1.1 Background of the study
The University of Nairobi, a body corporate established
under the Universities Act 2012 of the laws of Kenya and the University of
Nairobi Charter, is the pioneer institution of University education in Kenya
and the region.
The University of Nairobi responded to the national,
regional and Africa’s high level manpower training needs by developing and
evolving strong, diversified academic programmes and specializations in basic
sciences, applied sciences, technology, humanities, social sciences and the
1.2 Context of the study
ISO standard 15489: 2001 defines Records Management (RM) as “the
field of management responsible for the efficient and systematic control of the
creation, receipt, maintenance, use and disposition of records, including the
processes for capturing and maintaining evidence of and information about
business activities and transactions in the form of records.”
Electronic Records Management (ERM) ensures the organization
has the records it needs when they are needed.
National Records for Scotland states that an Electronic Records Management System otherwise abbreviated as(ERMS) is
a computer program or set of programs designed to track and store records. The software can be used to
manage the creation and reception, classification, application of retention and disposal, and control access
management has become a challenge to many institutions in as far as Records
control, loss, retrieval, retention and disposal, disaster management,
maintenance and preservation is concerned.
acquisition or development of an electronic records management system has
proved to be as difficult task to many organizations in that the duration and
the procedures that are followed are equally involving and expensive. Though there would be varied differences
amongst many organizations mainly due to organizational structures and their varied
1.3 Statement of the problem of the problem
study aims to assess the level of records management practices within
University of Nairobi as a learning institutions in respect to loss, access and
retrieval, retention and disposal, conservation and maintenance of student
academic records. The qualitative research aims to show how application of
electronic records management system aims to reduce and manage these problems
1.4 Aim of the study
This study aims to allow academic institutions to manage
student academic records from creation, reception, storage, use and disposal.
In this respect, the study aims to identify problems and
their solutions to be applied throughout the process.
1.4 Research Objectives
improve access and retrieval of student academic records.
conservation and disposal(maintenance) of student academic records
challenges encountered in training of users of electronic information system
the resources available for developing and sustaining electronic records
the benefits that electronic records information system has to the institution
1.5 research questions
aim of the study is to investigate;
How Electronic information system will improve
access and retrieval of student academic records
it will improve conservation and disposal (maintenance) of the records
the challenges and solutions available in training staff about use of the
Electronic Records information system are
resources are available for developing and sustaining electronic records
the benefits of Electronic Records management system are?
1.6 significance of the study
This research is significant because there has been no research
done to done to determine the effects of ERMS.
The study aims to indicate the advantages and disadvantages
in the adoption of ERMS. It will also be a stimulus for enhanced service
delivery reduces expenditure for the institution, and finally its findings
shall be of added value to the expansion of knowledge to learners and
2.0 CHAPTER TWO: LITETRATURE REVIEW
Electronic Records management System is a computer software
program or a set of applications which are built to track and store records.
The program can be used to manage the creation and maintenance of records,
apply retention and disposal schedules, and control access and use.
The main business reasons for an electronic records
management system were to enable sharing of documents across several sites, to
make finding information easier, to stop duplication and to help version
control in order to make Estates run more efficiently. At first, it was thought
that an electronic document management system would do all that was required,
and this would probably have met the business reasons for a system. However,
the compliance?related reasons led to procuring a system that could allow both
the ease of working and version control of document management and the legal
reliability and retention control of records management.
The purpose of this chapter is to review literature sources
relevant to the area of study so as to determine what have been done and what
has not been done about this topic.
2.2 Electronic Records Management Information
(1996), in her review of a document management strategy report, states that:
The most important success factors for Electronic Records management systems,
almost irrespective of business sector, include faster task completion,
improved quality, cost reduction in addition to other significant issues in
records are like meeting statutory requirements and improving records security.
basic benefits are that work is done more easily with less effort and it is done more quickly; it is done with
better quality. It is also easier to
find out about it afterwards.
It is widely known that
implementation of ERMS is a long and complex process. However, it is also
recognized in the academic literature that implementation of ERMS is worthwhile
due to the numerous benefits that ERMS holds. (Johnston and Bowen, 2005)
It is thus widely accepted that
ERMS can lead to less coordination effort, higher quality, higher efficiency,
and higher maintainability (Reijers et al., 2003) and that it can stimulate
transparency and accountability. Thus providing an unbiased, accurate and
recorded account of responsibility
Direct benefits from the use of Electronic
Records Management Systems include productivity improvements, cost-cutting, space
saving, and a general improvement in work processes (Johnston & Bowen, 2005)
2.3Benefits of Electronic Records Management
An automated system used to manage the creation, use,
maintenance and disposal of electronically created records for the purposes of
providing evidence of business activities. These systems maintain appropriate
contextual information (metadata) and links between records to support their
value as evidence (National Archives of Australia, 2005).
Paper records can only be in one place at a time. Electronic
records can be viewed by many people at the same time. This has benefits in
terms of access: users in different places can discuss the same record, or
different users can use the same record for different purposes.
Remote access to records by staff who are not in the office
is a significant benefit. (Improvement and Development Agency, n.d.). (Salford
City Council, 2005)
2.3.1 Access and user convenience
Paper records can only be in one place at a time. Records in
an Electronic records Management System hosted in a central server can be
viewed by many people at the same time. This has benefits in terms of access. Users
in different places can use the same record, or different users can use the
same record for different purposes.
Remote access to records by staff who are not in the office
has been a significant benefit to one project. (Improvement and Development Agency,
n.d.). This provides several tangible and intangible benefits. For example,
there has been a 15?20 per cent improvement in productivity in Council Tax and
Benefits processing and an even more significant increase of 48 per cent in
productivity within Overpayments in Salford City Council. The important
benefits include a heightened level of staff satisfaction and
motivation (Salford City Council, 2005).
In relation to this, Electronic Records management Systems is
important to academic institutions in that sections, departments such as
schools, finance, exam centers and students who are need access to these
records at any time can access them conveniently from remote locations. It only
needs to be hosted in a central server.
This will help in promoting efficiency, effectiveness and quality
in work and service delivery.
In terms of records storage, space is an important matter to
consider. Electronic Records management System requires only one copy of the
record the stored in the system and thus can be accessed by many users from different
locations simultaneously. This helps in
managing of storage space economy.
2.4 Resources available for sustaining ERMS
Electronic records management system is a very complex
information system. Requirements pertaining to it are quite diverse and unique.
Basically, in almost all types of information systems, requirements are
categorized into two and they are functional requirements and non-functional
requirements. Functional requirements are requirements that an information
system must have in order to operate seamlessly. The non-functional requirements
are requirements that technically support the operation of the information system.
Examples of functional requirements include the computer hardware and software
while non-functional requirements include shelter and human workforce. Information systems are developed based on
these two requirements Satzinger, Jackson & Burd, 2009;Shelly &
3.0 CHAPTER THREE
This chapter describes the specific strategies used in data
collection analysis. It focuses on the study area, research design, study
population, sampling techniques and description of the research instruments,
data collection, procedures and analysis of data.
3.1 Study Area
The study will be carried out at The University of Nairobi,
Chiromo Campus. This area of research is chosen because of its location as it
is based near Nairobi Westlands and therefore the researcher will not
experience traffic jam on the road during the time of conducting this research.
3.2 Research Methodology
The researcher will use a mixed
research method which will give
the researcher exhaustive results pertaining the research question being
pursued. It gives the researcher space to get results for the research from
different varied research methods such as questionnaires and interviews hence
producing exhaustive and satisfactory results
Mixed methods research is the type of research in which a
researcher or team of researchers combines elements of qualitative and
quantitative research approaches (e.g. use of qualitative and quantitative
viewpoints, data collection, analysis, inference techniques) for the broad
purpose of breadth and depth of understanding and corroboration (Johnson et
al., 2007, p. 123).
3.3 Data collection tools
The tools for research will include
The researcher will use both structure and unstructured
questionnaires. The questionnaires wil have both structured and unstructured
predetermined questions. The questionnaires will be hand delivered to the
respondents and given a chance to fill them, after which they will be collected
The researcher will also send questions through emails to
the respondents and later analyze the responses from the respondents.
The researcher will conduct a question and answer session
with the respondents to collect data from their responses.
3.3.5 Documentary Analysis.
The researcher will also check through past researches,
journals and even textbooks to collect data about the research topic for
3.4 Sampling Methods.
This is the process of identifying and picking members of a
population as a representation in research, to provide answer to the question
The researcher will use probability/Random sampling method in
the research and more so a homogenous sampling, which identifies samples with
similar characteristics with a particular interest needed by the researcher.
3.5 Sample population.
According to Explorable, Population sampling is the process
of taking a subset of subjects that is representative of the entire population.
The sample must have sufficient size to warrant statistical analysis.
The researcher will also take eighty (80) individuals as the
total sample population needed to accomplish the intended results for the above
3.6 Data Analysis Techniques
After collecting data from the respondents, like the
questionnaires, interviews and documentary analysis, the researcher will check
their reliability and relevancy using both qualitative and quantitative
techniques. This will involve descriptive statistical and non-statistical
methods to generate means, modes percentages and frequencies. Data will be
cleaned, coded, summarized and analyzed, then presented using tables, graphs
and pie charts.
3.6 Reliability and validity
Responses from respondents will be treated with high degree
of confidentiality. Ethical issues will be observed throughout the study and
objectivity will be the main focus of the study.
Organization for Standardization – ISO (2001). “ISO 15489-1:2001 –
Information and Documentation – Records Management
Johnston, G., & Bowen, D. (2005). The benefits of
electronic records management systems: A general review of pub-lished and some
unpublished cases. Records Management Journal, 15(3), 131–145.
Johnson, R.B., Onwuegbuzie,
A.J. and Turner,
“Toward a definition of mixed methods research”, Journal of Mixed Methods Research,
Vol. 1 No. 2, pp. 112?33.
McLeod, J. (1996), “A
review of ‘Document management strategy report – the virtual opportunity'”, Records Management Journal,
Vol. 6 No. 1, pp. 62?4.
National Archives of Australia (2005), “Glossary”, available at: www.naa.gov.au/recordkeeping/er/guidelines/14?glossary.html
Reijers, H.A., Rigter,
J.H.M. and Van der
Aalst, W. (2003), “The case handling
case”,International Journal of Cooperative Information Systems,
Vol. 12 No. 3, pp. 365?91.
Salford City Council (2005), available at: www.salford.gov.uk. Google
Satzinger J, Jackson, R and Burd. S.
(2009). System Analysis and design in a changing world (5th ed.). Course
technology; Boston, MA.