贊比亞大學(xué)記錄管理研究

學(xué)校代碼：巡研究生學(xué)號：QZ!!墨、Q墨

分類號：魚麴密級：玉

8

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

ResearchonthemanagementofrecordsattheUniver

sityof

Zambia0烈ZA)

作

者Bw

alyaTuesday（博

簫

晉k

李瑞勤教授

學(xué)科專業(yè)：情報學(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)位評定委員會

2010年5

月.

IIII

onn4

r1rl

IIIIII

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學(xué)位論文作者簽名：幽絲j金i泣左心

盟日期：2.o

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（保密的學(xué)位論文在解密后適用本授權(quán)書）

學(xué)位論文作者簽名：紐型塑：牛鄂蝸指

導(dǎo)教師：亟：蘭日

學(xué)位論文作者畢業(yè)后去向:電話:1

郵31JQLO44

8403

0

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、不誠實(shí)

等），并分析原因提出改進(jìn)方案。例如，被調(diào)查者中有69.8%的人承認(rèn)在他們?nèi)温?/p>

期間一些記錄消失的事件。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)缺乏一項(xiàng)

記錄管理程序。因此，該大學(xué)就沒有管理記錄政策、記錄保留以及銷毀計劃表、

手冊和小冊子的指導(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)人以及

來自其他大學(xué)的雇員就無從曉得他們應(yīng)該怎樣處理記錄。許多負(fù)責(zé)人在保留記錄時

不明確記錄應(yīng)該保留的時間長度，因此只能過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)電子記錄儲存于數(shù)據(jù)庫、電子郵箱以及其他二級存儲設(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)一規(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自大學(xué)的

支持。另外，記錄管理專家也無法與來自信息技術(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

Abstract

Theresearchdiscoversthatmaladministrationofrecords(ine

fficientanddishonest

managementofrecords)isrifeattheUniversityofZambia(UNZ

A).Forinstance,69。8%

oftherespondenlsadmittedthatthereareincidentswhererecords

undertheireustodygo

missing.Theya1soacknowledgedthattheyoftenhavedifficu

1ties1ocatingandretrieving

intimetheneededrecords.Thereareanumberoffact

orsresponsiblefor

ma1administrationofrecordsatUNZA.Themajorcauseofma1a

dministrationofrecords

atUNZAisthelackofarecordsmanagementprogram.Theuniversity

hasnotdrafted

andimp1ementedarecordsmanagementprogra

m.AsaresulLtheuniversitydoesnot

havearecordsmanagementpolicy,arecordsrelentionanddisposal

schedule,manua1s

andproceduresneededforthesmoothmanagementofrecords：Inthis

regard,records

officersandotheruniversityemployeesdonotknowwhatisrequ

iredofthemwhen

hand1inguniversityrecords.Manyofficersdonotknowthe

rightretentionperiodof

recordsundertheireustodyhencetheydisposethe

mpremature1y.Recordsarcnot

PPe1ycad,indexedandfi1edbecausethereisnoma

nua1toexpanhowrecord

hou1dbeeafid,indexedandfiled.Theresearcha

deedthatheno

nvo1vemenfordsmanagementexpertsinthemanage

meftheersty

oniordspartlyalsoresponsibleforthefr

t1osdshe1din

databases,electronicmaiIsandthoserecordsstoredonseco

ndarystoragefaci1itiessuch

asDVDs,CD&andDlskettes.Thenon-avaIIabIIItyofarecordsmanagementproframhas

a1soresu1tedinrecordsmanagementfunctionsnottoenjoymaximum

supportfromthe

universitymanagement.Inaddition,ithasmadeitimpossib1eforr

ecordsmanagement

expertstoworkwit11theircounterpartsfromthelTdepartmenti

nthemanagementof

electronicrecordsoftheuniversity.Maladministration

ofrecordsatUNZAisfurther

compoundedbytheabsenceofacompetentmidd1

elevelmanagementofficetoaidthe

registrar'Sofficeinthecoordinationandsupervisionofre

cordsmanagementactivitiesin

theuniversi

ty.

Keywords：Maladministrationofrecords,UniversityofZamb

a,Records,Records

managementprogr

am

打

TABLEoFACRoNYMS

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TABLEoFCoNTENTS

Abstract(ChI

inese)

Abstract(EnglII

ish)

III

CHAPTER1DJTRoDUCTIONANDBACKGROUINFORMATION

1.llntrclduc^fon...

1.2HistoricalBackgrotheUniverstyofZam

bia(UNZA)

1.3Principaladministe0ffices2

ofLrNZA一,e

1.4Schoo1s>Directorateandlnstitu3

teofUNZA

3

.3],6Reco

rdscreati

onandmana

1.7Categoriesofreco

gementatU

NZA

Fc^^B^PROBLEM,oE,

CHAPTER2譬附汀EMENT0THEORETICAL

nU山伍.WoRKANDOBJECTn吧SOFTHESTUDY

s

CHAPTER3L1TER/鋼ri,REREVDIWINCLUDESCONCEPTSDEFINITION,U

SES.▲

OFRECORDSANDCAUSESOFMAI.ADMINSTARTIONOFRECORDS

3.iMaladministratio1

nof

3.2Anx：cIrd—12

3.3Characteristicsofareool.d—14

IV1

p

r

3.4Usesofrecords,一15

3.5Theconceptofrecordsmaement-...~...~1~121

ds1ifeode1vcrsI.ksRecord

sContinuummode1

3.5.2TheimpcIn鋤ceofunde/t卜卜dingtherecords1ifecyc1eandr

ecordsContinuummode1sI產(chǎn)

ro

3.6.iRecordsmanagTTX

entPSA

3.6.31沁co1?也a?aec管c_?_L_progingb1ocks...------z,

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agement一尺

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上VHJCXX

3.6.5.6Electronicrecoagement---------------------————―

3.6.5.7Personne

ecords

3.6.5.8Financef

cords

3.6.5.9Pre^u

3.6.5.10Rd

ment1

3.6.6Thepositionofrecorntfu

s仰cIure...65

CHAPTER4RESEARGIPULATINDESCION,SAMPLJN

TECHNIQUEC0Ys

METHOD^0)

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AUDESREcINDINGkSIONOn

FINDINGS.CoNCLUSIONANDRECOMMENDATIONS.

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105

VI

CHAPTER1INTRODUCTIONANDBACKGROUNDINF

0RMATION

Recordsareofoneoftheindispensableresourcesofanyorganizatio

n.Theyareusedfor

administrative,legalandhistorica1researchactivities.T

oensuretheintegrityofrecords,a

robustrecordsmanagementsystemshouldbeestabiishedandimp1emen

tedbyan

organization.Awater-tightrecordsmanagementsystemisnee

dedinorganizationsSOthat

recordsaremanagedina11efficientandethicaImanne

r.Itishoweverdisturbingtoknow

thathistoryisrepletewithcaseswherepublicrecordsandprivater

ecordshasbeen

inefficient1yanddishonest1ymanagedthussabotaging

government,organizationaland

individualactivitiestherecordsintendedtoserve.T11iSma1admi

nistrationofrecordshas

beenreportedinbothprintandelectronicmediaamonggovernm

entalbodiesandother

organizationsaroundtheglobe.Someofthesema1admin

istrationcasesaretoose

becausetheyinvolvethedeletngofrecordsintentiona1lyasawayof

suppressingthe

(UNZA)isoneofsuchpub1icinstitutionsthatexp

eriencema1administrationofrecords.

Ma1administrationofrecordsisthreateningtocomplet

elyterminateaccountabi1ityand

transparencyintheuti1izationofresources(pub1icresources)me

anttobetterpublic

servicedeliverytothegeneralcitizenryamonggovernmenta1bodie

s.Maladministration

ofrecordsisacancerthatneedsurgentmedica1attentionore1seitw

i1lerodecompletely

theprinciplesandphilosophiesuponpublicinstitutionssuchasUN

ZAwereestablished.

1.2HistoricalBackgroundoftheUniversityofZam

bia(UNZA)

DuringtheBritishco1onia1ruleinZambia,opportunitiesforh

ighereducalionand

trainingforZambianswere1imited.OnlyahandfulofZamb

iansreceivedhigher

1

educationandtrainingfromtheBritishcolonialgovernment.Th

isresuItedinanacute

shortageofhumanresourceinZambiajustafterindependence

in1964.Theacute

shortageofhumanresourceconstitutedamajorbolt1ene

cktothecountry'S

developmentalefforts.Asaresultofthisshortage,Za

mbians>)1,itl1lowerformal

qua1ificationshadtoberecruitedt0fi1lupthegapsleftbyexpatri

ates,particularlyinthe

pub1icsecto

r.

Inviewofthis.thepostindependencegovernmentendeavoredtofinda

panaceatothe

prob1em.Thethengovernmentundertheleade

rshipofDrKennethKaundadeemedthe

estab1ishmentofUniversitiestoprovidetrainingtoZambian

sarea1isticandpermanent

so1utiontotheacuteshortageofhumanresourcethecountryfaced.I

nMarchl963,a

commissionchairedbySirJohnLockwood,aformerViceChance1

loroftheUniversity

ofLondonwasappointedtoassessthefeasibiIityoftheestablishme

ntofaUniversityin

whatWasthenca11edNorthernRhodesia.ThereportwhichWassubmitt

edbyLockwood

commissiontogovernment1edtotheestabiishmentoftheUniv

ersityofZambiain1966.

1.3PrincipaladministrativeOff

icesofUNZA

Theprincipaladministrativeofficesattheuniversityare：Office

oftheChancellor,

UniversityCounci1,OfficeoftheViceChance1lor,Officeoft

heDeputyViceChance1lor,

OfficeoftheRegistrar,OfficeoftheBursar,Officeoft

heLibrarian,andDeanof

Studentsoffice.Notethattheseofficeshavebeenlistedacco

rdingtotheirorderof

hierarchicalimportance.Theseofficesconstitutetheprinc

ipalOffiCeSresponsibleforthe

generaladministrationoftheuniversi

tybusiness.

1ASchoo1s,Directorateandinstitute

ofUNZA

TheacademicbusinessoftheUniversity

ofZambiaisadministeredthroughSchoo

DeansandDirectorsoftheDirectorateandlnstitutewhoareanswera

1J1etotheO伍cethe

ViceChancellorandtheDeputyViceChancellor.Therear

enineschoolsaltheUniversity

2

Y

ofZambia.Theseare：AgriculturalSciences,Engineering,Educati

on,Humanitiesand

SocialSciences,Law,Mines,Medicine,NaturalSciences,and

VeterinaryMedicine.In

additiontotheseschools,thereisaDirectorateofResearchandGrad

uateStudiesandthe

InstituteofDistanceEducation(formerlycalledtheDirecto

ateofDistanceEducation).

1.50therUnitsofUNZA

TheC1inicandTechnologicalDevelopmentUnit(TDU)aresomeoftheot

hermajorunits

oftheuniversity.Theuniversityc1inicisveryessentialasitprov

ideshea1thservicesto

students,themembersofstaffandtheirfami1ies.Italsoexte

ndstheroleofproviding

healthservicestothecommunitiessurroundingtheuniversi

ty.TheTechno1ogica1

DevelopmentUnitischargedwiththeresponsibi1ityofdevel(

pingtechnologiesthat

couldbeappliedtomanysectorsoftheec

onomy.

1.6Recordscreationandmanagementa

tUNZA

Likeshownabove,theUniversityofZambiacompriseseightprincipa

offices,nine

schools,adirectorateandinstitute.Inaddition,therearei

nitssuchastheclinicandthe

technologicaldevelopmentunit.A11theseoffi

jfi./e.s,schools“d.irectorate/in.stituteandunits

jBinvolvedintnecreatlonanaaccumu

1ationofrecordsasofficebearersa

supportstaffcarryouttheday.to—daybusinessoractivitie

Utiteliln6vhrEity.

TherecordsmanagementsystematUNZAisb

asedontheBritishMode1ofmanaging

records.Thisrecordsmanagementsysteminvolveskeepi

ngactiverecordsinthe

registries.Whenthey