversity.

74CHAPTER4RESEARCHDESIGN,POPULATIONDESCRIPTION,SAMPLINGTECHNIQUES,DATACOLLECTIONMETHODSANDDATAANALYSISMETHODThestudywasaquantsused.Thistativeresearch.Inthisregardasurveymethodwaprocesseniledgatheringinformationfromasamp1eofthepopulationusinganinstrumense1fadministeredquestionnaire).Theresearchfindingsfromthesamp1ewereThisresearchdesignWasadoptgenera1iedbecausedtothewholepopulation.itischeap4.2PopulationandSampleSizeThepopulationcomprisedalluniversitystaffinvolvedinthehandlingandmanagementofrecordsaltheUniversityofZambia—GreatEastRoadCampus.Thisstaffincludedre酉striesstaff,recordscentersstaff,records)respondentsmanaswertheques3.3Samp1ingProcedureandJustificationThesamp1ingmethodWasnon-probabi1ity.Tobeprecise,Purposiveoriudgmentalsamplingmethodwasused.Thismethod°a%89cersand1ewhomanags50butonl.P?^hk9i^i%?a0Ptedduetoanumjbdeert(hffolIpwing：Theresearcherhadknowledgeofpeop1ewhocouldprovidethemuchneededinformationanddataonprob1emunderinvestigationhencetheneedtouseapurposivesamp1ingmethod.Inaddition*itWasnotfeasibletogetacompletesampleframeneededforrandomlysamp1ingasthereWaspoormanagementofpersonne1recordsattheuniversity.

75anenuny)nord3.4SamplingunitSamp1ingunitsconsistedofmvolvedinthemanagementofrecordsattheUyofZambia.4.5Datacollectioninstrument5e1fadministeredquestionnairnddataforthisresearch.Thisdatac〇!lectioniandoffersfreedomtotherespondentstoanswerqeverfromtheresearcher.Oralinterviewsthroughtelepho〇1lectedthroughquestionnaires1eandfema1ememberofstaffiniversitswereusedtogatherinformationasmmaentwasusedbecauseitiScheapestionswimnoinfluencewhatsoewerea1sousedtobeefupthedatac4.6Dataana1ysismethodsDataWasquantitative1yana11edStatisticaIPackageforSocialSciencescal1ed(SPSSs：Univariateandbivariateanalyseswereused.Univariateab1ewhileabivariateana1ysisa1lowstheresearchertsamongvariables(theindependentanddependentvationssuchasbarcharts?pieCharts,grosstabulationsane1yusedwhenperformingunivariateandbivariateanalysthisstudy.zedusingcomputersoftwarecal.Zhi'eemethodsofdataanalysialysisentai1sanalyzingonevariacorrelateorshowtherelationshipiab1es).Graphicalrepresentafrequencytab1eswereextensivsin

76CHAPTERSINCLUDEIBESEARCHFINDINGS,DISCUSSIONOFTHEFINDINGS.CONCLUSIONANDRECOMMENDATIONS3.IResearchfindingsSampledescriptionAtotalof50questionnairesweredistributedfromDecember(2009)toJanuary(2010)amongtheuniversityofZambiastaffinvo1vedinthemanagementofrecords.However,43questionnaireswerereturnedanswered.Outof43questionnairesadministered,25which58.l^wereansweredbymaIerespondentswhiIel8(41.9%)wereansweredbyfema1emembersofstaff.Intermsofage,themajorityoftherespondentsagedbetween3544years.18(41.9%)oftherespondentswerebetween25and34ofage；24(55.8%)werebetweentheageof35and44and1(2.3%)respondentwasabove45yearsold.49.8%ofthepeop1einterviewedweremarriedwhiIe30.2%weresing1e硒shownbythetablebelow.Table].Variab1efrequency%Ma1e2558.iFernaIel841.8Onthehighestlevelofeducationattainedbytherespondents,76.7%〇ftheofficersinterviesaidsecotheirhigdent)saisch〇〇!istattained.wedsaidthendaryeducahest1eve1odprimary/bhehighestleyhadattationisfeducatiasicvelofeducinedtertionattaineationion.20.9%%(1responAsshownbythepiechanbeIow,themajorityoftherespondentswereregistryclerksandadministraters.Figure1

77?m腳舗臼的8啪硼瞻Thiswassobecauseregisu7c1erksandadministratorsshoulderagreatresponsibi1ityin'.themanagementoftherecordsoftheUniversityofZambia.Themajorityoftheofficersinterviewedworkforthecentra1administration.Figure?

78IntermsofthelengthofperiodtheseofficershavebeenworkingattheUniversityofZambia,24(55.8%)saidtheyhadbeenworkingfortheuniversityformorethanfiveyear$whi)el9(44.8%)saidtheyhadbeenworkingforle$sthan5years.FormatsofrecordsOntheformatofrecordstheyke印,53.5%oftherespondentssaidtheymanagerecordswhichareinbotllpaperandelectronicformat.44.2%saiditleykeeponlyrecordsinpaperformat.On1y2.3%revealedthattheirrecordsareinelectronicformat嬲shownbythetablebelow.Tab1e2FormatsoftherecordskeptCumuiativeFJ電quencyPercentVa1idPercentPercentvalidpaperl944.244.244.2electronic12.32.346.5bothpaper2353.553.5100.0&electronicTota143100.0100.OTheimplicationofthesefindingsisthatthebulkoftherecordsmanagedattheUniversityofZambiaareinpaperformat.OnlyahandfulofrecordsareinelectronicformatssuchasCDs,DVDs,andMagnetictapes.Symptomsofma1administrationofrecordsWhenaskediftheserecordOfficersfai1tolocateandretrievetheneededrecordsontime,29(67.4%)officerssaidtheyfai1tOlocateandretrievetherecords.On1y14(32.6%)saidtheydonotfai1tOretrieveandlocaterecordsasshownbythebarchartbelow.

79Figure3Whenthosewhosaidtheyfaiskedtoshowhowoften1toretrieverecordsontimewereatheyfai1t〇1aidithappen23(53.5%)oevetheneedimp1iesthatortaledelayconstituteefunctionsocateandretsoften,whi1fficerssaiedrecordsidecisionsmaed.TI1issinefficierievetheneeditisnotontimekingandal1ncyindiscrsity.ededrecordsften.Fai1uactivitiesrhargingth,7(16.3%)sretoretriecordssuppOntheissueoflosingormissingofrecords,disturbingly,69.ordsofficersadmittedthircustodygOn1y30.2%othelossofrtheirga1attherehaomissing.ftherespoecordsinvebeeninndentssacidenceswhidtheyhadnererecordevelHexpesundertheriencedTablesFrequencyPercentFaIidPercentPercentVa1idyes3069.869.869.8Tota1*43100.0100.O

80Thisimp1iesthattheproblemofmissingrecordsisrifeattheuniversityofZambia.Thesefindingsconfirmedthefearstheuniversitystakehoiderssuch^thegovernmentoftheRepub1icofZambiaandstudentshavebeenexpressingoverp〇orrecordskeepingattheinstitution.Themissingofrecordsfee&misappropriationoffinancialresourcesoftheuniversityandothervicesthatunderminetransparencyandaccountabi1ityinthemanagementoftheuniversityaffairs.RecordsmanagementPracticesIntr).ingtoknowhowrecordsarcbeingmanaged,questionsongmanagementpracticecords,41(95.3%)oftswereasked.OntheneedtOclaSsifyreherespondentssaidtheycclassifyrecords.It1aSsifyrecordswhi1e2(4.7%)saidtheydonotWasdiscoveredthabinationofclassitthemajorityoftherespondentsuseacomficationmethodssuchassubject'organizationalandfunctiona1c1asasshownssificationmethodbythebarchartbeI:盤:?富。。.0〇I罷;：:囂囂裂裂1=2i盤篇完:：：囂CIID十C0mb1曲面/LMbln?He.gtR)nmothoedOnthepracticeofindexingrecords,34(79.1%)saidtheyassignindextermstorecordswhiIe9(20.1%)saidtheydonot.Themajorityofthosewhosaidtheyindexrecordsrevea1edthattheindextermsref1ecttherecordscontents.

81Thefactthatthemajorityofrespondentssaidtheyclassifyandindexrecordsimp1iesthatrecordsofficersandotherstaffinvolvedinthemanagementofrecordsattheUniversityofZambiaupholdtheprincipleandpracticeofrecordsclassificationOnrecordsfiJingpractices*34(79.1%)oftherespondentssaidtheydonotputmorethan300papersofrecordsinonefoideragainst9(20.9%)whosaidtheyputmorethan300papersofrecordsinasinglefolder.Thesefindingsonfi1ingpracticesaIsoshowedthatthemajorityoftherespondentsfollowbasicrecordsfi1ingprinciples.Asamatterofpracticeandprinciple>activerecordsaresupposedtobekeptinaregistry,semi—activerecordsinarecordscenterandarchivesinanarchive.90.7%oftheespondente9.3%saidfficesofiiverecordssaidactivetheyarekeptndividualwos,19(44.2%)recordsarinrkersofthofekeptinregeuniversitistrieswhiy.Onsemi——actheyarekepsaid也eyaleinrecordscentersrecordsofficerssaidagainst24(55.8%)whokeptinregistries.13(30.2%)oftherespondentssaidinactiverecords(archives)arekeptinrecordscenters,11(25.6%)respondentsdisclosedthatarchivesarekeptintheuniversitylibraryandl9(44.2%)saidarchivesarekeptinregistriesasshowbythetablebe1ow.Tab1e4Storageplsce&recordstypeActiverecordsfrequency%Workers'offices4.09.3%Registries4290.7%Semi-activerecordsRegistrles2455.8%Recordscenterl944.2%ArchivesRecordsCenterl330.2%Ubtnry1125.6%Registryl944.2%

82Theabovefindingsimp1ythatthereismixingofactiverecords>semi—activerecordsandarchivesattheUniversityofZambia.Forinstance55.8%oftherespondentssaidsemi?activerecordsarekeptinregistriesand44.2/^saidarchivesarekeptinregistries.Themixingofactiverecordsandarchiveswithactiverecordsinregistriesdefiesthepracticeofseparatelykeepingthesethreerecords.Iftheregistryisnotproperlydemarcated,thisTrackingthemovementsofrecordsTrackingofrecordsisaveryimportantpracticebecauseitensgresthatrecordsdischargedtoofficersarenotlost.Itwasencouragingtonotethatthemajorityoftherespondentssaidtheydotrackrecords.93.0%saidtheytrackrecordswhi1e7.0%theydonot.Fortherespondentswhosaidtheytrackrecords,themajoritysaidtheyusedbothmovementeardnbythepiechasandtranrtbe1ow.pstotrackrecordsasshowFigure5MethodsoftrackgthemovementofrecordiintheunIv?rsdk?movemordc-ra1?jnlgrq號(hào)鄴撕“B?N/A

830thn外Ief忡ハthereistrackingofrecordsattheuniversityofZambia-acritica1exerciseforensuringOntheeffecthosewhosarecordssaiabovefinditivenessofidtheytracdthetrackingsentai1stherecordstkngmethodshathatrackingmetvebeeneffehods,88.4%ofctive.Thesafecmtodyofrecords.——,Avai1abi1ityofarecordsmanagementp〇!icyAP[erestablishingthattheprob1emofma1administrationofrecordsatUNZAwasrea1,‘〇theresearchwantedtouncoverationofrecords.Thethesourceofthisma1administrespondentswereaskedtOtel1iftheuniversityhasarecordsmanagementpolicy.22(51.2%)saidthattheUniversityofZambiahadarecordsmanagementpolicywhosecontentstheyunderstand.13(30.2%)oftherespondentssaidtheydidnotknowiftheuniversityhadarecordsmanagementpolicywhi1e8(18.6%)saidtherewasnorecordsmanagementpolicy.Avai1abi1ityof-recordsmanagementpolicyintheuniversityAvaI1abi1ityof-recordsmanagementpolIcylntheuniversiiyAftercrosstabulatingthejobtit1eandtheavai1abi1ityoftherecordsmanagementpo1icy

84responses,itWasdiscoveredthatthemajorityoftherespondentswhosaidtheuniversityhasap〇!icyareadministrators.Administratorsarcseniormembersoftheuniversitystaffandtheysupervisejuniorofficersoftheuniversitysuchasre酉stryclerkswhoareresponsibleforthedaytOdaykeepingoftheuniversityrecords.Veryfewjuniorofficers

85Table5JobtItIe+Ava11ab1IityofarecordtyCrosstabulationJobtitleregistryclerk75517libravailabilityomanagemwonChifwepashatdhowevertheirrecordsmanagplicat1oordityrecordsm,managementofonotknowwhatificersdonotknowwhatisexpectdofthem.1lowednota1lowedinthematyofarecordsretenu1esityofZamb46.5%)onanddisposalschadocumentinn,twhi1e19(44.2%)san'tknowifsuchatabu1atingjanddisposaltheavailabiliyofarecordsdiscoveredthatalmosthalfofththeanddisposalscheduleministratorssaidydon'tknowiftheuniversityhasarecordsretentionFigure7

86eoord-%retention■nddIspot*IIChflHUTheabovefindingsimp1ythatthereisa1sonorecordsretentionanddisposa1schedulefortheuniversityasawhole.IndividuaIdepartmentsandunitsdohavetheirownschedulebutnotastandardschedulefortheuniversity.Thismakesrecordsmanagementtobe,,difficultinthesensethatarecordsretentionanddisposalschedu1eisanauthorityinthemanagementofrecordsasitstipulatestheretentionperiodofa1Icategoriesofrecordsinanorganization.Manua1forrecordsc1assification〇indexingandfi1ingOntheavai1abi1ityofamanua1forciassifying.indexingandfi1ingofrecords.60.5%oftherespondentssaidthereWasnosuchamanua1intheuniversitywhi1e39.5%saidthe

87Figure8Avai1abiIityof-rnennuBIforc1assIfying.Indexlngendfll1ingjftfvcriityrecordsintheAvaiIabi1ityof—mannuaIfore1ass1fying.indexingandfiIIingofrecordslnthThosewhosaidtheuniversityhadnomanua1forc1assifying,indexingandfi1ingrecordswhenaskedwheretheygettheinstructionsforc1assifying.indexing*andfi1ingrecords,13saidtheyusetheirinitiativeandwhattheylearntinc〇!1egesanduniversitywhi1e6saidtheygetinstructionsfromtheirsupervisors.Thisentailsthatthereisnostandardizationonhowrecordsintheuniversityshouldbec1assified.indexedandfi1edbecausethereiSeonlmonclassificationmanua1fora11theunitsanddepartmentsoftheuniversity.Forinstance,theresearchrevea1edthatthe95.3%ofofficerswhosaidtheywereclassferentmethods.fyingrecords,theydoSOusingdif16—3%saidtheyusingsubjectclassords；2.3%saidtheyificationmethodtoclassifyrecwereclassealphabetrecordswhificationtothenon—nscheme,idepartmenatter.Itirecordsbysifyingrecoica11yc1asi1e48.8%samethods.Duavai1abi1insomets/units,rswrongtoclubject.rdsgeogrsifyingidtheyweetyofastaecordsarassifyaphica11reusingandardreccc1assify：25.6%sacombinatiordsclassiedbytheiidtheyweronofclassificatiorsubjectmVita1recordsManagementOntheneedtoidentifyand1istvita1records,oftheuniversity,3I(72.1喲ofthe

88respondentssaidtheyidentifyandlistvita1recordsoftheuniversitywhilel2(22.9%)saidtheydonot,一Figure9Iden

89Theresearchfurtherrevealedthatmajorityofthosewhoseyhaveprofessionalqua1ificationshavecertificrecordsmanagement.11oftheication,respondentssaidtheyhaveacertiyhaveadip1omawhi1e2saidnotethatmanat1'erethoseryandlnfheretheystudiedrecordsmanagementcotWOprobormatioWhenprofessrosstabulat(moretharegthemanagcordssaicerswhrsityessionoaredirecti?y???no

90ThisentailsthatthemajorityofofficersinvolvedinthemanagementofrecordsattheUniversitement.ThetheneededcordsofthyofZambiaharefore,theyskillsfortheuniversityveformalthave〇emtoeffecraininginrtivelymanaecordsmanaggethereInvolvementofrecordsexpertsinthemanagementofelectronicrecords\Recordsofficersasexpertsinthemanagementofrecordsshouldbeheavilyinvolvedinthemanagd,officemanagemetheyareimanagemees.Astontherespoareinv〇1thepiech〇w.ementofrsinv〇!ntofrecnv〇1vedntofe1eishing1ndentssvedasshartbe1a11e1ectvedintheordsatthinthectronicry,74.4%〇aidtheyaownbyron1creeUniverecordshfrenotinigure11cords.IsityofZe1dinunv〇!ved.nthisregambiaweriversityOn1y25%sareaskedifdatabasaidtheyRozorH1〇I晌ooninvolvementinthemanagementofrhek?1dn^sb,se,舛盈朗furtheraskediftherespondents(officers!nv〇1vedinthemanagementofrecords)providedadvicetootheruniversityworkersonhowtocaptureandarchivee—mails,34(79.1%)saidtheydonot,on1y9(20.9%)saidtheydoprovidesuchadvicetoother",universityemployees.Tberesearchfurtherdiscoveredthatthemajorityoftheofficersinvolvedinthemanagementofrecordsattheuniversitydonotprovideadvicetootheruniversity'

91workersonhowtopreserveelectronicrecordssavedonsecondarystoragefaci1itiessucha?CDs>DVDsandDItkettes.N69ioriherespondent?$aIdtheydonotprovIdeadvlcelootherworkersonhowtopreservee1ectronicrecordshe1donsecondarystoragefaci1ities.0n1yl4%saidtheydo.Onwhymostoftherespondentsdonottakepartinthernanagememoftheuniversity'Selectronicrecords>themajorityofthem(whetherregistryc1erksoradministrators)said*itWasnottheirresponsibi1itytomanagementdectronicrecordsoftheuniversity.Itwastheresponsibi1ityofthelTdepartmentoftheuniversity.OtherssaidtheydonothavesufficientITski11sneededforthemtoparticipateinthemanagememofe1ectronicrecords.Thesefindingsimplythatelectronicrecordsmanagememisthesoleresponsibi1ityof1TstaffoftheUniversityofZambia.TI1ishoweverisnotgoodthingbecauselTofficers&renotcompetentinrecordsmanagemem.TrainingaficersWorkershechangWhenthementofrZambiaiftagement,1ndDevelopneedtobingworkofficerecordsaheyhaveev8(41.9%)snentofofetrainingenvswhoarttheunerattendaidedanddevelopedtomeettironment.einv〇1vedinthemanageiversityofedshorttraininginrecordsmantheyhaveatendedwhe25(58.1%)saidtheyhaveneverattenuchtrainingas

92shownbytheerosstabbw.Table?iodonehasbeeniesTotalIyshortat14tnetendedttendeerenagng1y,evenveneverattendedaininginrecavebeenword,yshorttrain2of.'dentspwhi1havenevewhohaveberdsmanagenworkingintheuniv1ecrosstababoveshowsyoveraperiodot.Onthetypethetrainin,13schashemanoskillseminaranPortunitytoiavep.T11irecordsmaarechaocietyf-hisregard,theircurreeloped/unimpgementchisnotgoodintingenvironmentalfas'motivation.Intherespondentswereaskedtodntescribehowt60.5%oftheemployeessarrentsala23.3%saidthe84-

93sa1ariesweregoodwhi1e16.3%saidthattheircurrentsa1arieswerepoor.Thesefindingsentai1thatmajorityoftheempioyeesfeelthattheircurrentsalariesarefair.TI1isisgood^poorperceptionofsalariesandwagescandampenemployees'moralatworkthushamperinggoodperformanceoftheorganization.血addition,majorityoftheemp1oyeesinterviewedsaidthattheywerehappyWt11theworkingenvironment.27(62.8%)oftherespondentssaidtheyaoohappywiththeworkingenvironment.On1y16(37.2%)saidtheyarenothappy?I\HththeirworkingenvironmHappywithworkingenvironmeFrequencyPercent婦?idPercentPercentVaIIdyes2762.862.862.8htheworkingenvironmentcThosewhosaidtheyarenothappywiitedfactorssuch舔theirre1ationshipswiththesupervisors,andpooroffices.

94tiaapaidandtheirworkingenvironmentisg〇od.ions、加masmictivitiesManagementsfu1.Inthimanagementsgement.Manashouldprovierf11ingequsupportissregard,rtaffshouldgementdeadministipment.Ontvitalifanyecordsreceiveunwarativetoolsheprogramisveringsuppsuchascomptobesuccesortfrommanautersandothsaidtheydonothaveasshownbythebarchartbe1ow.whosaidtheyThoserespondentsTheabovefindingsonmotivationimplythatmorethan60%oftheofficersininvolvedinhemanagementofrecordsattheUniversityofZambiaaremotvated.Therefore,theyManagementsupportforRecordsmanagementAthattheyusecomputersfohavecomputersintheirofficesindrrecordskeepingactivitiesandsurfmgthenet.H?v1ndoompu?-f1?niihQcmc■?干=-00Fromthebarchartabove,itisclearthatthemajorityoftherespondentswhosaidtheydonothavecomputersareregistryeIerks.ThepicturehowevershowsthatmajorityoTtherespondentshavecomputersintheirofficeswhichisagoodsignthatthereissupportfrommanagement.0ntheissueofhavingenough丘1遺gequipment,23(53.5%)oftherespondentssaidthey

95haveenoughfi]ingequipmentwhi1e20(46.5%)saidtheydonot.Whenthosewhosaidtheydonothadenoughfi1ingequipmentwereaskedifmanagementhadbeeninformed,majorityofthemansweredintheaffirmativeandmanagementpromisedtoprocuremoreforthem.ThesefindingsonmanagementsupportshowsthattheUNZAmanagementsupports,toaIargeextentrecordskeepingactivitiesinthesensethatmajorityofrespondentshavecomputersandadequatefil1ingequipmentforrecordskeeping.0fficedesignatedforRecordsmanagementAsamatteroffact,recordsmanagementactivitiesofanorganizationshouldbeassignedtoanofficethatshouldbeefficientandcompetentenoughtodischargeitsresponsibilitInconcomitancewiththeaboveobservation,respondentswereaskedtote11theofficerespondentssaidtheydidn,tknowtheUNZA.Surprising1y,someofficeresponsib1eas

96Ontheeffectivenessoftheofficecurrentlyresponsibleforrecordsmanagement,32(74.4%)saiditwaseffectiveagainstll(25.6%)oftherespondentswhosaiditWasnoteffective.Majorityoftherespondentssaidthattheregistrar'Sofficewasappropriateandeffectiveprobablybecausetheyfearedvictimization.Whenthosewhofe1tthecurrentofficeisnoteffectiveenoughwereaskedtoproposewhichofficeshouldbedirectresponsibleforrecordsmanagementintheuniversity,majorityofthemsaiditshouldbetakentotheLibrarian'Sofficeasshownbe1ow.Figure16Someoffisomee.Otdepanta1somefelt,however,itshouIdbetakentotherecordsmanager*Sce.Ontheotherhand,suggested!tshouldbetakentotheDeanofstudents'offichersfavoredtheITrtmenttotakeuptheresponsibi1ityofrecordsmanagemetheuniversitywhi1esaidtheydi血'tknowwhichofficeshouldtakeuprecordsmanagementresponsibilitiesoftheuniversity.5.2DiscussionoftheresearchfindingsFromthe佗search]i1Idingspresented'itisclearthatmaladministrationofrecordsisrifeaIUNZA.Thesymptomsofma1administrationsuchaslossofrecordsandinabi1ityforofficerstoretrievethenoodedrecordsontimehavebeenestabiishedtobehappeningat.theinstitution.Toattesttothefeasibi1ityofmaladministrationattheUniversityof

97Zambia,67.4%oftheofficersinterviewedconfirmedthattheyhadbeenfai1ingtolocateandretrievetheneededrecordsOi1timeonmanyoccasions.MaIadministrationattheUNZAdoesnoton1ymanifestinthefrequencyfailurebytheofficerstolocateandretrievetheneededrecordsbuta1sothroughincreasedcasesofrecordslosses.Ma1administrationofrecordsatUNZAisrealandthereforeitcannotbeignoredasdoingfounded—thefoundationofprovidingexcellenttraining.Theresearchhasrevealedthatthereareanumberoffactorspropel1ingtheproblemofnofRecordsManama1administrationatUNZA.AstheAssociatiogersandAdministrators(ARMA)intheUnitedStatentreUNZAdimpthepcordtiesntedaemofecordsmanagesmansolae1ackofarecordsmanagementprogram.Ma1adminissnothavearecordsmaresult,sestemfromthefactthattheuniversitydoeanagementprogram-ab1ueprintonhowrecordsshou1dbemanaged.Asrecordsmanagementprograme1ementshavenotbeenimp1ementedatUNZA.Tostartwith,theuniversityhasnotdraftedandcirculatedal1umbre1launiversityrecordsmanagementpolicytoa11theofficersinvolvedinrecordsmanagement.Whatarecurrent1yavailableatUNZAarefragmentedpiecesofrecordsmanagementp〇1icies,deve1opedbysomeunitsanddepartmenttomeettheiroperationa1needs.A11recordsmanagementactivitiesinaninstitutionaresupposedtobeanchoredonaco11ectiverecordsmanagementpo1icy.Arecordsmanagementpo1icyisacharteronal1recordsmanagementofa1lorganization.Itsetstheagendaonhowrecordsshou1dbemanagedandcoordinatesa11recordsmanagementactivitiesinallorganization.Thepolicyevenarticulatesactionsandapportionsresponsibi1itiestoofficesandindividua1stoimplementprogramsinordertoimproverecordsmanagement.Itais〇!egitimizesa11recordsmanagementfunctionsandcompe1sorganizationa1emp1oye.estocomplywithwhatit

98articulateTheabsenceofauniversityrecordsmanagementpolicybreedsmaladministrationofrecordsasrecordsofficersandotherpersonnelmanagerecordswithoutf〇!1owingIaiddownproceduresandru1es.1nthisregard,manyofficersinv〇1vedinrecordsmanagementdonotknowwhatisrequiredofthemwhenmanagingtherecordsoftheuniversity.Theywork!ikeabIindpersonwa1kingwithoutacompetentguide.ThisisSObecausetheyrelyrecordsmanagementoftheuniversity.Thismakesthemnottohaveabiggerpicturewhenmanagingtheuniversityrecords.1naddition.UNZAdoesnothaveanoveraI1recordsretentionanddisposalschedulea1thoughsomeindividualunitsanddepartmentdohavetheirownschedu1es.Arecordsretentionanddisposalscheduleisadocumentthatanorganizationusestoensurethatrecordsarekeptonlyas1ongaslegallyandoperationa1lyrequired,andthatobsoleterecordsaredisposedofinasystematicandcontrol1edmanne：74]4Thelackofal1institutionrecordsretenonanddisposa1schedueatUNZAfurthercomplicatestheproblemofmarightretenttherecordsuecordsprema1administrionperiodfndertheircture1y.ation.Recororustody.Thisdskeepersdresu1tsindonotknowtheeposingsomerRecordsaredisposedfas1ega1andsterthantheuniversityneedsthemtomeetitadministrativeactiThenon-avai1abi1ityofarecordsretentionandシesponssemi-acregisti1ety.htheaba1schedthemixinordsandau1eisa1gupofactrchivesisodirectiiverecords,nsbeingperpesenceoftheratedbysomeofficersattheuniversiyrecordsrknowwhenae,manyoffiwheretotransferpartPingbomsemi-activeculartypesofrecords；thustheycontinuekeeandinactiverecords、加thactiverecordsinregalesecondarystoragefaci1ities(suchasrecords)availableforthestorageofsemi-activeandinactiverecords.Thissituationbreedsinefficiencyinlocatingandretrievingrecordsasofficershaveto

99rif1ethroughamixtureofrecor&toretrievetheneededrecords.Theprob1emofma1administrationofrecordsatUNZAisfuFthercompoundedbytheabsenceofuniversitymanua1sandproceduresonhowtoclassify,indexandfilerecords.Despiterecordsofficershowingappreciationtowardsrecordsclassification,indexingandenotproperlydone.Inaddition*thg>thevardsrertmeuse.Thfied,indexedandfiledbydifferenartmentSfol1owtheirin-housemanC1assificdobecauseecordsbysuodbjectisnottherightthingtOowrecordsshou1dbeorganized.Inthies(groups)thusaffectingtheinThenon-avai1abi1ityofarecordsmanageelectronicrecordaintheirintegritinstance,therepartmentofthprocuringandoperati1y,someprocureddatabasemanagemenngdatabasemanagementsoftware.Artstandardtsoftwareonotdonotmeetrecordsmahavein-busthusmakiprovideaudittrai1sacks.Thishasprovidedapleringwithe1ectroniInaeno〇1vementofrecordsexpericrecctr.onicrecordsheIdinsehasmentb1ue—print(arecordsmanagementproatUNZAhasa1soiedtothenon-igram)electronicrecordswhichasamatteroffactaggravatedthefma1administrationofrecords.AtUNZA,themanagementofe1ectronicrecordsirveofITstaff.Inthisregard?thereisnoexpertadvicefromrecordsexpertsredtothelTstaffandindividualuniversityemployeeskeepingelectronirecordssothattheymanagesinanenvironmentthatwi11a11owrecory.ForeisnoexpertadvicerenderedtOteuniversitywhen

100DVDs,CDsandFloppydiskettesnottobepreserved.Thishasalsomadetheuniversitycontinuelosingelectronicrecordsasrecordsexpertshavenoresponsibi1itytoadviseUNZAemployeesonhowtocaptureandarchiveuniversityelectronicmails.Despitenotgram,UNZAboastsofhntpersonnha1fofthesiona1quahavingdrafavingacade1.Morethresponden1ificatiotedandimplreofre1atantsdisc1osnsinementedarivequa1iedthatthecordsmanafiedrecoreydopossegementprodsmanagemessprofesrecordsmanagement.MajorityoftheseofficersdohavecertificateanddipIomaqua1ificationsinrecordambia,exclusivesmanagement.Thisisbecausecurrent1yinZrecordsmanagementalevelatUniversitcoursesareofferedjustuptodiplomyofZambiaRidgewaycampus,Eve1ynHoneCo11egeandZamteICollege.Theresearchfurtherrevea1sthatmajorityoftherespondentsweremotivatedbecausetheyperceivedtheircurrentsalariesandotherworkrelate<1conditionstobegood.ThisimpIiesthattheuniversityhastriedtoprovidereasonablesalariesforofficersinvolvedinrecordsmanagementandatthesa1/1etimemanagedtoproveaworkingenvironmentgoodfortheaff.0newoureaofprovi1d'however,arguethatmoreneedstobedoneinthdingodworkingeofficersdoecentworkipointedOUtaidtheywererofficecondnvironmentastherea1edepartmentswhererecornothavengenvironment.Officesconditionisp〇orabysomestaffwhonothappywithworkenvironmentconditiitionisons.ApoA1thoughtheuniversityseemstohaveacadreoffair1yqua1ifiedandmotivatedrecordsmanagementemp1oyees,itdoesnotcontinuous1yupdatetheski11softhemajorityoftheseofficersthroughshorttrainingprogramssuchasseminarsandworkshops.Forexamp1e,58.l^oftherespondentssaidtheyhadneverattendedtrainingintheformofworkshops,seminarsetcdespitethemworkingfortheuniversityformorethanaperiodoffiveyears.Shorttrainingsuchasworkshopsandseminars鋤舊cardinalastheyenableworkerstorefreshtheknowledgetheacquiredinc〇]legesanduniversitiesandmore

101important1y,itkeepsthemabreastofthechangestakingp1aceintheirfield.Fai1uretoprovideshortprovideshorttrainingtoa11theofficersinvolvedintheadministrationofrecordsaddsadosetomardsatUNZA.1administrationofrecoItisgratifyingtonotethalmorethanthreequartersoftherespondentsattachgreatimportancetotrackingthemovementofrecords.Themajorityoftherespondentsindicatedthattheyusemovementcardsandtransfersiipsmethodsintrackingrecordswhichtheydeemedtobeeffective.One,however,wouldurgerecordsofficersatUNZAtoembracecompulerbasedtrackingmethod(databases)asthlsmelhodisefriclenlaneffective.Otherwise,poorrecordsmovementtrackingisnotamajorfactorinma1administrationofrecordsatUNZA.ThefindingsoftheresearchshowrecordsmanagementfunctionsalUNZAenjoyre1ativesupportfromuniversitymanagement.83.7%oftherespondentssaidthattheyhadrsintheirofficetheyhadenoughfilingthemajoritydiscequipmentaquestsforhout,thesereground.Thndindicatede1p.AspointesponsesmigisistrueintthatmanageedhtnotreflehementrespondctwhatisobtstotheirreainingonththeInstituteforDistherthingslackoffienoughdrawercainedof1ackofotherrecosstationeries.binets.Inadditirdsmanagementsupp1ieManageotherrorganimentsuppesourceszationa1ortinfoiscritirecordsanceandyentprogramthereforeishouldbeadequate.sensethatthere!sagenuincoutcryamongrccordsofficcrsOVcriackofmanagcmcntsupport.Forinstance,atworkshopatBanMote1inZambiain2007,recordsofficersfromtanceEducationcomp1ainedamongolingequipmerit.They1amentedthattheydidnoItisindisputabletosaythatwherearecordsmanagementfunctionisplaceddoescontributetOitseffectivenessthroughouttheorganization.Madministrationofrecordsuniversityhierarchy.Currently,recordsmanagementfunctionisp1acedintheregistrar'Sofficeand74.4%oftherespondentsfe1tthattheregistrar'Sofficehadbeeneffectiveinthemanagementoftheuniversityrecords.TheseresponsesshouldhoweverbetakenwithaplnchofsaltbecausetheymlghtnotreTIeelIhelruefeelIngsoTthereypondents.Goingbytheora1interviewedconducedwithsomeuniversityofficersandtheresearcher'Sownacquaintancei^mrecordsmanagementatUNZA,itealIbesaidthatplacingrecordsmanagementfunctionsinthere#strar*sofficeisagoodthingbuttheregistrarlivesinanivorytowerandisoverburdenedwithsomemanyresponsibi1ities*thereforetheofficeisconstrainedtoeffectivelysuperviseandcoordinatethemanagementofuniversityrecords.OnewouIdhoweverarguethattheregistrarhashis/herassistantspositionedvirtua11yinaI1schoolsthatCanhe1ptosupervisorandcoordinatea11recordsmanagementactivities.Thisisnotpossib1einthesensethatmostoftheseassistantregistrarsarenotexpertsinrecordsmanagementtherefore；theyarei11-quaIifiedtoaidtheregistrar.ThetendencyinUnitedStatesofAmericanuniversitieshasbeentodelegaterecordsmanagementtoa

102midd1e1evelofficeoftherecordsmanagers.Thisofficec〇ordinatesandsupervisesrecordsmanagementonbehalfoftheuniversityregistrar.Goingbytheresearchfindingsanddiscussionabove,onecou1dconcludethatma1administrationofrecordsatUNZAisattributablemainlytothelackofarecordsmanagementprogram.Theuniversityhasnotdraftedandimplementedarecordsmanagementprogram.Asaresult'theyuniversitydoesnothavearecordsmanagementp〇!icy,arecordsretentionanddisposa1schedule,manua1sandproceduresneededforthesmoothmanagementofrecords.Thenon-avai1abi1ityofrecordsmanagementprogramhasaIsoresu1tedinre.cordsmanagementfunctionsnottoenjoymaxin1unisupportfromuniversitymanagement.Ithasmadeitimpossib1eforrecordsmanagementexpertstowork、肪t11theircounterpartsfromthelTdepartmentinthemanagementofe1ectronic

103recordsoftheuniversity.InadditiontmaladministrationofrecordsatUNZAiscompoundedbytheabsenceofacompetentmidd1e1eve1managementofficetOaidtheregistrar'Sofficeinthecoordinationandsupervisionofrecordsmanagementactivitiesintheuniversity.5.4Recommendation0TobeabIet0effectIveIymanagerecords.managementatUNZAshoulddevelopacomprehensiverecordsmanmanagementprogramtObedevelopedshouldincludetheerafagementprograms.TherecordstIngofarecordsmanagementpoIicy>r

1045.6Prob1emsencounteredduringtheResearchNomoneyWasprovidedforresearchfromthescholarship.TheresearcherhadtOusehispersonaImoneyfortheresearch.Theotherprob1emWasthattheQuestionnairesde1ayedtoarrivefromZambia.5.7AchievementoftheresearchTheresearchhasmanagedtouncoverfactorsthatareresponsibleformaladministrof.racordskeepingatU海zU°n5.8SuggestionsforfurtherResearch,ToinvestigateifthecurrentsoftwareformanagingelectronicrecordsatUNZAhasinbui1tcapabi1itiestoproviderecordsauditwai1.,InvestigatethelTski11sofrecordsmanagementofficers

105Thisworkisdedicatedtomybe1ovedparentswhodespitebeingpoorandi11iteratesawtheimportanceofsendingachiIdtoschOOl.TheyconstantlyencouragedmetoconcentrateonmystudiesandavoidfaIIingintobadcompanythatwouldhaveruinedmyfuture.Inaddition,theysacrificedaImosteverythingfinancialandmaterialresourcestheyhadtoensurethatIcomp1etedmyseniorsecondaryeducationandsubsequent1yattainedtertiaryeducation.Tomyparents,IsaymaytheLordgrantyoulonglifeSOthatyoucouldpartakeinthefruitofmysu

106Acknow1edgementsFirstandforemosI)iketOthankthealmightyGodforhisgrace*ca1"eandmercybothonmeandmyfamilyforthelongperiodoftimewestayedapart.Sinceregratitudea1sogoestOmyProfessor,LiRiqingforherguidancewithomwhichIcou1dhavenotmadeit.ForMsChisunakaChitundu-Mwenayawhodiddatac〇11ectionforme,Isaythankyouami11iontimesforenduringthestressonmybeha1f.1wi11a1waysbeindebtedtOmadamChisunka.I鋤alsoindebtedtothankM.TK,o.r,omaA1J)ha,eus,M,r.Arias,ElochukMsJuditnPatrickrortnevaluableadviceandsupporttheyWaH810ndeduringtheresearch.MysincerethanksalsogotOMr.EdwardChandaMwa1imuandMsKaomaLamba-DakaandMwewaMusondaforanyassistancetheyrenderedtOmeduringdatacollection.Tomyfianche,MarthaPhiri,1saythanksforbeingasourceofmotivationintimeswhenlusedtOhe1owinspiritduringtheperiodoftheresearch.Totheaboveindividualsandthosenotmentioned,IsaymaythegoodLordcontinueshoweringblessingsuponthem.

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111BarbraC.MeNur1inandRa1phH.SpragueJr.(2008).InformationSystemsManagementinPractice.Xian：XianJiaotongUniversityPress.bytheN〇.6-Ju1y2002Cater,McNamara(2010).SystemsThinking(Accessedon10mMarch2010fromGi1bert,Katm(1962).ProgressiveFi1ingandRecordsManagement.NewYork；McGraw-Hi11BookCompany?烈CIronMountain(2005).RecordsManagement：BestPracticesGuide(Accessedon23/09/2009from.www.ironmountain.com)Noe,A.Raymondeta1.(2007).Fundamenta1sofHamanResourceManagement(SecondEdition).London：MeGraw—Hi11Companies,Inc.PNCityLibrary(2009).Electronicresourcespreservation.(Accessedon20/04/2009fromhttp：//citv1ibrary.pncc,govt,nzRossA.Ma1aga(2006).InformationSystemsTechnology.London：PearsonEducationpub1ishingcompany.SarahE.andStaceyC(200).Computers,Communicationsandinformation.London：SouthCarolinaDepartmentofArchives&Hislory(2005).Recordsmanagementina11ElectronicEnvironment(Accessedon09/08/2009fromSouthCarolinaDepartmentofArchives&History.(2005).ElectronicRecordsmanagement：Fi1eformats.(Accessed0i120/04/2009from照!!衛(wèi):Jf：鷺凸6叢堅(jiān):§]§竺:§曜:墜墨」§壘魚(yú)bJ盟g』1:驚:h!啦)111eAlabamaStateRecordsCommission(2003).ManagingStateRecordsinAlabama(Accessedonl0/10/2009from.http：//www.archives.state.a1.usdofficials/SRCiulv03.vdt3TheStateofTexas(1998).ElectronicRecordsResearchReport.(Accessedon20/12/2009fromhttp：//www.tyc.state.tx.us)

112f'JAPPENDIXQUESTIONNIAREONRECORDSMANAGEMENTATTHEUNIVERSITOFZAMBDearRespondent,MynameisTuesdayBwalyaandlalncurrentlyacandidateofMastersofinformationSciencedegree(MSc)atNortheastNormalUniversityinChina.lanlcarryingOUtaresearchonrecordsmanagementatUNZAaspartofmyrequirememsforthefulfiIImentortheawardorthesaidabovedegree.You曾ereoneoflherespondenlsc。歸IdelledtoanswerthlsquestionnairedurIngmysamp11ngexercise.Iwouldbeverygratefulifyoucouldattempttoansweranthequestionstothebestofyourknowledge.Youmusta1sorestassuredthattheinformationtobec〇1lectedthroughthisquestionnaire,wi11bekeptconfidentia1andpureiyforacademicpurpose.Note：Pleaseforquestions誦thmultiplechoiceanswers,justticktheansworsofyourchoice.ThankingyouInadvance.BWA1—ATUESDAY

113BACKGROUNDDATA□MaleDF鋤a1e□15.24□25.34ロ3544ロ45.54055+3.Whatisyourcurrentmaritaistatus?□Marriヒ（1ロ$嘲?4.Whatisthehighestlevelofeducationyouhaveattained?口PrimaD,ロBasic/Juniorsecondaryl-IHigh/SeniorsecondaryロTertiary/uaivcrsity5.Whatisyourjobtitle?6.1nwhichdeparunent/schooldoyouworkfrom?7.HowlonghaveyoubeenworkingfortheUniversityofZambia?

114RECoRDSMANAGEMNTS1TUATIoN1.Inwhatformatsdoyoukeepyourrecords?r■■□Paperformat□E1ectronicformat□Inbothformats2.Doyousomet1mesraiItOfindsomerecordswhenneeded?□YcsONo3.IfYestOQ3,how011en?ロ丫田。!^姐口0￡tenON0t〇%。4.Doesittakeyoua1otoftimetofindtherecordsneeded?ロJWN0couldyouestimatehowlongittakesfo5.IfyouranswertOQ5wasYes?ryoutOfindtheneeded6.Haveyoueverexperiencedsituationswheresomerecordsintheuniversitygomissing?口丫骼口用7.IfYestoQ7,howoftendoyouexperiencethemissingofrecordsintheuniversity?OvcqoRen口〇脅DN0toR鋤

115RECoRDSMANAGEMENTPRACTICES1.Whereareactiverecordskeptinthetmiversity?口〇伍c銷〇f砌vidI1a1w舶口Re昏妤囂2.Wherearesemi—activerecordskept?□Re西s砸酪[]Recordsc3.Vv'herealearchiveskeptintheuniversity7..□Rec.rdScen衙口Ijb捌yロP.egis扛y5.IfYestoQ4,W的teafesetdlW0fyiひukneregistriesノe；eapfflec7.IfYestoQ6,tickthemethodsbywhichyouc1assifyrecordsロsubjectci舔sifi酬〇〇口F蚓甜oha1c1asGdographicalclassificationuC五咖01。西caIclassification□N唧Ieficalcl緞ific撕徹ロ副phabeIticalcksification

1168.Doyouassignindextermstorecordfolders?DYcsDNo?9.IfYestoQ8,domeindextermsreflecttherecordsthefolderscontain?ロJWNoUYjffiUN0hydoyouputmorethan300piece12.Doyoumonitorortrackthemovementofrecordswhichareunderyourcare7□Mov鋤饑tc礎(chǔ)ロ脅ns衙s1ip$口區(qū)啪「13.IfYestoQ12,whatmethodsdoyouUSetotrackormonitorthemovementofrecords?乩"陽(yáng)s噸鼬嫩14.Dothesemethods/proceduresenab1etheuniversitytoknowwhohadaccesstotherecords?ロY醯日N0

117RECoRDSMANAGEMENTPRoCEDURESANDPOLICIES1.Doestheuniversityhavearecordsmanagementpolicythatexplainstherecordsmanagementprogram?ロ％〇口N〇□Doo,thow2.IfYestoQ1,tofuniversitdoyouunderstandwhatyrecords?saysaboutthemanagemen□Yesロヤ’3..DoestheuniversityhavearecordsretentionanddisposaIschedu1e?ロY醯ロNoロDon,t1mow4.IfYestoQ3,doyoufollowitwhentransferringanddisposingofftherecords?□YesDNo5.Isthereanymanua1thatexplainshowrecordsshouldbeclassified,indexedand岔edacrosstheuniversity?ロヤロヤ6.IfyouranswertoQ5wasNo,wheredoyougetinstructionsonhowtoclassify,indexandfile

118ELECTRON1CRECoRDSMANAGEMENTdatabasesintheuniversity?□YesDNo2.DoyouadviseuniversitymembersofPonice-mai1s?〇YesONo??????3.〇viseuniversityworkforceonhowtOmanagee1ectronicrecoldshlIdontheira1comp*s?I4.pdeadvIceonhowtOpreservethoseelectronicrecordsthatareheJdlnsecondaHy.faci1itiessuchS^CDs.DV1fl.ce.?..ndfIoppthemanagementofe1ectronicrecordsintheuniversity?

119PROFESSIONALQUALIFICATIONSANDTRAINING1.DoyouhaveanyprofessionaIqualificationsinrecordsmanagement?□KoONo2.IfYestoQl.whatlevelofquaiificationsdoyouhave?口(:硼￡icate□Dip1鋤aロDe妒門Others(specify3.Ifyoudon*thaveanyprofessionaIqualificationsinrecordsmanagement,whatprofessiona1qua1ificationsdoyouh〇!d?4.Haveyoueve1"attendedanyshorttraininginrecordsmanagement?□№□N95.!fye$toQ4,whatkindortrainin97ロs婦ロw幽hopロ%o(spcci肛suchtraining?□Vey〇脅ロ〇脅ロN0t。脅