RECORDS PRESERVATION STRATEGIES IN REGISTRY DIVISION OF AHMADU BELLO UNIVERSITY, ZARIA

RECORDS PRESERVATION STRATEGIES IN REGISTRY DIVISION OF AHMADU BELLO UNIVERSITY, ZARIA  

ABSTRACT

This study investigated Records Retention Strategies in Registry Department of Ahmadu Bello University Zaria. Records are important document found in the possession of either individual or organization. Four (4) research questions were raised to find out the types of records that are generated in the Registry Department of Ahmadu Bello University Zaria, the types of periods assigned to the records. The strategies used in record retention in Registry Department of Ahmadu Bello University Zaria and how the big bucket theory will explain records retention in the Registry Department of Ahmadu Bello University Zaria. The study was based on the following objectives. To identify the types of record generated in the registry department of Ahmadu Bello University, Zaria, To find out the types of period assigned to records in the registry department of Ahmadu Bello University, Zaria. The research method adopted was qualitative; the population of the study comprised of all record officers in registry department of Ahmadu Bello University Zaria. Their total number were six (6). Five of them members of the population were used for the study. Individual interview was used collect data. The data obtained from the interview were transcribed word for word (verbatim), the transcribed data were imported onto a QDA Miner (version 4.1.23) coded, and analyzed. The transcript produced 67 codes, 17 sub-categories and 7 major categories. It is upon these categories and sub-categories that the analysis for this study was based. The findings of the study among others revealed that the types of records generated in the Registry of Ahmadu Bello University, Zaria were mostly staff sabbatical records, visiting file, personal staff records and other records which include day to day staff activities records ,minutes  of meetings and mails. On the period assigned to records in the Registry, active service and permanent retention period the strategies for records retention in the Registry Department of Ahmadu Bello University were permanent retention strategy and staff active service period but no available record retention schedule in the Registry. The study concluded that in the Registry of Ahmadu Bello University, Zaria, staff records and other types of records were generated. There was no records retention schedule to guide the retention of different records kept in the registry. The challenges faced were compliance, and tracing of staff records. This means that the records retention strategies employed in the registry were not in line with the yardstick used in this study. It was recommended among others that, aside staff records, other records such as account payroll, payable, account receivable, university administration to mention but few should be generated and preserved in such a way that records that have the same content, series and activities will be grouped together in the Registry of the University as this will ensure easy retrieval and use of such records when the need arise. In order to achieve positive effect on retention period on records in the registry, there is need to adopt records retention schedule as a guide in retaining records in the registry.   

CHAPTER ONE

INTRODUCTION

1.1        Background to the Study

Records are important documents found in the possession of either individuals or Organizations. They are documents that contain information which is either generated or received by individuals or organizations in the conduct of their everyday activities. Records guide the activities of individuals or organizations in such a way that, the business engaged by People and Organizations cannot be carried out without a document guiding such activities. Yeo

(2011) maintains that records are documents appearing in either Print or Electronic format. Examples of printed records include, Birth certificate, School certificates, Student Admission letters, Bank teller paper among others, while electronic records include individual or organizational information that are stored in an electronic Information devices such as Flash drives, Compact disks read only memory (CD-ROM), Digital versatile disk (DVD) and the rest.

Regardless of their media records are important to the individual or organization that creates or sometimes receives them. Smith, Ginn and Kallaus (2002) established that the importance of records are many and can be looked at from different angles. This means that some records are important administratively. These records help in guiding administrators in conducting their administrative work. Some records are important in terms of their financial Information. These records help in carrying out decisions concerning finance. Also, some records are important because of their Legal Value. These records assist in providing a particular

Claim by Individual or Organization. While other records are important because of their

Historical nature as contain information that has historical value. Other importance of records includes Education and Research etc. Many of these records are retained by individual or organization indefinitely after their creation.

Record retention in organizations has to do with keeping of records for a particular

Period of time in an organization. Organizations generate and receive different types of records. Aduku (2014) asserted that records that are found in the organization are categorized into short lived and long lived ones.  Records that have short life span are not retained by the organization that generates or receive such records.  While records that have long life span are retained by the organization because of their economic, administrative, historical, legal, values.  For an organization to retain its records with long life span, record retention schedule must be used as a guide.

`Records retention schedule is a tool that guides an organization in retaining its records.  Adikwu (2007) maintained that records retention schedule describes the types of records to be retained by an Organization and how such records will be retained.  This is because not all the records generated in an organization are needed for future reference.

The purposes of records retention by an individual or organization are many. This is depending on the policy of records retention of that individual or Organization. For example, some individuals retain their Records for the purpose of history, legal issue, and reference purposes, among others. Similarly, many Organizations, Governmental and Non- governmental organization retain their records based on their organizational records retention guidelines. These guidelines contain the purposes in which an organization records should be retained. These purposes can be administrative, legal, historical, reference, fiscal among others.

With regards to organizations, every Organization creates records that guide its daily operations.  No Organization can function without records which are either internally generated or received from external bodies.  Records created in the organization can be in print or electronic formats.  These records help Organizations in different ways.  For example, Kahn and Silverberg (2000) Unger, (2007) Nelson and Simex, (2009) Swartz, (2009) believed that records created in the Organization protect them from the risk of litigation.  Also, Joseph, Debowski and Goldschmidt (2014) agreed that records help organizations in planning for their day to day

activities.

Records created in an organization are stored in series of National Archives and Records Administration. Series constitute records that are stored in a definite order in the Organization as a group of identical or related records that are utilized and disposed of in the same way. United States National Archives and Records Management (2014) showed that series of records are placed in the file for easy retrieval. Brock (2010) maintained that records created and received by different organizations are retained for future reference. This is done using organizational guidelines such as policy documents.  This guideline mostly comes in form of policy showing what, how and when records are to be retained. Similarly, University of Vermont (2012) established that records in every department or unit in the organization are retained through following what is stated in the policy document of the Organization concerning records retention.

 

Taiwo et al. (2011), Aduku and Olugbeja (2012) showed that records are retained in the Organization following a standard called Records Retention Schedule. This standard clearly shows the type of Records to be retained, how they should be retained and the time the records should be retained. Calabria (2004), Gunnlaughsdottir (2006), Foscarini (2009), Joseph, et al., (2014) indicate that records that are worthy for indefinite retention in the Organization are classified in order to enable that Organization to ease the retrieval of such records.

Records are important documents that carry information about organizational operations.  They are the carriers or media in which information about Organizational operations are documented. Healy (2011) defined records as information created, received and maintained by individuals or Organizations whether in print or electronic media in the pursuance of legal obligations or in the conduct of day to day operations of that individual or organization. This means that records are always created by individuals or organizations and they serve as documents that can back the individual or organization as sources of evidence when a need arises. Also, Yeo (2011) maintained that records are primarily in the format of a document because documents are perceived as written or printed text on paper. Joseph et al. (2014) asserted that records encompass documents, working drafts, data, photographs among others.  These are also media through which records appear.

A record retention strategy identifies the retention needs of an Organization and encapsulates these into a records retention policy. The strategy also provides guidance to the department in selecting appropriate periods to support the strategy, and associate processes and procedure to manage records. Strategic records retention scheduling is the practical way to build a comprehensive records retention schedule.

With regards to standard that the researcher used as a guide in this study, American Institute for Certified Public Accounts records Retention Guide was adopted. This is because the researcher observed that all the types of Records in that guide are also found in the Registry department of Ahmadu Bello University, Zaria. This research was conducted using Big Bucket

Records Retention Theory‟s constructs of principle of records identification, and period of assignment to find out the records retention strategies used in the Registry department of

Ahmadu Bello University, Zaria.

 Registry Department of Ahmadu Bello University, Zaria

Ahmadu Bello University, Zaria registry department is part of the administrative segment of the University. It is headed by a Registrar. The section is responsible for collection, storage and preservation of the Records generated internally as well as those that are received from the external bodies concerning the University affairs. All the institutions research centers, faculties, departments and other units generate records that are stored in the registry. Ahmadu Bello

University, Zaria Registry is managed by records staff.

1.2       Statement of the Problem

Records retention is an important issue in every Organization. Organization that generate records need to retain records for a particular period of time, for example Organizational records such as contract records, purchase order, Sales records and payroll records among others are retained up to seven years depending  on the organization‟s  records retention guide.  These records are retained by such organization for a period of time during the conduct of organizational daily operations. Some of these records are needed for making decision in an organization concerning the operation of that organization. Smith et al. (2002) maintained that records are retained in the organization because of their value which include fiscal, Historical, Legal, Educational, Research and Administrative value. These records must pass through an assessment before their retention.

Preliminary investigation conducted by the researcher in the registry department of Ahmadu Bello University, Zaria revealed that staffs are experiencing delay in terms of getting access to the records kept in the registry. This could lead to delay in taking decision such as approval for sabbatical, approval for scholarship, Promotion, Study leave and the rest. ( Enwere,

1992; Taiwo et al., 2011; Aduku and Olugbeja, 2012). Could it be as a result of poor records retention? Could it be due to limited space?  Based on the above speculation, the researcher carried out this research using big bucket records retention theory‟s constructs such as principle of record identification and principle of records period assigning to find out the records retention strategies in the Registry Department of Ahmadu Bello University, Zaria.

1.3        Research Questions

The following are the research questions raised:

1. What types of records are generated in the Registry Department of Ahmadu Bello

University Zaria?

2. What types of periods are assigned to records in the Registry Department of Ahmadu

Bello University Zaria?

3. What are the strategies used in records retention in the Registry Department of Ahmadu

Bello University Zaria?

4. What are the challenges of records retention in Registry Department of Ahmadu Bello

University Zaria?

1.4       Objectives of the Study

The following are objectives of the study

1. To identify the types of record generated in the Registry o f Ahmadu Bello University

Zaria.

2. To find out the types of period assigned to record in the Registry of Ahmadu Bello

University Zaria.

3. To ascertain the retention schedule used for records in the Registry of Ahmadu Bello

University Zaria.

4. To investigate the challenges of record retention periods in the Registry of Ahmadu Bello

University Zaria.

1.5       Significance of the Study

This study is important to the records officers in the Registry department of Ahmadu Bello University Zaria in the sense that its recommendations will support records staff in improving the way they retain Records. It will also add to the knowledge of the officers working in this Department concerning the safest and acceptable ways to retained records.

In the same vein, the study is of significant importance to archives and record management officers working in different archival or record centers. For example, the staff working in places like National Archives, National Bureau of Statistics, National Records and Historic Centre among others will find the study useful. This is because from the study they will acquire knowledge on how to improve the way they manage records and archival documents in their various records and archival centers.

Additionally, the study will be of significant importance to teachers of archives and Records management. This is because they are expected to get new ideas from contemporary scholars on records retention. Furthermore, the study, serves as source of literature to other scholars in the field of records and archives, Library and Information Science, distinct and related discipline.

1.6       Scope of the Study

This study focused only on the registry department of Ahmadu Bello University, Zaria.  Only records officers in the department were used as the respondents of this study. Therefore, the study focused only on these records officers in the Registry.

1.7       Limitation of the Study

This Dissertation was limited by the experiences of the registry staff of Ahmadu Bello University, Zaria. It was also limited by the difficulty faced in convincing the respondents to response to questions.

1.8       Operational Definition of Terms

The following terms were defined operationally to ease their understanding and usage in

this research:

Records:  Documents that contain information

Records Retention: Act of keeping records for a particular period of time such as five, ten, twenty, thirty years etc.

Records Retention Strategies:  Systematic ways of keeping records for a particular period of time such as five, ten, twenty, thirty years etc.

Registry:   Establishment where records are kept.

 

 

 

 

 

 

 

 

 

 

 

                                                                 References

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Aduku, B.S. (2014). LIBS 831 Archives and Records Preservation and Maintenance:Course notes: Zaria. Ahmadu Bello University.

 

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RECORDS PRESERVATION STRATEGIES IN REGISTRY DIVISION OF AHMADU BELLO UNIVERSITY, ZARIA  

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