Challenges of Academic Recordkeeping

RECORDSKEEPING AND MANAGEMENT CHALLENGES AND
THEIR IMPACT ON QUALITY EDUCATIONAL SERVICE DELIVERY

IN TERTIARY INSTITUTIONS IN GHANA
MOSES SEBASTIAN KWAME AZAMETI-TORMADOGO
OPEN UNIVERSITY MALAYSIA (OUM) /ACCRA INSTITUTE

OF TECHNOLOGY (AIT)
2016
CREATION AND MANAGEMENT OF ACADEMIC RECORDS
FOR EDUCATIONAL SERVICE DELIVERY IN
TERTIARY INSTITUTIONS
A Thesis Submitted in Partial Fulfilment of the Requirements for the

Degree of Doctor of Philosophy (Education)
Centre for Graduate Studies
Open University Malaysia (OUM)/Accra Institute of Technology

(AIT)
2016
CREATION AND MANAGEMENT OF ACADEMIC RECORDS
FOR EDUCATIONAL SERVICE DELIVERY IN
TERTIARY INSTITUTIONS
CREATION AND MANAGEMENT OF ACADEMIC RECORDS FOR EDUCATIONAL SERVICE DELIVERY

IN TERTIARY INSTITUTIONS
OPEN UNIVERSITY MALAYSIA (OUM) /ACCRA INSTITUTE

OF TECHNOLOGY (AIT)
2016
DECLARATION
Name of Student: Moses S. K. Azameti-Tormadogo
Student ID Number: PHDED10A0004Y
I, Moses S. K. Azameti-Tormadogo, hereby declared that with the exception of the
references made to other people’s works including theories which have been duly
acknowledged, this thesis is the result of my own work under the supervision of Dr.
Emmanuel Adjei, a lecturer in the Department of Information Studies of the
University of Ghana, Legon, Accra.
Signature:.................................................... Date: 15th August, 2016
Name of Supervisor: Dr. Emmanuel Adjei
Signature:............................................. Date: 15th August, 2016
i
ABSTRACT
This study examined challenges associated with Academic Recordkeeping and

Management Practices and their impact on quality educational service delivery and
customer satisfaction in Tertiary Institutions in Ghana. The challenges were categorised as
technology, procedural and social that framed up the epistemological domain of the study. A
sample size of 1,242 involving record-keepers, lecturers, heads of institutions and IT
personnel were drawn from ten (10) tertiary institutions through non probability sampling
thus, purposive and convenient. The study was approached in two folds areas: Qualitative
and Quantitative. Qualitative data were gathered through interview series and open
responses to non-structured research instruments. A non-parametric tool such as
transcription, descriptive statistics and frequency distribution in addition to multivariate
analysis to ensure that basic assumptions of regression were verified and resolved. The
research tools were exploited in the analysis to examine the existence of policy domain
guiding academic records keeping and management practices (ARKMP). The mode of the
policy evolvement, uniformity of the framework and differences between institutions with
policy framework formulated through internal and external factors and those without policy
frameworks were all examined. It concluded that differences exist between the institutions
with policy domain guiding ARKMP. Furthermore, the policy frameworks lack uniformity
despite the fact that the institutions were operating in the same line of business. These
results have implications for policy and practice. In the second approach quantitative data
was used to analyse the influence of social factors and academic recordkeeping and
management practices and the effects on quality educational service delivery and customer
satisfaction. Multiple linear regressions in the form of MANOVA & ANOVA and descriptive
statistics such as frequency distribution were tools used. The result obtain indicated that
social variables which include ethnic relations, hallow effect, social cohesion among others
resulting in aiding students during pre and post assessments, all influence academic
achievement of students in terms of their records. This implies that academic assessors and
records management practitioners should be discouraged from negative social contacts with
students, parents and other interest groups that influence them in their professional duties.
Under the SERVQUAL conceptualization, the challenges examined in the study influenced
service delivery and customer satisfaction in the institutions where lacks of Empathy,
Reliability and Responsiveness from services providers makes the greater impacts on
customer satisfaction. The theoretical contribution of this study appears to be the adoption of
social theories such as social capital and critical realism in explaining social variables
influencing students’ academic achievement in terms of Academic Records-keeping and
ii
management instead of the traditional records life-cycle concepts and other related concepts
in the study domain.
Key Words: Internal and External institutional social factors, Academic records-keeping and
management practices. (ARKMP) Multiple linear regression, critical realism and social
capital theories, record life cycle concepts procedural and technology challenges and social
cohesion.
ACKNOWLEDGEMENTS
I wish to express my inestimable appreciation to Professor Dzidonu the Director of
AIT and my Supervisors, Dr. Adjei Emmanuel of the Information Studies Department,
University of Ghana Legon and Dr. Hillah Addo of University of Professional Studies
(UPS) for their unique professional guidance and constructive criticisms and
suggestions during the compilation of secondary data and presentation of this
research. The following individuals also deserve my acknowledgement for the
diverse ways in which they assisted me in the course of the study: Mr. George
Akorfu, Head of IT – Wisconsin International University College –Ghana, Mr. Akakpo
of Lutheran Junior High (LJHS) in Accra, Abigail Azameti my daughter of Cape
Coast University, master Alfred Derfla Y. Azameti my son who is currently a first
year student of the Kwame Nkrumah University of Science and Technology– KNUST
Ms. Georgina Disu and Esther Bekoe – Wisconsin International University College at
the Academic Secretariat for their efforts and professionalism in typing the research
document. The rest are: Dr. Akosua Eghan – a former Registrar, and Pro-Vice
Chancellor, Wisconsin International University College, Ghana for her supportive
roles on sponsorship package for the programme. The Academic Board Members of
Wisconsin International University College, Ghana also deserve appreciation for the
same role. I also hereby acknowledge the effective contributions of my colleagues in

iii
the PhD programme of AIT/OUM for their insightful contributions during the series of
seminar presentations which helped to reshape the quality of the work from day one
up to date. The last but not the least of my appreciation goes to the panel of
Professors: Appiah, Wireko and the Academic Dean, Prof. Yeboah Amankwa whose
preliminary constructive criticisms of the literature review helped significantly to
improve upon the quality of the second chapter of the study.
TABLE OF CONTENTS
Title Page
DECLARATION i
ABSTRACT ii
ACKNOWLEDGEMENTS iii
TABLE OF CONTENTS iv
LIST OF TABLES xi
LIST OF FIGURES xiii
ABBREVIATIONS AND ACRONYMS xiv
CHAPTER ONE 1
General Introduction and Summary 1
1.1 Introduction 1
1.2 Background to the Research 1
1.3 Problem Statement 6
1.4 Objectives of the Study 11
1.4.1 General Objective 11
1.4.2 Specific Objectives 11
iv
1.4.3 Research Questions 12
1.5 Hypothesis Tested 12
1.6 The Significance of the Study 13
1.7 Operational Definition of Terms 19
1.8 Limitations of the Study 23
1.9 Chapter Summary 26
CHAPTER TWO 30
THEORETICAL FOUNDATION, EMPIRICAL STUDIES AND RELATED

LITERATURE REVIEW 30
2.1 Theoretical Framework 30
2.1.1 Overview of Theories 30
2.1.2 Records Management Theories Applicable to this Study 32
2.1.3 The Records Continuum Concept 34
2.1.4 Principles of Provenance and Original Order 38
2.1.5 Records Office Strengthening 40
2.1.6 Theories Related to Sociological Factors in support of the Study 40
2.1.7 Critical Realism Theory 41
2.1.8 Social Capital Theory 45
2.2 Synopsis of Records and Records Management Globally 48
2.2.1 Challenges in Records Management 49
2.2.2 Social Factors Influencing Creation and Management of Records 60
2.2.3 Challenges Associated with Records Management 63
2.2.4 Ethical Challenges in Records Management 65
v
2.3 Literature Review 71
2.3.1 Characteristics of a Record 71
2.3.2 Records Management 73
2.3.3 Purpose of Records Management 73
2.3.4 Importance of records management in a University Environment 75
2.3.5 The Records life Cycle Model 76
2.3.6 Defining Records and Explaining Their Importance 77
2.3.7 Symptoms of Poor Record Management 80
2.3.8 Academic Records and Their Importance 83
2.3.9 Managing Records in Hybrid Environment 84
2.4 Policy Directives for managing Students’ Records 87
2.4.1 Academic Records 89
2.4.2 The Authenticity of Academic Records 90
2.4.3 Records Keeping and management systems 90
2.4.4 Alteration of Academic Records 93
2.4.5 Online Records Systems Hacking in Tertiary Institutions 94
2.4.6 Policies and Procedures in Records Management 96
2.4.7 Policy Guidelines for Curbing Academic Malpractices in Tertiary
Institutions in Ghana 97
2.4.8 Guidelines To Student’s Plagiarism and Other Forms of Academic
Malpractices 99
2.4.9 Quality Service Delivery and Customer Satisfaction 101
2.5 Records and Service Quality 102
2.5.1 Ethical Issues in Educational Management 104

vi
2.5.2 Challenges Associated with Records Management 108
2.5.3 Tertiary Level Education in Ghana and the Current Phase 111
2.5.4 The Current Phase of Tertiary Institutions in Ghana 115
CHAPTER THREE 117
RESEARCH METHODOLOGY 117
3.1 Introduction 117
3.2 Research Design 117
3.3 Research Format 119
3.4 Data Type, Sources Population and Sampling Procedure 120
3.4.1 Data type 120
3.4.2 Data Sources 120
3.5 Population, Sample Size, Sampling Procedure, Data Collection

Instruments, and Processing Procedure for Qualitative Data 122
3.5.1 Research Population 124
3.5.2 Sample Frame 125
3.5.3 Sampling Technique 128
3.5.4 Data Collection Instruments 130
3.6 Tools for Analysing Primary Data 141
CHAPTER FOUR 143
PRESENTATION OF ANALYSIS AND STUDY RESULTS 143

vii
4.2 Demographic Characteristics of Respondents 146
4.2.1 Reliability Test for Construct 152
4.3 Quality Educational Service Delivery 151
4.4 Social factors that influence students’ Academic Achievement in terms

of Academic Record-keeping and Management Practices. (ARKMP) 153
4.5 Academic Recordkeeping and Management Challenges that

affect Customer Satisfaction 155
4.6: Social factors that influence Academic Records Keeping and

Management Practices 157
4.7 Policy guides in Academic Records Management Practices 159
4.8 Technology Challenges associated with Academic Record Keeping &

Management Practices (RKMP) 164
CHAPTER FIVE 170
Discussion of Study Results and Implications 170
5.2 Discussion of interview Results on policy domain Guiding

Academic Records keeping and Management Practices (ARKMP) 170
5.3 Social factors that influence Academic RKMP in Tertiary Institutions 180
5.4 Challenges Associated with ARKMP and Effects on Customer Satisfaction 190
5.5 Technology Challenges Associated With ARKMP 193
5.6 Technology Challenges associated with Records keeping and

Management practices 196
5.7 Summary of Discussions on the Study Results on Qualitative

and Quantitative Data 198
CHAPTER SIX 200
Summary, Conclusion, And Recommendation 200

viii
6.2 Summary of the Main Findings of the Research 202
6.3 Factors of ARKMP that Affect Educational Service Delivery 204
6.4 Implications of the Research Findings Based on Qualitative Data PART 207
6.4.1 PART A 207
6.4.2 Practical Implications of the study 208
6.4.3 Study Implications Based On Quantitative Data Analysis 210
6.5 Limitations of the Study 217
6.6 Recommendations 219
6.7 REFERENCES 225
APPENDICES 245
ix
x
LIST OF TABLES
Table Page
Table 3.1: Institutional Sampling Frame 126
Table 3.2: Reliability Test 134
Table 3.3: Item-Total Statistics 134
Table 3.6 Item-Total Statistics 136
Table 3.8: Reliability Coefficient for questionnaires for Recordkeepers 138
Table 3.9: Research framework Linking Research Objectives with

Research Questions, and Methods of Data Analysis 139
Table 4.1.1: Gender 147
Table 4.1.2: Educational level 148
Table 4.1.3: Marital Status 149
Table 4.1.4: Religious affiliation 149
Table 4.1.5: Age Range 150
Table 4.1.6: Type of Institution 151
Table 4.2: Reliability Test of Construct 150
Table 4.3: Factors of ARKMP that affect quality educational service delivery 152
Table 4.4: Social factors that influence students’ Academic Achievement 154
Table 4.5: Challenges that affect Customer Satisfaction 156
xi
Table 4.6: Social factors that influence Records Keeping Management Practices 158
Table 4.7: Factors that determine institutional Policy Framework for ARKMP 161
Table 4.8: Descriptive Statistics 162
Table 4.9: Institutions Selected for the Study 163
Table 5.0: Research framework linking Research objectives, Questions,

research hypothesis, Findings & Implications 165
xii
LIST OF FIGURES
Figure1.1: Problem Context of the Study 7
Figure 2.1 Life-Cycle Concept 34
xiii
ABBREVIATIONS AND ACRONYMS
CIO - Chief Information Officer
EDI - Electronic Data Interchange
EDRMS - Electronic Document and Records Management Systems
GDT - General Deterrence Theory
GSA - General Services Administration
ICA - International Council on Archives
ICT - Information Communication Technology
ISO - International Organization for Standardization
IT - Information Technology
LAN - Local Area Network
OCR - Optical Character Recognition
PC - Personal Computer
PDA - Personal Digital Assistance
QA - Quality Assurance
QE - Quality Enhancement
RKM - Records keeping and Management
RIM - Records and Information Management
RM - Records Management
RMAA - Records Management Association of Australia
SAT - Standard Assessment Test
SPSS - Statistical Package for Social Sciences
TQM - Total Quality Management
USA - United States of America
WAN - Wide Area Network
xiv
CHAPTER ONE
GENERAL INTRODUCTION AND SUMMARY
1.1 Introduction
This study examined technology, procedural and social challenges associated with
academic records keeping and management practices in tertiary institutions in
Ghana. The first chapter provides the paranomic view of the entire research. It
covers the background to the study, problem context, the general and specific
objectives of the study, hypothesis tested, justification and significance of the
research and operational definitions of terms. A study framework in figure 1.1 in the
first chapter explains the summary of the problem context. Besides, the second
chapter presents the literature review, theoretical foundation, synopsis of empirical
studies reviewed. This is followed with the third and fourth chapters which present
the methodology and analysis of data. The last two chapters present the study
results and discussions, implications of the findings and finally the summary,
conclusion and recommendations.
1.2 Background to the Research
Records keeping and management form an integral part of every organization;
records are taking to be a biological being, they exist and go through the life process,
however some records are not destroyed because of their historical and legal
importance. This has introduced another strand in the records keeping and
management profession (Emery, 2005). It is this domain of the records keeping and
management practices that led to archival studies and practices in many countries of
the world. This branch of records keeping and management practices has gained a
lot of recognition among many professionals in the field, for example, Durante,
1
Luciana( 2004), Michael Buckland, (1998),Boyce and Donald,H.Kraft,1985),Sue,
Meckemmish(1999) and other archivists recorded in the literature. However, this
dimension of the records management practices is not the direct focus of this study.
The present study however; focuses broadly on Academic Records Keeping and
Management Practices (ARKMP) and associated challenges and academic
achievements among students and the relationship between their final records in
tertiary institutions in Ghana. These areas are the gaps in the literature which this
study seeks to fill.
Records keeping and management practitioners in tertiary institutions in Ghana’s
educational enterprise are facing insecurity challenges in the use of computer
technology for records keeping as well as procedural and social challenges in the
midst of increasing enrolments and poor academic standard in the country. The
procedural problems involve improper data and information capturing for record
creation and management. The social challenges in the scheme of things consists
of too much familiarities and acquaintances between students and authorities such
lecturers and administrators. These challenges have made the records systems in
many tertiary institutions unauthentic, unreliable and inadequate for efficient and
records time educational service delivery by the records administrators. As results of
the challenges many of the emerging private universities in the country scarcely put
together the totality of their students’ academic records for onward submission to
their mentoring public universities who award the degree to the students after all the
authentication processes and approval for the conferment of the degrees due the
deserving grandaunts.
.
2
This study was propelled by the fact that in Ghana government departments and
Academic institutions are required by Law to adopt a systematic and organized
approach to records management. For example, the Public Records and Archives
Administration. Act 1997 (ACT 535) provides the legislative and legal framework
according to which records management practices in governmental bodies and
educational institutions are regulated.
1. In accordance with section (i). The Public Records and Archives Administration
Department established under the public Records and Archives Administration
Department (Established ) Instrument, 1976 (L.I. 1628) shall be responsible for the
proper and affective management of records in public institutions government
departments to which this ACT applies.
2. For the purposes of subsection (1) of this section the Department shall-
a. Ensure that public officers, institutions and individuals who create and maintain
public records, that records managers must follow good recordkeeping
practices,
b. Established and implement procedures for the timely disposal of public records of
no continuing value.
c. Advise on best practices and established establish national standards in records
keeping and management practices in the public services,
d. Establish and implement procedures for the transfer of public records of
permanent value for preservation in repositories as may be designed, under the
ACT and
3
e. Perform any function conferred as the national Archives under any other existing
enactment.
The focus of this study however, is about the status of recordkeeping and
management practices in tertiary institutions in Ghana where challenges such as:
(i) Technology application, increasing students enrolments and creation of
volumes of data , procedures for data capturing, and inordinate desire among
students to ensure their academic self-efficacy and the associated social
contacts among students and employees in the institutions.
(ii) This has rendered the records keeping and management systems useless,
unauthentic and non-trustworthy in recent times. Studies show that records are
vita asset in ensuring that institutions are governed effectively and efficiently,
and they are accountable to their staff, students, and community that they
serve. Records support decision making, organize documents, provide
evidence of policies, decisions, transactions and activities and support the
institutions in cases of litigation. Searching for a document or electronic data or
record that cannot be easily retrieved is one major problem that many
institutions face and also consumes time for the individual searching for that
document. Wamukoya and Mutula (2005) state that poor records management
is guaranteed due to the result of information gaps that lead to inadequate
records and the loss of document heritage.
On the other hand, proper records management plays a vital role in making sure that
records are kept in a favourable and easily accessible condition and can be retrieved
with less effort.
4
Writing in support of the above statements, Ibiam (2004) noted that many years of
neglect had caused a significant damage to the education sector and records
keeping are not an exception. In his view, Iguodala (1998) believes that personnel
such as secretaries and filling clerks who maintain the registry systems with filling
cabinets containing the paper evidence of academic institution’s businesses are
inadequate and in fact ignorant of their responsibility. These calls to question how
reliable and authentic are the records kept in such systems.
Giving credence to this, Afolabi (1999) asserted that record management practices
in educational institutions in African’s higher institutions has as a number of
problems which may include insufficient skilled and experienced records
management personnel and possibly low priority of management attached to
records and activities concerning record-keeping and management. .
Awe (2000) viewed the problems in recordkeeping and management from the
perspective of these bodies, such as government, university management, the staff
and the students. He accused these bodies of being responsible for the unavailable,
inaccurate, incomplete and dishonest records. And according to Utulu (2001), these
adversely affect planning for provision of structures and facilities, adequate, funding,
proper formulation and review of policies.
Other associated problems of recording, identified generally in the educational
system in Africa include lack of record manual and filling guidelines which leads to
loss of vital information, and inadequate computer terminals (Eg. Wunyenga 2005
and (Oketunji 2002). Others are difficulty in record retrieval and lack of appreciation
by management and staff of the need for well-controlled records (Egunleti 2001).
The results of the foregoing are high profile failures in accountability. The
5
management of these problems would mean the development of efficient and
affective option within and between universities, this indeed requires urgent
attention. (Ogundede (2001). Full introduction and sustenance of computer and
internet services as well as records management integration are required in many
areas (Baje 1998, Fadokun, 2004). Adequate manual classification, security, storage
facilities and funds are generally recommended for good recordkeeping (Tower
2004). It is hoped that if these options are adopted in the university system, perhaps
most if not all the problems associated with recordkeeping would have been
addressed. These were the views of previous researchers in the study area and the
knowledge gap identified.
Perhaps it would not be an overstatement to say that records keeping and
management problems are common to the different levels of the educational sector.
It is however becoming clearer that it is more pronounced in tertiary institutions
because accurate reliable and trustworthy records that fulfil evidential requirements
are being created but not properly managed. Above all there has been unregulated
social cohesion among staff (academic and administrative) and students which
influence dishonesty in records keeping and practices and assessment of students
works at various points. (Azameti, M.S.K. 2013).
1.3 Problem Statement
Academic Records Keeping and Management Practices (ARKMP) in many of the
existing and emerging public and private tertiary institutions in Ghana are facing
challenges which include constant alterations of academic records in the
institutions’ data base and students portals, inappropriate and inadequate data
6
and information capturing and noncompliance with institution’s policy guidelines in
records keeping and management practices; which are the procedural lapses in the
context of this study. There are also the use of social cohesion, ethnic influences in
the context of tribalism, gender influence (affirmative strategist), religious cohesions
and political affiliations which exist among students and teachers. There are some
students who rely on these non-competitive variables as means of achieving
academic self-efficacy and also to prove their cognitive abilities. (Azameti, M. S. K.
and Adjei, E.2014). Undoubtedly, the authenticity, reliability, trustworthiness of
academic records and the truism of academic achievements of students can
scarcely be guaranteed in the midst of such challenges. Discussing the
recordkeeping situation in Ghana, Akussah (1996) also noted that the root of the
problem of records management in Ghana could be traced to the lack of
comprehensive policy regarding an integrated holistic approach to management of
the whole cycle of records. Akotia (2003:114) felt that the revision of archival
legislation had assisted in enhancing records management practices in the
Ghanaian public sector. The state of records management in Kenya according to
Ombati (19999:35) was generally poor in the educational system. Mnjama
(2003;110) also had bemoaned the inadequate state of records keeping in Kenya
and emphasized that factors contributing to the current state of records keeping
included failure by senior management to establish an acceptable records
management goals and practices as well as the non-implementation of various
recommendations dealing with improvement of records management in the
country’s public sector.Popoola (20030) also noted that records management
service in Nigerian universities is facing serious crisis, consequently reducing the
internal efficiency rate of managing the universities. This according to Peremtomode

7
(1999) posed a lot of challenges to human resources. With the above evidences, it
is a statement of fact that problems of recordkeeping and management are not
isolated cases but general challenges in many institutions and countries of the world
due to human frailties and as well as an outgrowth of technological externalities in
the scheme of things. The current study therefore summarised and explained in
detail the framework below the problem context of the study and the knowledge gaps
found in the literature. (Figure1.1)
Figure 1.1 Problem Context of the Study
A D
Systems insecurity,
physical insecurity
Technology
inappropriate software
Challenges
design and its
application
G H
B
E Records Quality
Improper data, Service
Keeping and
classification, lack of Delivery/
Management
proper identification of Procedural Customer
Systems
data & information, Challenges Satisfaction
non-enforcement of
policy directives
C
Unauthorised alteration F
of records due to such
factors as sexual and
material influence, Social
political, religious Challenges
cohesions and gender
hallo effects
consideration
8
The figure (1.1) above represents the summary of the problem being investigated.
Beginning with point (A), is the Technology challenges which are encountered in
academic records creation and management practices in many tertiary institutions in
Ghana. It mostly involves the internal and external systems of tertiary institutions in
Ghana as explained in the diagram. Inappropriate software design and the
application of ICT skills by those in charge of records and the use of obsolete
equipment’s, technical failure such as freezing of the computer systems due to lack
of regular maintenance are among the internal context of the challenges. The
external context of the technology challenge comes through online records systems
hackers. These are perpetrated by some students and their cohorts in the various
institutions. (B).The procedural challenges represents by point (B), comes through
records keeping and management practices. Some institutions lack the skill for
planning information needs, data classification and coding for segregation or
ghettoization of data, short term and long-term planning for housing of records are
lacking in many of the tertiary institutions in Ghana. The section (C) represents the
social challenges which are both internal and external. Social challenges are usually
concern with human contact and influence. Specifically, this manifests through
unauthorized alteration of active records being kept in the computer systems or data
base in many tertiary institutions. Again teachers tempering with the natural scores
of students after assessments of students work. There is unauthorised changing of
student’s interim or continuous assessment scores and records through some
influence emanating from students, parents and politicians. The academic board
using protocol considerations for one reason or the other to redeem students with
abysmal test scores particularly final year students due for graduation. It has long
been assumed by many people within and outside academia that sexual influence
9
and related social variables such as hallo-effect, tribal affiliation and religious
cohesion could all results into academic malpractices within the premise of
favouritism and segregation in our educational institutions. Some administrative
heads in the emerging private universities in Ghana, have recently introduced a
grade z to be put on the final academic records especial transcripts of such students
who are involved in academic malpractices to serve as deterrent to others. Again
some graduating students have their names removed from the list when discovered
to have involved in academic dishonesty yet the problem ranges on unabated.
The point (G) depicts the gamut of records keeping and management systems in all
type of tertiary institutions especially those with huge student’s population. The last
point (H) depicts the customer satisfaction based on quality service delivery or
customer dissatisfaction as a result of poor quality service delivery systems that are
experienced in many of the tertiary institutions. The quality service domains being
the scale of measurement in the context of this study are: Tangibility, Assurance
Responsiveness Reliability and Empathy.(PZB1985) This becomes more
pronounced when students’ records are being assembled for graduation and other
academic purposes endorsed by the academic board. It is a phenomenon that is
common in the educational service delivery systems in the existing and emerging
public and private tertiary institution in Ghana; however private universities that are
affiliated with public universities seemed to be the hardest hit.
In summary, the ultimate impact of the variables as noted in the diagram can be
presented as: A+B+C +D+E+F+ G. = H.
10
The last end, which is point H, represents the quality service delivery and customer
satisfaction. This framework/model in itself serves as contribution to the frontiers of
knowledge in the study area.
1.4 Objectives of the Study
1.4.1 General Objective
The general objective of the Study:
To investigate how challenges associated with Academic Records keeping and
Management practices affect the quality of educational service delivery and
customer satisfaction in tertiary institutions in Ghana and to recommend policy
guidelines to that effect.
1.4.2 Specific Objectives
1. To examine internal and external policy domain guiding Academic record-
keeping and management practices in tertiary institutions in Ghana.
2. To identify social factors that influence Academic RKMP in tertiary institutions
3. To examine social factors that influence students’ academic achievement in
the context of RKM
4. To assess how the factors associated with ARKMP affect quality of
educational service delivery in tertiary institutions in Ghana.
5. To explore how challenges associated with academic records keeping and
management practices affect customer satisfaction in tertiary institution in
Ghana.
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1.4.3 Research Questions
In view of the objectives of the study, the following Research Questions seeking to
guide the study are critically examined.
1. How did internal and external policy domain guiding academic RKMP in
tertiary institutions evolve?
2. What are the social factors affecting ARKMP in the tertiary institutions?
3. What are the factors that influence students’ academic achievement in the
context of RKM?
4. To what extent do factors associated with academic ARKMP affect quality of
educational service delivery?
5. To what degree do Challenges are associated with ARKMP affect customer
satisfaction in the tertiary institutions in Ghana?
6. What are the technology challenges associated with academic records
keeping and management practices?
1.5 Hypothesis Tested
1. HO: There are no differences between institutions that have policy frameworks
formulated through internal factors and those without policy framework for
academic record keeping and management practices (ARKMP).
H1: There are differences between institutions that have policy formulated through
internal and external factors and those without policy framework for ARKMP
2. H0: There are no social factors affecting academic record keeping and
management practices (ARKMP).
12
H1: There are social factors affecting academic record keeping and management
practices (ARKMP).
3. HO: There are no factors influencing students’ academic achievement in
academic record keeping and management practices ARKMP).
H1: There are factors influencing students’ academic achievement in academic
record keeping and management practices ARKMP).
4. HO: There are no factors associated with ARKMP influencing quality educational
service delivery.
H1: There are factors associated with ARKMP influencing quality educational
service delivery.
5. HO: There are no challenges associated with academic records keeping and
management practices that affect customer satisfaction.
H1: There are challenges associated with academic records keeping and
management practices that affect customer satisfaction.
1.6 The Significance of the Study
This study is in the first place significant by the fact that the life wire of the existence
of any organisation hinges on adequate information disseminated among all
members of the organisation. Undoubtedly the adequacy of the information alone is
not enough to ensure smooth running of the organisation but the authenticity of
information, the credibility and reliability of the sources are among the important
ingredients. These ingredients support transactions and quality service delivery in
every section of the organisation. With the ever increasing students’ population in the
13
existing public and emerging private tertiary institutions in Ghana, there are several
challenges that have been identified which affect the quality of educational service
delivery in these institutions in recent times. Notable among the challenges are
procedural, technological and social challenges. Again the smooth running of any
higher educational institution in the world depends largely on effective and efficient
management of academic records, credible examinations in the context of
invigilation during examinations and assessments by various practitioners and
effective management of other information on students such as student’s personnel
services in the institution However, a critical look at the educational sector in Ghana,
one finds such an absurdity of malpractices, particularly data falsification,
inadequate records systems which affects the quality of service delivery among
practitioners. The problems of this nature have prevented quite a number of the
private university colleges in Ghana from submitting their academic records on their
final year and graduating students to their mentor public universities to graduate
them as planned on their academic calendar. Addressing these issues in this current
research makes it significant. It helps educational policy makers and curriculum
developers to put in place effective policies and practicable strategies that
safeguards the sanctity of records being created or managed
. Again this study is significant because educational institutions large or small, public
or private gather data to expedite action and furnish information about students and
inform them about events taking place in the institutions. This study makes a
provision to guide educational policy planners and curriculum developers on how to
ensure in the policy framework the need to institute measures to determine the
degree of social variables that constitute part of the final academic records of
students through which the truism of such records can be guaranteed or ascertained.
14
Practitioners in records management in tertiary institutions not only in Ghana may
also find the findings of the study useful in their respective jurisdictions by knowing
the areas of emerging challenges which affect the quality of educational service
delivery in all the category of tertiary institutions. Private universities in Ghana in
particular are increasing in students enrolments each academic year and as well as
students’ population. This phenomenal increasing of enrolments comes with several
challenges which affect quality of service delivery and authenticity of records
systems. Practitioners in this regards are always looking forward to an effective ways
through which the challenges enumerated in this study could be reduced to barest
minimum or completely eradicated. The results of the study enabled the researcher
to recommend effective means of dealing with the challenges. This would instil
public confidence into the educational service delivery systems in the institutions.
This would ensure satisfaction of customers such students and other internal and
external stake holders. Furthermore, it has a high propensity to enhance the quality
of students produced for the world of work and human society in general. Another
significance of this study can be seen in the administrative planning of programmes
of the institutions, staffing and provision of facilities, keeping inventories and
managing proper academic and financial records of students also helps the
administrators to report to their employers and agencies responsible for quality
enhancement in education on the progress of activities and difficulties they
experience daily and the general standard of educational systems of the nations as
a whole. Mazikana (1996) puts it that records are indispensable tools for determining
the quantity and the mix of human and material resources in any organisation. The
purpose and importance of records enhance facilitation of continuity in the
administration of the institution, provision of information needed by ex-students for

15
higher and other related institutions and employers of labour, for admission and for
job placement. The ever increasing students’ population in the various tertiary
institutions in Ghana and the inadequacy and inappropriate and unauthentic
records systems and the other related problems make it extremely difficult for the
records managers to provide quick and timely information on student’s academic
achievements through the records systems during and after graduation. The study
results also would assists significantly the institutions to deliver quick services to
stake holders in and out of the institutions, particularly where prompt services
delivery are required of them to save time and meeting deadlines.
Currently, in many of the intuitions here in Ghana when request for transcript and
other students information are made by people they are given a week period or
beyond during which the request can be honoured. This apparent long period for
providing such services is due to the fact that records are not properly kept at the
various points for management apart from it being inauthentic and non-trustworthy
as the challenges have been. This is not an ideal situation in an era of quick
information dissemination, retrieval and providing a real time data on activities and
events to stake holders in order to enhance business operations and organisational
efficiency.
A proper record keeping in any educational institution enables educational
institutions’ administrators to know the academic and general progress of students
and also reports to their parents or guardians when necessary and to inform
employers who required certain information for the recruitment of the graduated
16
students after their studies. Within this context the study is significant advocating for
authenticity of records in contemporary higher educational institutions in Ghana. .
Several recent studies outline challenges of recordkeeping and record management
in tertiary institutions which implicates wrong data capturing, records integrity,
inaccuracies, reliability and trustworthiness of records. The current study is again
very critical to safeguard the integrity of records in tertiary education in general in the
context of efficient and effective records keeping and management systems and as
well as and service delivery among practitioners. This study also helps to assess the
challenges of record management system of the tertiary institutions in such areas as,
policy and data security enhancement and how they can be addressed. The study
therefore, serves also as an empirical basis for intervention in recordkeeping and
management practices in the current tertiary educational paradigm in Ghana and
other tertiary institutions in Sub-Saharan Africa.
The study report is also beneficial to the tertiary institutions and other academic
institutions to know appropriate policy guide lines and measures required to ensure
authenticity of students’ academic records and the final achievements among
students, particularly where less competitive variables that culminate into
achievement of some students may be detected and done away with. In addition, the
study provides a fertile ground for business organisations that have the procedural
and technical competencies in record management system to trade with the
institutions. Many ICT System designers have sprung up from within and those from
other countries. These ICT service providers, both the individuals and corporate
bodies sometimes pose challenge of insecurity of hosting student’s information in the

17
cyber space. One case in point is the situation where national service personnel who
were working in one of the private universities in Ghana and in charge of students’
records gradually colluded with some of the students to change their grades for
exorbitant fees to be paid to him by the students. The case was treated as a criminal
issue without any policy reference point; this is not the best of administrative
practices.
The findings of the study provide adequate and relevant data for policy makers’ and
practitioners in recordkeeping and management. This is so due to its implications for
policy, theory and practice to facilitate the roles of educational stakeholders in
counselling and advocacy role play. A Theory of any educational practice explains
the planned actions and event .Records management studies over the years are
supported with specific theories, however, the current study leveraging on
isomorphism concept borrowed from the field of mathematics allows the extension
of the traditional theories in records management studies to other theories from
technology application, social psychology and sociology which address social issues
that affect effective and efficient management of academic records over the ages.
Policy makers in education and their counterparts involved in quality assurance and
educational planners would also find the study useful in their planning and advocacy
roles in various tertiary institutions in Ghana and beyond as much as feasible in the
scheme of things. This in itself makes the study contributes significantly to the
frontiers of knowledge in record keeping and management in the field. More
importantly, it provides deeper insight for heads of institutions and other relevant
stakeholders to analyse the ambiguities associated with educational management
and leadership practices which invariably poses new challenges in various forms as
18
the institutions continue to attract people from several different cultural backgrounds
and geographical locations in sub-Saharan Africa. The practical realities of
globalization is having its effects in tertiary education in Ghana just like any other
country of the world where many other nationals have found their way into the
tertiary educational systems of the country and the challenges which this
phenomenon relentlessly pose to practitioners in education and the Ghanaian
society as a whole.. Still from policy perspectives, Agencies such as the National
Accreditation Board(NAB), the National Council for Tertiary Education(NCTE) and
Ministry of Education(MOE) in the country may also find the results of the study
useful by enforcing policy directives on quality enhancement of producing graduates
from the various tertiary institutions in a country where moral decadence among
students have reached a record high and to utter dismay of both practitioners and
stakeholders of education presumably due partly to commercialization nature of our
education system in the country.
1.7 Operational Definition of Terms
- Academic irregularities: it denotes activities by any person in educational
institutions who cheats in the systems to earn his/her academic success, other
terms include, academic improprieties, dishonesty, misconduct academic fraud.
- Academic malpractices: any act resulting into unmerited academic success of
students.
- Academic self-Efficacy: to rely on one’s cognitive ability for achieving academic
excellence.
19
- Affirmative strategist: someone who advocates for consideration in dealing with
female gender in terms of academic achievement.
- Assurance: records-keeper’s behaviour instils confidence in their customers,
they are courteous to them at the point of service delivery
- Empathy: giving individual attention to customers, operating at convenient hours
to customers
- Cognitive ability: It implies ones mental capacity to undertake any study which
depends on merit at the end.
- Customer satisfaction: it implies how stake holders such as lecturers, students,
parents, and other users of academic records such as prospective employers are
pleased with services provided at the registries and various points of the
institutions; this can be measured in terms of Tangibility, Reliability,
Responsiveness, Assurance and Empathy.
- Customers: these are people who have interest for either the use of academic
records or need to know the academic performance of their wards and children in
various educational institutions. For instance, parents, educational planners,
teachers, employers and students themselves.
- Commercialization of education: It depicts a system where profit making has
been the sole aim of establishing educational institutions instead of a means to
train people to be law abiding and morally upright individuals who can make the
world a better place for all.
- Educational Service delivery: It implies the functions within each points and
the various roles play by both the teaching faculty and administrative staff in an
educational institutions during day each and beyond.
20
- Examination dishonesty: cheating in exams which may involve either copying
from another candidate through colluding with another person or by a single
individual without the knowledge of whose work is being copied.
- Exclusive Cognitive platforms; It explains secrets contacts which students
make with people in authority in educational environments in order to receive
unmerited favour in their academic pursuit.
- Epistemological domain: This explains the theory of knowledge in this study, its
foundation that will lead to the discovery of new knowledge at the end of the
study.
- Internal institutional influences: This explains how individual institutions rely on
structures within to their advance for achieving organisational goals.Foreinstance
the use of protocol considerations for their feats.
- -Instrumentation: It implies in this study how questionnaires were developed
and administered for the collection of data.
- Less competitive variables: This denotes any means of obtaining academic
success among students which are not based on completion and merit.
- Plagiarism: the use of someone’s works without reference or indicating the
source the information.
- Procedural challenges: difficulties in data capturing, record creation,
recordkeeping, retrieving and management students’ academic records which
ensures evidential proof and authenticity.
- Records creation: This denotes putting together students exam scores and any
other grades or data pertaining to after assessment of student’s work
21
- Records keeping and management service delivery: This denotes the
activities performed by records staff members in educational institutions either as
routine/daily roles to the various units upon request. Or otherwise.
- Records keeping practices: identification, planning of how records or data are
captured by a qualified records officer in the institution, instituting policies and
guiding people how records are kept etc.
- Records management practices: Assigning responsibilities, authority to use or
access students’ academic information and instituting punitive measures against
misconduct in the use of records
- Records: in the context of this study implies students’ academic records or
students’ information in general.
- Reliability: records-keepers keeping their promises, showing keen interest in
helping customers.
- Responsiveness: Telling exact time service will be performed and delivering
prompt services.
- Students’ academic achievements: How students performed in their learning
and final outcomes based on their cognitive abilities during and after assessment.
- Social challenges: human interactions and interference which affects truism of
students’ academic records systems, it involves the use of tribal, ethnicity, gifts
from students’ parents politicians and all forms of social cohesion which exists in
human organizations.
- Socio-cultural influences :These explain familiarities, tribal, cohesions that exits
among people in organisations which some individuals exploit to their advantage
- Service quality: satisfying customers through the time of service delivery and
ensuring value for money and customer retention.

22
- Tangibility: Service provider having modern equipment&tools,physical facilities
being virtually nice, neat appearance during service time
- Technology challenges: Difficulties’ resulting from inappropriate usage of
computer knowledge in storing students’ academic records which includes
software design for records keeping and management purposes.
- Tertiary institutions: It depicts degree awarding institutions in Ghana, e.g.
universities, polytechnics, colleges of education and Nursing and Midwifery
training colleges both privately owned and by government of Ghana.
- Training institutions: it implies degree or diploma and certificate awarding
educational institution in Ghana such as polytechnics, Nursing Training College
and college of education.
1.8 Limitations of the Study
This study is based partly on the assumption that effectiveness of academic records
management practices and quality service delivery hinge on policy guidelines and
professional competencies of the records managers. The main limitation in this
context is the fact that the researcher is unable to secure the base line information
from the various study institutions for in-depth analysis of the data collected and
discussed in the study. This prevents the researcher from generalizing the results of
the study.
Records keeping in tertiary institutions have a long history which began from paper
based or filling systems to semi ubiquitous electronic record keeping systems and
purely paper based platforms, especially in the public universities. A base line data
may consequently presents a better picture for the background information at this
stage of the study. The researcher visited some of the tertiary institutions ear-marked
23
for data collection with formal letters of introduction for baseline information but this
was impossible due to the bureaucratic structures of the university systems in Ghana
and in other African countries. Though some of the records officers and registrars
received the introductory letters yet they failed to disclose certain information needed
by the researcher, for example the accurate total number of students and faculty
staff strength of the whole institution. The researcher was however directed to the
various websites of the universities and that of the National Accreditation Board
(NAB) for the base line data which guided the sampling design within the context of
the populations of the institutions sampled for data collection and final analysis.
In addition, the study is not comparing electronic and paper based records
management systems and the digital mode of educational service delivery. These
two platforms are different for categorization of elements and could provide some
varied results in the context of empirical analysis. The researcher is also unable to
review literature on a comparative study which uses phenomenological methodology
for analysis to provide parity of elements that constitute the thread of labyrinth of
ideas. The researcher used simple random sampling techniques to select the study
institutions. After that a convenience and purposive sampling techniques are also
employed to sample the various research participants from all the study institutions.
Their selection is based on their staff strength and students’ population which
warrants convenience sampling technique already mentioned above. The targeted
study institutions and how widely they are situated did not permit a comparative
study design and analysis of data in that sense. These sampling techniques
particularly convenient and purposive sampling by nature do not allow a researcher
24
to generalize the findings of a study and its implications, either in the context of
theory, policy and practices in the field.
Educational service delivery through records keeping and management practices,
and students’ academic achievements are not emphasized in the study from onset;
this and other institutional lapses otherwise known here as institutional taxonomy at
the preliminary stage of the study do not set the tone and the required paranomic
view of the entire research. This is most likely to pose another limitation of the
investigation from assessors and futures readers of the final report of the study.
Lastly, the challenges associated with students’ academic records creation, records
keeping and management are not fully treated in available literature to provide
comprehensive review of literature and previous research works, this is another
probable limitation of the study. Despite these apparent short falls in the study and
existing literature, it is to be stated here in unequivocal terms that the study
undoubtedly added some amount of knowledge to what is already known in the field.
The study presents a comprehensive study framework which explains the various
strands such as the extracted components of the challenges associated with records
creation, keeping and management in tertiary institutions. Besides, emphasizing the
seemingly inherent social contacts among students, records keepers and lecturers
which are used by some students as motivation for academic achievements
including the probable impact on authenticity of academic records are some of the
major contribution that are added to the frontiers of knowledge in the subject
area.
25
1.9 Chapter Summary
The first chapter of the study presents the background information; it focuses greatly
on lapses in records keeping and management (RKM) in tertiary institutions in
Ghana. . It also highlights the effects of the challenges on quality of educational
service delivery and the implications for practice, theory and policy. The impacts on
both external and internal users of the services provide by the institutions are
significantly discussed. The challenges identified are linked with the use of ICT in
educational service delivery such as records keeping and management, hosting
students’ academic information on their portals for their personal access and that
of lecturers, procedural issues which characterised data and information capturing
and management, assessment of students work by teachers including easy and
rampant alteration of data illegally most at times; all of which involved the process
of academic records creation for daily and future administrative service delivery
systems by the institutions. Other areas which featured in the discussion focus on
educational management and quality assurance in higher education, service delivery
and customer satisfaction. Each of these strands of the study leans support to the
discussions with relevant theoretical foundation and conceptual frame works that
informed the design of the study and instrumentation. This is found in the first part of
the second chapter. The 2nd chapter presents first of all the theoretical foundation of
the study. These are in three folds thus, the traditional theories used for records
management studies, theories pertaining to social theories in educational service
delivery, and lastly theories that support both negative and positive socio-cultural
elements associated with students’ academic achievements. These elements are
ever present in human organisations and with their negative effects on ethical
considerations in effective and efficient organisational management. The other

26
strand focuses on empirical study review which supports some of the results of the
study, particularly on policy issues, technology application and the associated
challenges, the human interface in the mounting of ubiquitous technology platform
and the negative socio cultural influence negating the precepts of meritocracy in
educational attainment. This is followed with literature review which concerns
definitions of records by writers and corporate institutions which stated in the first
chapter. Furthermore electronic records systems and the associated challenges are
discussed in relation to what is termed as the hybrid paradigm of records keeping
and management in business organisations and educational institutions. The third
chapter also presents the methodology. This was preceded with philosophical
foundation of the study, the specific research design employed by the researcher
and the study population and sample size used in analysis of data realized after the
field work. The presentation of results from the analysis were shown in chapter
four, followed with chapter five which discussed the findings relating it to other
relevant studies in the field and the implications thereof.
The final summary, conclusion and recommendations including areas for further
research are stated in chapter six which is the final chapter. of this report..
The first chapter of the study links the field of study and the subject area with various
challenges in management of academic records that hinges on quality assurance in
educational administration, policy issues and other important areas in management
of educational institutions in Ghana. With equal importance to education is the use
of computer technology in conjunction with paper-based filing systems which change
27
the record keeping paradigm to what is now called electronic record keeping or the
hybrid systems in tertiary institutions with its associated management challenges..
Besides the above areas, the first chapter further highlights the background and
justification of the study. Management of higher education in the digital age and in
the midst of human infractions however posed some threat to effective educational
service delivery in spite of all the advantages that go with the ubiquitous educational
technology platform in the delivery of educational services. For example, the reality
gap which emerged spontaneously when subjective and objective elements come
together to produce knowledge in a given construct with complexity and ambiguity in
educational management and administration. Well thought visions for educational
enterprises are scarcely achieved at the point of execution which also constitutes the
reality gap in managing educational enterprises worldwide. The researcher therefore
posits time and again that deeper insights into these issues of complexity and
associated challenges may be achieved through the results of the current study. The
result of the first objective of the study show that the first two variables mentioned in
the hypothesis tested show that the tertiary institutions in Ghana have in place
organised records keeping units and personnel. The records keepers indicate that
their institutions have policies for managing academic records, while some are not
sure whether their institutions have such policies in place or not. The results at one
glance implied that many of the tertiary institutions in Ghana are once concerned
with having a concerted effort and regulated systems for handling academic records.
those institutions. However, the uncertainty in the minds of those records keepers
about presence of policy framework for managing academic records in their
respective institutions is a denunciation of the effectiveness of records management

28
practices in the institutions. It also implies that the schemas, rules, norms and
routines for records management are not well established in those institutions as
described by Scott (2004). In Scott’s explanation of the institutional theory as
indicated in literature, organisational policies are driven by well-established
schemas, rules norms and routines which direct employees to what are to be done at
any particular time and how it is to be done.
How the records management policy framework evolved is among the significant
component of this study. The interviews conducted in five of the study institutions
show that tertiary institutions such a polytechnics, Colleges of Education, Nursing
and Midwifery Training Colleges as well as public and private universities in Ghana
do not have uniform policy for managing students’ records despite the fact that they
are all operating in the same line of business. For example, in the Valley University
which is the first autonomous private university to be established in Ghana for now;
under the auspices of the Seventh –Day Adventist Church, the senior Rector
indicated during a telephone interview that their records keeping policy guarantee
authenticity and reliability of records which is in accordance with the records keeping
and management practices standards of the General Conference management
policies dictates in the United States of America. Parents Ministries in Ghana thus,
Ministry of Education (MOE) and sometimes some individuals in Ghana were
contracted to draw up records policies. This also shows the level of commitments
from different stakeholders in protecting the integrity of academic records. The study
results among others have implications for policy makers and educational
stakeholders with regards to relevant and real time information for designing policy
29
framework for students’ academic record management and for quality enhancement
processes.
CHAPTER TWO
THEORETICAL FOUNDATION, EMPIRICAL STUDIES AND RELATED

LITERATURE REVIEW
2.1 Theoretical Framework
The importance of theoretical and conceptual frameworks cannot be over
emphasised in every social science investigation. It very necessary and crucial for
the researcher to first understand the ideas of scientific theory in order to assess its
limitations and strengthens of the research relating to the subject or topic of
investigation. Several theories have been identified in literature in respect of each
strand of the study. However, only few which are critical for explaining the theoretical
underpinning the study that has been stated. These are the life-cycle and
continuum concepts and proof of originality which are the traditional records
management theories. The next sets of theories are applicable to -sociological
issues, social cohesion and social contract, an outgrowth of social cohesion in this
study.
2.1.1 Overview of Theories
Theories are used to explain or predict the way things work or happen. Theories
present an understanding of the relation between various actions and events. As an
information scientist or records management practitioner, one needs to build or have

30
an in- depth knowledge about set of theories to use or apply and refine as one
applies professional skills to the test of records keeping and management practices
in any given environment any time anywhere (Daniel & Latimore 2004).There is no
single theory which guides professional practices and conduct in any endeavor
which includes records management profession, Michael Buckland (1988.1998).
According to Moses & Adjei (2014), the plausibility of extending the traditional
theories of records management studies to the use of other theories applicable
records management studies is seen not only as a novelty but also provides deeper
explanation of variables which frame up the study particularly those that hinges i
on social variables in an educational endeavor. In the present study the researcher
presents a number of related theories which contextually seek to address the socio –
cultural variables in addition to procedural and technology application and associated
challenges which support certain sections of the study. Human centered activities
either involving the use of technology or equipment of any kind can be explained by
a theory that provides a deeper understanding of a research phenomenon. These
researchers, (Azameti, Adjei and Annan 2014) are of the view that other theories
which are not directly in the traditional records management domain are equally
applicable to the field of a study of this nature.(Micheal B. 1998) and Donald
Kraft,1994). It all depend on the circumstances which warranted their inclusion in
a study about a given phenomenon, especially with intricacies of human interface
which negates the precepts of meritocracy in students’ academic achievements,
authenticity and reliability of records. The creation aspect of records and its
management practices and their final disposition or transfer into archives form a
significant component of this research. The study participants particularly records
management practitioners in five of the study institutions also affirmed this during
31
the interview series. A Copy of a questionnaire pertaining to this information can be
viewed in the appendix section of this this report.
2.1.2 Records Management Theories Applicable to this Study
This study adopts the records life-cycle concept as the main theoretical framework
including other supporting concepts applicable to records management in general.
The International Records Management Trust (IRMT), (1994) indicates that records
can only be managed effectively and efficiently if attention is paid to their handling
from the time they are created until when they are disposed of or released to the
archives.
The import of the life-cycle theory is that recorded information has a life similar to
that of a biological organism in that it is born, it lives, and it dies. Elizabeth, Shepherd
and Geoffrey Yeo (2003) quoting Schulenburg (1956) confirms the life cycle concept
of records and iterated that the idea is developed in North America. These earlier
writers laid emphasis on the life span of records which include their current use and
final destination.
Similar concepts are employed in other disciplines, notably in the information cycle
models which are used and continued to be applied in information management and
technology. In some narrow interpretations, these three stages are seen as the
equivalent of current, semi-current and non-current (or archival) phase of a record. In
other words, they are equated to the records management activities of creation,
maintenance and use, and disposal (IRMT, 1994). Each of the phases has various
32
elements associated with it and functional activities are performed within each
element (Penn, et al, 1994).
Penn et al (1994) however, argue that this division need not be overstressed. This is
because the ultimate goal of the life-cycle model is not to develop a set of ways in
handling all the various problems and conditions of records management, but to
establish a sound methodology for evaluating the situations so that the most
appropriate course of action can be taken in each instance. Shepherd and Yeo
(2003) argue convincingly that the two models are not incompatible. Any objection is
not to the life-cycle concept itself, but to those manifestations of it that reflect an
undeveloped view of records management or try to introduce excessive practical
details. Specific practice will vary, they argue, from one working context to another,
but models based on the life-cycle help to identify stages and actions within a
records management programme, and thus provides a useful framework for
planning, implementation and monitoring. Records management and archives
administration constitute one field unified through the records life-cycle concept.
33
Figure 2.1: Life-Cycle Concept
Source: (Kallaus&Johson, 2004, 7th Ed.)
Practically, the life cycle concept has various ramifications for the institutional
mechanisms for records management. Without it, vast quantities of inactive records
clog up in expensive office space, it is virtually impossible to retrieve important
administrative, financial and legal documents; and this situation undermines the
accountability of the institution and endangers the rights of students. Without a
management programme which controls records through the earlier faces of their
life-cycle, those which are of archival value cannot readily be identified and
safeguarded so that they can take their place in due course as part of the nations'
historical and cultural heritage. This means that without the life-cycle concept we
lose our heritage. Remedying deficiencies in existing institutional arrangements for
records management systems requires a detailed programme which pulls together
the following range of interlocking issues:
 The urgent necessity for the strengthening of records office services;
 Records inventory and scheduling;
 The establishment of a records centre for the management of semi-current
records.
2.1.3 The Records Continuum Concept
The records continuum model is defined as the consistent and coherent process of
records management throughout the life of records from the development of
34
recordkeeping systems through the creation and preservation of records, to their
retention and use as archives (IRMT, 1999).The model is basically a critique of the
life-cycle concept. Among the issues which the continuum seeks to address are
suggestions that the life cycle model is biased towards paper records and does not
adequately address electronic records management issues. Furthermore, it creates
a division of activities into records management and archival phases with the
consequent division of responsibility between the records manager and the
archivists.
The life cycle concept provides that records are not static, but have a life similar to
that of a biological organism: they are born, live through youth and old age and then
die.(IRT,1994). The idea first developed in North America. Its aim is to show a
progression of actions taken at different times in the life of a record. A more
comprehensive premise divides the life-cycle of a record into two phases namely, a
records management phase and an archival phase, each consisting of four distinct
and separate stages (IRT, 1994).
Records management phase:
 Creation or receipt
 Classification within a logical system
 Maintenance and use
 Disposal by destruction or transfer as archives
Archival phase:
 Selection or acquisition
 Arrangement and description
 Preservation
35
 Reference and use
The continuum school, however, suggests that this rigid division into records
management phase and archival phase is unnecessary, artificial and restrictive.
Furthermore, the several stages can no longer be seen as distinct and separate
hence, the development of the integrated model, reflecting the pattern of a
continuum of four recurring activities that take place throughout the life of a record
and cut across the traditional boundary between records management and archival
administration. These are:
 The creation or acquisition of the record
 It's placement within a logical documented system, which governs its
arrangement and facilitates it retrieval throughout its life.
 It's appraisal for continuing value, recorded in the retention schedule and
given effect at the due time by appropriate disposal action.
 Its maintenance and use, whether maintained in the creating office, records
office, a records centre or an archival repository, and whether the use is by its
creator or a successor in function or by a third party, such as a researcher or
other member of the public.
Indeed, the life-cycle approach perceives each stage as linear with and independent
of the other stages; the continuum perceives record keeping as multidimensional. Its
suggestion, as pointed out by Williams (2006), that the management of records is not
time-bound or sequential and that action on the record are seamless and may be
simultaneous(Atherton,1986,1996).
36
Traditionally, records managers are empowered only to deal with records no longer
required for the current business of the organization. Storage and preservation
systems are seen as their main concerns, together with the provision of access to
older records and the disposal of those that were redundant. In many organizations
this may still be the case – the management of current records may be left to
operational managers and their staff, and the remit given to a records manager to
operational managers and their staff, and those given to a records manager may be
limited to retention scheduling, the transfer of older records to off-floor or offline
storage and the management of the storage areas and their contents. In a paper-
based organization, it is possible to run a records management unit that deals only
with semi-current and non-current records. However, a service that deals only with
semi-current records, but a service that focuses on the records that are least active
will only be able to make a limited contribution to the effectiveness of the
organization. It will be impossible for the records manager to ensure that records are
reliable and complete, and that all the records of the organization are accessible and
usable. At best, the records management unit will try to achieve these aims but will
lack the authority to coordinate records creation practices effectively; it will be
obliged to do the best it can with the records it receives from the creators, in
whatever state these records arrive. At worst, it will come to be perceived as a
dumping ground for unwanted files, irrelevant to the 'real' business of the
organization (Marshall, 2000).
In the world of electronic records and hybrid systems this is not a viable option.
When the technical aspects of electronic storage are necessarily managed by
computing specialist, a 'back room' approach to electronic records management

37
offers little or no role for the skills of the records manager. More importantly, this
approach is unlikely to lead to the maintenance of adequate records of the
organization's functions and activities. Many staff who creates records will neglect to
capture them in a system that supports preservation and access, or will fail to plan
for their disposal in a systematic fashion. The creation and preservation of the
records that the organization needs cannot be guaranteed unless records
management issues are addressed when records creation systems are designed
and implemented. Just as an effective records management programme should
cover records in all media, electronic as well as paper, so it should accept
responsibility for all records of the organization regardless of their age (Emmersion,
1989).
2.1.4 Principles of Provenance and Original Order
The principle of provenance emphasises the conceptual rather than the physical
characteristics of records. As earlier indicated, it is the 'evidential' nature of records,
rather than their physical format, that distinguishes them from other kinds of
information. Provenance also provides the basis for retrieving information from
records. Know who created or used a record, and where, when and why, provides
the key to retrieval rather than format, subject matter or content of the records. This
is true for modern electronic records as well as the more common paper-based
records. Fundamentally, there is no difference between understanding and
preserving the provenance of electronic records – that is, the inter-connections
between electronic records and their creators and users – and preserving the
connections between a large sequence of nineteenth-century official letters and the
registers and indexes that keep track of them.

38
These principles require that archivists and records managers observe the following
guidelines. The records of separate agencies or organisations must be managed
separately, even if the agencies in question are involved with similar activities or are
managed by the same people. The records of two agencies or organizations should
not be combined. Similarly, the private records of individuals must not be integrated,
even if the individuals are related or experienced the same events. Records must be
maintained according to their 'original order': that is according to filing, classification
and retrieval methods established by the organisation as part of an efficient records
management programme.(Duranti,2007). Records offices and records centres must
create maintain and store records according to logical and well-structured records
management procedures. Archival institutions must not change the original order in
which records are received, as that order reflects the way in which the records are
created and used (Penn, Pennix & Coulson, 1994).
Public archival repositories that receive government records through functioning
registry systems often receive records in a clear and usable original order. The
registry process ensures that the creating agency and the contents of the files are
clearly identified. When records are received in an identifiable order, the archival
institution should not reorganise records by subject, date or medium of material. If
registry systems cease to function adequately there is a great danger that, as
records build up in store rooms, cupboards or hallways, information about their
creating agency and original order may be lost. This is one of the reasons why
records management is so important in ensuring the preservation of valuable and
identifiable records (Williams, 2006, Durante L. 2001).

39
2.1.5 Records Office Strengthening
The primary purpose of an efficient records life-cycle management system is to
provide the right information, in the right form, to the right person and at the right
time. An effective records office system, based on a sound coding and classification
scheme, records control mechanism and an appropriate infrastructure helps in the
achievement of this objective. When the records office works well, the information
which the records contain is retrieved readily to facilitate current administration; the
appraisal and disposal of the records is effectively controlled; economy in the use of
accommodation is achieved and the arrangement and documentation of the records
maintain their utility throughout their life-cycle.
2.1.6 Theories Related to Sociological Factors in support of the Study
This section of the study presents other theories which contextually support records
keeping and management practices in tertiary institutions. The most appropriate
among the said theories are stated below to explain the reliance of students on
social factors as motivation for their academic achievements. In earlier studies by
Buckland, M. and Boyce(1994), .including (Donald, Kraft, 1985), the importance of
using borrowed theories which are applicable to social science studies such as
records management and other related fields are emphasized. Other scholars such
as Upward, (1997) and Upward et al (2000) indicate that in the electronic
environments for example, it makes impossible to use theories and methodologies
that are used in the paper world. Besides, Bearman (1999) quoting Cook T.,(1997)
40
and Upward (2000) also made mentioned of Mckemmish (2005) who indicates that
in the digital environment, the management of records and the preservation of such
records required the use of new theories or other theories derived from other related
disciplines. This implied in such context that it is feasible to use other theories
which provide relevant theoretical foundation of a study on records management.
The two among the sociological theories are explained here below in this chapter.
2.1.7 Critical Realism Theory
The concept of critical realism supports this study to emphasise the fact that
academic records are created through observable and unobservable factors which
occur during the processes of assessment that is pre – and post assessment in
various tertiary institutions. The unobservable events emanate from both corporate
and systemic arrangements and personal and social factors. This can be negative
and positive due to structural arrangements and procedural challenges. Perhaps the
detail explanation of this theory in this section may better bring the point more clearly
to justify the claims of the researcher.
The critical realism theory consists of six equal dependent and independent
constructs which are:
 System use which explains the institutional structures and procedures during
the examination in various institutions
41
 System Success, this also depicts how effective the prevailing conditions in
the institutions promote good conduct of examinations which generate the
academic records.
 User Satisfaction, how do the institutional arrangements and attitude of
students during examination ensure the needed satisfactory conduct of
examination in the institution?
 Intention to use the system, this explains a satisfaction where students may
decide to take a particular course of action either positively or negatively to
earn their grades which finally constitute important portions of their records.
 Perceived net benefits from using the information system, academic records
are information system of the institution which aid effective transactions of the
institution and it is the perceived benefits by the authorities which determine
its use and effective management of the records.
 Trust – no one can use information or record whose quality cannot be
guaranteed or is in doubt.
The main independent factors:
Information Quality, academic records has an acceptable standard which are to be
met during its creation and management based on the concepts of merit and
academic self-efficacy and institutional quality enhancement requirements.
 System Quality, the records created and managed in tertiary institutions must
be supported by the prevailing conditions of the institution ,when there is a
lack of system quality it affects the quality of the records.
42
 Service Quality that is how the records management procedures or practices
supports quality service delivery in the institution
 Control Techniques, ensuring that effective records management requires
efficient and regular control techniques to be in place. Academic records by
nature are of much importance not only to the individual students but also the
institution concerned. When there is lack of regular and effective control it
compromises the quality of the records which eventually affect the corporate
image of the institution and the quality of certificates or degrees awarded to
students who then become the cream of society in their respective jurisdiction.
 Implementation Factors, this explains how policies and regulatory obligations
are exercised in keeping and managing academic records. Finally.
 Implementation Success, the success of any activity is determined by the
objectives or goals set by management to be implemented through co-
operation of all practitioners and actors /actress of the system. Academic
records when supported by a policy framework can be properly managed.
When the goals set are realized it is said to be in the implementation success.
Concise description of the Concept: Critical realism theory states that the theory of
knowledge or epistemology is far different from a theory of being or ontology. There
is a reality which exists independent of its human conception. Critical realists
believed strongly that there are unobservable events which cause the observable
ones as such the social world in which we are living can be understood only if
people understand the structures that generate such unobservable events. This
analysis was important in the experimental context, because it allowed the
individual scientist to distinguish between the event and what causes it. According to
43
this concept, an individual conducting an experiment creates the condition necessary
for the experiment (observable event), but the results are caused by the underlying
laws and mechanisms (unobservable events).
The critical side of the theory arose from the identification of epistemic fallacy that is
the idea of analysing ontological statements in terms of epistemological statements.
Epistemic fallacy in any past event or present can be caused by a failure to
recognise a difference between ontology and epistemology. The realism side of the
theory focuses on the existence of real mechanisms which shaped events. A central
idea of critical realism concept is that natural and social reality should be understood
as an open stratified system of objects which cause powers, (in this context, records
or data, according to Morton (,2006).There are three strata, according to the theory,
thus, domain of real or actual and empirical.
Domains of empirical include observable experiences. Domain of actual included
events which are generated by mechanisms.
Finally, the domain of real included the mechanism that has generated the actual
events. The concept of critical realism can be applied to social science as well as
natural science, however the applications of this theory in social science are different
from the natural and culture and society that are generated by human activities, so
society and institutions are constantly changing due to the dynamic nature of human
beings and human actions. As a result, there is always a mutually influential
relationship where humans shape the society which in its turn affects human
activities; unlike natural laws, rules of culture and society are not universal but
applicable only in a certain location and time. Furthermore, social structures are
44
open and cannot be artificially controlled in a laboratory setting. Therefore the critical
realism theory does not have any predictive power, and the theory is used for its
explanatory benefits only. Critical theory requires a deep understanding of any social
situation, moving beyond the observable and investigating the mechanisms behind
any event, Morton et al., (2006) reiterated the relevance of the critical realism
concept in explaining the dualism of elements that shape any human activity. In this
context, the focus of the theory is an ex-post explanation as opposed to ex-anti-
post predictions. As a result, the major application of this theory in research is to
explain the complex social events and ruling out any other potential explanations. In
information systems and records management, critical realist theory primarily can be
used to study how information is used or how records are created and managed by
the organisations and measures they perceived or net benefits from using an
information system or records management system. Besides, this theory is the social
capital theory which is akin to the critical realist concept and others such as human
capital theories.
2.1.8 Social Capital Theory
The concept of social capital though not labelled as such exists ever since small
communities formed and human beings interacted with one another with the
expectation of reciprocation and trust (Platteau, 1994; Platteau and Moore, 1994;
Woolcock, 1998).The researcher above named researchers provided an overview
of past usage of the concept); however, the term in its present form and associated
meanings was popularized amongst others by Bourdieu (1983; 1985; 1989),
Coleman (1990), Granovetter (1985) and Putnam (2000; 2001;).
45
Even though most of the researches on social capital focus largely on the benefits
of social capital, these authors differed in the treatment of the concept. While
Putnam’s focus is on the benefit accruing to the community, Coleman and Bourdieu
provided conceptualization at individual level. They believe that social capital exists
between individuals and can be studied at the individual level. Social capital resides
in the relations among the nodes and ‘just as physical and human capital facilitates
productive activity, social capital does as well’ (Coleman, 1988 p 101; White, 2002).
It exists between individuals and by extension can be accumulated by the
individuals. Such a view of social capital rests on the premise that ‘my connections
can help me’ (Cross and Cummings, 2004; White, 2002, p 260), it is all about
establishing relationships purposefully and employing them to generate intangible
and tangible benefits in short or long terms. The benefits could be social,
psychological, emotional and economical (Lin, 2000).
There are many possible representations of social capital. Broadly speaking, social
capital can be seen in terms of five dimensions: first, networks-lateral associations
that varied in density and size, and occurred among both individuals and groups;
second, reciprocity-expectation that in short or long term kindness and services will
be returned; third, trust-willingness to take initiatives (or risk) in a social context
based on assumption that others will respond as expected; fourth, social norms-the
unwritten shared values that directs the behaviour and interaction; and fifth,
personal and collective efficacy-the active and willing engagement of citizens within
participative community (Bourdieu, 1983; Coleman, 1988 Onyx and Bullen, 2000;
Paxton, 2002). These five dimensions manifest themselves in various combinations
and shape the interaction amongst the members of a group, organization,

46
community, society or simply network and can be studied through various
perspectives when applied in explaining social issues in any human community.
Social capital has been a very broad term that encompasses the ‘norms and
networks facilitating collective actions for mutual benefits’ (Woolcock, 1998, p 155).
This broad definition of the term makes it susceptible to multiple interpretations and
usage which span multiple theoretical traditions (Greeley, 1997; Portes, 1998). At
one end, social capital can be seen as a notion that is based on the premise that
social relations have potential to facilitate the accrual of economic or non-economic
benefits to the individuals (White, 2002), and on the other end social capital can be
seen to reside in the relations and not in the individuals themselves (Coleman,
1988b, p 98). Social capital has been a context dependent and taken many
different interrelated forms, including obligations (within a group), trust,
intergenerational closure, norms, and sanctions with underlying assumption that the
relationships between individuals are durable and subjectively felt (Bourdieu, 1983, p
249). The relationships themselves formed an inherent complex web of interactions
and communications (Fukuyama, 1995; Fukuyama, 1999; Lin, 1999; Putnam, 1993;
White, 2002). An example of social capital can be the voluntary participation of the
members over the lunch break to discuss various social/organizational aspects
which benefits all the participants. Within the context of the current research the
theory of social capital explains students’ dependence on teachers and their
colleagues to achieve their academic goals by applying social networks which
usually involved cheating and other forms of academic malpractices. This forms of
social capital used by many students have worsened the subjective nature of
educational attainment particularly if Sub-Saharan African nations.

47
Students in higher educational institutions in this computer technology and cyber-
space paradigm dogmatically rely on social factors as part of their motivation for
academic achievement which significantly influences their final records. The
sociological theory is one of the theories mentioned here in this research which
explained attitude of students seeking social supports from people in the institution to
achieve their academic objectives. In the study of Allan, Kenneth (2006),
sociological theory consists of abstract and testable propositions about society. It
most often relies largely on scientifically methods, which aims for objectivity and
attempts to avoid passing value judgements. Sociological theory is generally created
only by sociologists. . The oldest sociological theories deal with broad historical
processes relating to social challenges. Since then, sociological theories have to
include most aspects of society including communities, organizations and
educational institutions.
2.2 Synopsis of Records keeping and management Globally
To fully understand the enormity and significance of records management, both in its
present context and what it purports for the future. The first thing to do is to
understand its historical foundation. The concept of recordkeeping is not a new
phenomenon. The records management profession is as old as the first societal
groups, because the need of a memory arises naturally in any organization. The
most ancient forms of memory were oral and the most ancient keepers of records
were the remembrances, i.e. individuals entrusted with the task of memorizing rules,
contracts, sentences and transmitting them by recitation to their juniors. (Duranti
L.1993:30). The frailty of human memory and the growing complexity of

48
administration gave birth to the graphic representations of events in pictorial form
(Maedke, Robek & Brown 1974:19).
People have kept records in some form since the earliest development of writing.
However simply recording information or having records is not the same as
managing records. There have been major inventions that have had a significant
impact on records management, e.g. writing, paper, typewriter, microfilming,
computer, etc.
The first major invention occurred in ancient times when writing was conceived and
detailed records were kept (Krevolin 1986:2; Lundgren 1989:6). Very little, if any,
management of those records was done (or needed) because the volume of
information did not require it (Thomas, Schubert & Lee 1983:59).
2.2.1 Challenges in Records Management
Administration of students’ data and personal records management as noted by
Mazikana (1996) and Olagboye (2004) is aided by ICT administrative support
services offered to students in various levels of their academic pursuit. It includes
other students support service systems such as records creation, admission,
recruitment, class scheduling, attendance, and registration, timetabling and
accessing results. All of these can be done via networks computers and other
communication avenues called students portal. Challenges that institutions faced in
management of academic records in universities and mechanism to reverse the tied
and the cost it entails can be noted that records are indispensable tool in the
process of decision making, planning and general administration of an institution.
49
According to Mazikara (1996), records are very indispensable tools for determining
the quality and mix of human and material resources in many organizations.
Olagboye (2004) also goes on to state that the importance of records as facilitation
of continuity of administration through provision of information needed by past
students for higher education admission, job placement, provision of data for
planning and decisions making by internal stakeholders in academic institutions,
ministers of education and other stakeholders outside the school environment are
manifestations of the importance of records. However, in spite of the various benefits
of creation and management of academic records there are still profound
challenges associated with the management of students’ academic records in
tertiary institutions of learning. A review of literature on challenges associated with
the management of students’ academic records in higher educational institutions not
only in Ghana revealed some appalling challenges. The increasing enrolments of
students as Popoola (1999) and Iwhiwhu (2005) noted that appreciable rising in
students’ population in many tertiary institutions in recent times created more volume
of data and lack of practical automated tools to manage the records. These posed
challenges in both public and private universities in Nigeria with limited skills by
records practitioners. Iguodala (1998) is of the view that personnel such as secretary
and records filing clerks who maintained the registry systems in universities with
filing cabinets containing the paper evidence of the various records systems are
inadequate and presumably with the practitioners ignorant of their duties. The
absences of operational guidelines and regulations regarding management of
academic records have been one of the greatest challenges in many institutions of
higher learning not only in developing nations but in technologically advanced
nations of the world. Egwunyenga (2005) states that there are lack of records
50
manuals and filing guidelines leading to rampant loss of information. She notes
further that there exist inadequate computer terminals which have resulted into
difficulties of retrieval and maintenance of records with lack of appreciation by
management and staff. Relationship between ICT and records management were
both centred on creation, storage-accessibility and security of digital information.
However, ICT assists in engineering and maintaining systems to manage an
organizations information assets, the focus of records management was to protect,
classify and maintain the authenticity of records that is a subset of information so
that they remained accessible and functional as evidence of the business conducted
or a s much as they are required to be kept, the ultimate aim of records management
with ICT, particularly in relation to the management of electronic records. ICT
decisions and actions regarding the formatting systems and storage solutions can
have significant impact on the ability to capture data which are assembled to form
the records.(Nakpodia,2011). This finding in the literature though with in-depth
coverage there remained several knowledge gaps in the field. The current research
for instance is focused on social factors such as social contracts among students
and people in authority which influence malpractices in records keeping and
management practices and then relationship between students achievement which
are the identified knowledge gaps in literature. Several studies have been done on
the correlation of family structure and educational attainment but were inconclusive
on the negative effects of social factors on the act of managing records (Boggess,
1998).
Among the current studies, Azameti and Adjei (2004) also contend that managing
academic records in a hybrid paradigm characterized with fluidity of ubiquitous

51
technology application in the midst of human encumbrances, manifested in several
dimensions. These range from lack of knowledge and skill capacity, other social
exigencies and administrative externalities. The challenges in this context include
such areas as little or no professional knowledge among records keepers, skill
incompetence in information communication technology (ICT) which becomes an
indispensable requirement on today’s corporate world not for personal enhancement
only in order to flourish technologically but to keep afloat in the competitive business
and knowledge environment. These findings support the earlier results of
aforementioned researchers in this current study.. Azameti and Adjei (2014)
stressed too much inhuman interference in academic environments which admittedly
affected the reliability, credibility and authenticity of records. The persistent human
frailties affecting sanctity of records creation and management calls for further
studies into how reliable the strategies adopted for records management are.
In his paper presented to the department of ICT in Makerere University, Augustine
Kasozi (2005) enumerates problems that are associated with academic records
management in educational institutions. According to the report the challenges
occurred because there is a gross and overwhelming mismanagement of academic
records despite technological advancement that has been established in the
university. The problems include loss of students examination marks, miscalculation
of marks and alteration of active records in authoritatively. The study intends to
establish how ICT contributes towards management of students’ academic affairs.
Managing electronic records in tertiary institutions and the inherent challenges are
becoming one of the notable areas of empirical study in recent times. Research into
52
the creation of technology platforms for educational service delivery and other
related functions generally applicable to all manner of human institutions fits into
qualitative and quantitative paradigms of investigation (Olaitan, 1999, Popoola, 1999
and Olagboye, A. 2004).
According to Stewart et al (2000) electronic records are records stored on
electronic storage media that can be readily accessed or changed. An electronic
record is often referred to as machine-readable-record that was digitized and coded
information that, to be understood must be translated by a computer or other type of
equipment. Electronic records have certain attributes which included the content
which was the intellectual component of the documents or what the document
entailed. The content in this context could be the replaced of the original entry data
or input that is Garbage in garbage out (GIGO). This principle implies that electronic
records are not self-created in any business environment.
Another attribute is the structure which consists of the appearance, the arrangement
or the format of the context which contained the background information that helps
explain the meaning of the document. Electronic records can be generated or
acquired in different formats. Some of the formats of electronic records include
quantitative data, text, images and sound that originated as an electronic signal.
Electronic might take the form of a magnetic medium where a variety of magnetically
coated materials used by computers for data storage such as cassette, floppy disk,
hard disk and magnetic tape. There was the need to monitor electronic records to
ensure the records were accessible and readable until final disposition. Offices might
need to reformat or migrates the records, (Elizabeth and Yeo 2003). Increased
53
dependence on electronic records keeping has been the order of the day in every
human endeavour.
Therefore, electronic records might need some level of special care including
keeping them at appropriate temperature and humidity, recopying the information
periodically and testing the readability of an annual sample. Managing records
electronically has a lot of advantages and some disadvantages to the organization
and individuals. (Sue, Meckemmish 2004)
The advantages include reducing paper storage by converting paper documents that
are stored within the business or in an archive into an electronic form to obtain paper
document from the file storage or archive was typically slower than electronic
retrieval of documentation thereby helping to improve retrieval time and the ability to
perform searches for similar information. This could be particularly useful when trying
to perform major changes, or perhaps searching for information subjects to litigation.
Keeping records electronically saves paper, printer and toner cost. It reduces the
need to print paper documents as electronic versions are available for use or reused.
(Idris, 2011, Asogwa, 2004 and Alegbeleye, G.B.1993) Again it reduced the need for
multiple paper copies of documents and without electronic records systems
educational institutions, especially universities of the current paradigm would find it
extremely difficult to keep and manage students’ records as the population
continuously swelled up each passing academic year and its associated challenges.
Electronic recordkeeping enhanced staff productivity level since less time is spent to
search for documents or tries to find current versions of the document. (Tower
Software 2004; Omeyi.A.S.1997)

54
Disadvantages
Keeping records electronically has some challenges as well. For example the
electronic storage media is unstable, as it was difficult to establish the life span of
most of the products and this posed greater challenges to preserving electronic
records. There is also the problem of technological changes. Hardware and software
technologies might become old and obsolete or out of date and therefore might no
longer supports by computer industry; this might create a problem of long term
access (Lundgren, T.D.and LundgrenC.A, 1989). Apart from the technological
problems in electronic records keeping and management, human interface in usage
has created lots of challenges in today’s business environments. The all-knowing
cybercrime and a deliberate defacing or alteration of electronically recorded
information or data has been a bane in academic institutions. No amount of
safeguarding has been able to ensure authenticity of records in the cyber space
including intercom media of managing data and information so created in business
environments. Typical with these human elegancies associated with electronic
recordkeeping systems, educational institutions are always looking forward to a form
of electronic devices to help safeguard students’ records from perpetrators of
academic irregularities and also against their cohorts who operated within the cyber
space out of the domains of educational institutions. Producing examination
questions on computers connected to the internet these days had become a useless
business since predators of the cyber space have the ability of tracking the system
and launch their attacks.(Maedke,Wo,Robek,MF.and Brown,G.F,1994). This has
made indeed the ubiquitous technology platform usage in keeping students records
in our current educational environments becomes counterproductive.

55
This implies that inordinate or disproportionate dependence on electronic records
keeping systems without the necessary and constant safety measures being put in
place is a nonstarter (Azameti and Adjei 2013). Policies and safety innovations might
be in place to ensure readability and authenticity of students’ records being kept and
managed electronically.
A student records also known as academic or educational records according to
Nakpodia (2011) are those records which were directly, related to a student. This
may be maintained by an institution or a party acting for the institution. It did contain
information directly relating to a student which means that the records are personally
identifiable. Personal identifiers that relating to a record of a student includes
circumspect fully, student’s name, his or her ID/social security or national ID
number, address, parent/family member names and list of personal characteristics.
Other information in education records includes students’ admission records,
financial records, disciplinary records and medical or health records. These are
maintained in multiple media including handwriting, print, micro film/fiche, computer’s
main memory, magnetic tape cassette, diskette, pen drives, iPods and many of the
current devices for electronic storage.(Anho,2006:45-61).To ensure that accurate
and proper records of student’s achievement and growth during his school days are
kept and report same to parents and parents, employers, other institutions for
students admission or job placement.(Anderson & Dyke, 1992; Olagboye, 2004).
Students’ records might be presented by the student himself or herself or, submitted
on behalf of the individual, or created by the institution. These records are used to
assist officers in support of basic institutional objectives and to document student

56
progress ad achievement in the educational process of the institution. The creation
and maintenance of records relating to the students of an institution are essential to:
- Managing the relationship between the institution and the student, providing
support and other services and facilities to the student (Anho,2006;Daramola
1995)
- Controlling the students’ academic progress and measuring their academic

achievement (SAAP) both at the institution and subsequently by an off- site
holder as the case has been in some institution for any eventuality.
- Providing support to the students after they left the institution for any tangible
reason or duly graduated after successful completion of their studies.
In addition the researcher also see students records a record that contain data which
the institution can aggregate and analyse to inform future strategy, planning and
service delivery. An institutions relationship with an individual student also become
increasingly complex because of the range of support services institutions now
provides to students and lifelong learning initiatives. Consequently, the volume and
complexity of student’s records have also increased, as have the resources required
to create, use, retain and dispose them off irrespective of the format in which they
are kept. Ensuring that the personal data contain in student records is controlled and
managed in line with the principles and standards of international data management
creates an additional compilation. Institutions should therefore, establish a policy in
managing students records to ensure that they are handled consistently and
effectively where never they are held and whoever hoods them. This policy should
ensure that:
57
- Records relating to the individual student were complete, accurate and up to
date.
- Duplication of students’ data is deliberately rather than uncontrolled and kept to
the minimum needed to support effective administration.(Azameti,M.S.K.&
Adjei,E.2014).
- Records were held and sorted securely to prevent unauthorized access to them.
- Records relating to the academic aspect of the students relationship with the
institution were clearly segregated from those dealing with financial disciplinary
social support and contractual aspects of that relationship.
This will enable differential retention schedule to be applied to each of these to
meet business and regulatory requirements (Kallus 2004).
Categories of students Records
Students’ records are the records associated with managing the relationship
between the institution and its students. This could be organized intro broad
areas, each of which might be additionally divided into the following
classifications.
- Records documenting the contractual relationship between the student and the
institution. For example records documenting admission and enrolment, payment
of tuition fees, non-academic disciplinary proceedings.
- Records documenting the student as a learner that was records documenting
programmes of study academic progress and performance awards and
- Records documenting the student as an individual and consumer of services
provided by the institution. Example might include records documenting use, of
accommodation services, counselling services, library and IT support services,
58
careers and employment services. (Olaitan, 1995, Anho, 2005 and Olagboye,
2004).
It must be noted with a great deal that most records in the first category and third
above have specific retention periods triggered by the formal end of a student’s’
direct relationship with an institution, although the information they contained might
be aggregated and analysed to provide data or information requested by third parties
such as employers, institutions offering further learning opportunities or to support
the institution’s planning and development strategies.
An institution will need to retain alliteratively some of the records in the second
category to provide confirmatory information to potential employers, professional
bodies and associations and to agencies which regulate entry to medical military and
other professions and which assess and maintain evidence of fitness to practice in
those fields of profession (Azameti, M.S.K. 2013). Studies have shown that there
had been much concerned about the high premium which students have abnormally
placed on records documenting their academic data and the alarming rapidity at
which malpractices were perpetrated against such records in several institutions of
higher learning. According to Azameti and Adjei (2013), presumably, this might be
due to the decline in the quality of teaching and learning in many academic
institutions which led to abysmal performance among students. This audacious
quest among student’s to improve upon their academic achievements through such
less competitive means of fabricating and falsifying or altercating recorded data in
their portals has become a bane in the effective management of academic
institutions in this technological paradigm not only in Ghana but also other parts of
59
the West African States and even beyond. This study sought to make barefaced
appeal to practitioners to hold onto their academic efficacy in the discharge of their
duties. The readers of this thesis are not to view the content and the
recommendations from the results as bombastic prating in its highest order. The use
of electronic records keeping systems and the general ubiquitous technology
platform have come to stay, what was needed for some time now was to institute
measures for effective management in all educational institutions order to derive
the best out of the investment of both human and financial capital in educational
enterprises in Sub-Saharan Africa.
2.2.2 Social Factors Influencing Creation and Management of Records
Academic achievements and relationship with students’ final records in higher
educational institutions have not received adequate empirical investigation among
information scientists and quality assurance researchers in recent times
.(Azameti and Adjei 2013) quoting Stigggler and stevenson,(1992) however, indicate
that what has been the popular knowledge among social and cognitive
psychologists and educational researchers about determination of academic
achievements among students focused on cultural factors in education, social
policy, social capital and the extent to which these independents variables influenced
academic achievements of students and their final records in schools and colleges
(Quatman,etal 2011). .Among the most popularly asked questions included why
cultural factors such as beliefs, attitudes and practices including social relationships
which distinguished students of one culture from others account for achievements of
students? How do connections between students and their peers and teachers;
60
including the perceptions among teachers and school principals or heads of
institutions about students affect academic achievements?
Conclusions drew from these earlier studies indicate that academic achievements of
students are tied closely to social and cultural factors operating within each society.
Relying on indigenous beliefs, attitudes and practices as well as those borrowed
from other cultures and information obtained in studies comparing different societies
that was of local as well as more universal significance. Thus, the ultimate goal of
attempting to understand antecedents and correlates of academic achievements
requires familiarity with practices that lie both within and among cultures. These
areas of investigation have been of significant interest among some social science
researchers over the years (Azameti and Adjei 2013).
According to Stevenson and Stigler (1992), these areas have been of great interest
due to what can be learned about the researchers own culture. By placing practices
from one culture in juxtaposition with those from other cultures, every day events
which were once considered novelty or unique right away became a common
practices. For instance a five year old child in African culture may differ in his or her
orientation on mathematical concepts as compared to a child of the same age within
a European culture. (Berger, 1997) A college student from African descent may have
different orientation on reporting causes of road accidents and loss of human lives
from a student from an American culture giving report on the same incident.
Proposing cultural factors to account for such differences in academic achievements
led to new perceptions about cognitive abilities of students in all levels of education
and how cultures differ at explanation of achievements among people in educational
institutions. (Paris and Wellman1998)

61
Another contribution of comparative studies about academic achievement is to
explain the characteristics of different systems of education, what may be considered
as a norm in terms of academic achievement processes which can be regarded as
exciting, innovative and acceptable may be unacceptable among members of
another culture. Again, what may be considered as positive social capital or social
relationships between students and the school systems which determines academic
success may also differ from other systems.(Okon,C.P.1998) As results of such
discoveries, comparative studies about academic achievements have received much
attention since the 1970s (Beatin et al 1996), (Martin et al, 1997, Coleman [1998),
Clifton 1997) and (Etcheverry, Clifton and Roberts 2001). The results from these
previous studies have shown that there are glimpses of positive correlation between
social factors and academic achievements (Stevenson and Lee1998).
Mathew. (2013), has also found that by far majority of person’s success in life is
attributable to social, emotional and intelligent variables. According to him general
intelligent and building of connections which uniquely predict objective and
subjective academic achievements. Despite these earlier findings there are major
knowledge gaps in these areas of study, for example, practitioner’s inability to
scrutinize the methodological approach and its accuracy and the result, reliability and
generalizability of the studies.
A study by Saunders, W.L. and Rivers, J.1996 and experiences among practitioners
in contemporary tertiary institutions show that there are other variables which fall
within the socio- cultural domains that are subjects of empirical investigation but
have not been considered significantly by the earlier researchers in the field,
62
(Nuthall, G.2004, Rivkin, S.G.et al, 1998). It is useful at this juncture to further
expand the scope of investigation to include the perceived related variables besides
the methodological knowledge gaps which presumably influenced significantly
academic achievements among students and their final records in several
academic institutions over the years and even to date. Teachers effectiveness and
the climate of the learning environments also contribute to the general educational
attainments of student and the direct effect on final records of students which could
be left out in issues of this nature,(Akpan, O. E,.2006). Bringing these problems to
the fore must be seen as one of the most important efforts to succinctly ensure
quality enhancement in post teaching and learning activities in today’s tertiary
education.
2.2.3 Challenges Associated with Records Management
An earlier studies on challenges associated with records management, are carried
out in Federal University state and private universities in Nigeria (Nakpodia 2011).
The results indicate that 15 items are listed as the challenges. Among the items 83%
of the respondents indicate lack of government policy as one of the challenges
affecting effective management of records, besides, as high as 97% also stated lack
of skilled personnel in charge of records management. The highest negative
response is on records disposal, 55% maintenance, delay in retrieval of information
45%, lack of security 40%. The study result further indicates that challenges
encountered in the management of records in Nigeria are common to Federal, state
and private universities. This is in line with earlier results of Olaiten (1995), Popoola
(2003) and Ayodele (2004) who emphasized the fact that the various challenges
(financial use of ICT, low morale, lack of staff retraining, government policy are
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among the major challenges associated with records management in the universities
in Nigeria. The 2nd question item sought to address the degree of difference in the
challenges among the Federal, state and private universities. The result to this
question is based on a hypothesis test carried out; it indicates that there is no
significant difference in the challenges associated with records management in all
the three categories of universities in Nigeria Federal, State and Private.
However, with further comparative analysis, between Federal and state universities
in Nigeria, the result shows that there are significant differences between the two
universities, thus a mean score of 4.4 against 3.3 in the challenges associated with
records management. There was no significant difference in the challenges
encountered in Federal and private universities, with a mean sore of 4.4% for
Federal universities and 3.8 for private universities. Nakpodia reports in his studies
that Popoola (1999), Iwhiwhu (2005) observed earlier that one of the challenges
associated with the records management profession in many educational institutions
includes increasing enrolments of student and corresponding increasing in volume of
data generated in the various departments in the midst of lack of automated
software. Idris, O.N. (2001) also noted that, in Nigerian and as well as other African
public institutions, lack of proper care for government property has been a major
hindrance to effective management of facilities and even records.
The above results from earlier studies and each of the questionnaire items seemed
to address similar issues in the current study. However, the major knowledge gaps
identified and filled by the current study concerns social factors influencing records
management in the Ghanaian tertiary institutions including conceptual framework

64
which outlined nine challenges and their effects on authentic and trustworthy records
keeping and management systems. The rest were financial constraints which usually
prevents authorities to help their staff to update their skills and knowledge in their
respective jurisdictions. Again the additional theories from other social sciences
applied as supporting theories also contributed significantly to existing knowledge.
The last but not the least is the use of conceptual diagram/schema which explains
the challenges which the current study seeks to provide. This study axiomatically
filed the knowledge gap identified in the results of the earlier studies reported here in
this empirical review.
2.2.4 Ethical Challenges in Records Management
The prevalence of ethical challenges in every facet of educational management and
practices in the 21st Century in Africa with particular reference to tertiary institutions
in Ghana has become a subject for empirical investigation. To say that nothing of
management in education and service delivery in Africa seems to work well without
compromising ethical principles is an understatement.(Azameti,M.S.K.2013).
Morality, virtues of life and precepts of fairness and equity have been thrown to the
dogs. We now seem to live in a quagmire of shifting our attention from accepting the
ephemeral existence or the constant and dogmatic realities of open platform of
corrupt practices in education. We cannot avoid accepting the virtual reality of
alleged unethical decision making among many practitioners in tertiary education
without any sense of shame and iota of guilt as noted in a recent publications of
(Azameti,M.S.K.&Ajei,E.2014) It is also the position of these researchers that as
corrupt practices abounds in managing even educational enterprises including the
emerging private universities in Africa with their inherent commercial nature, African
65
societies risk losing their heritage of good morals and virtues of life. Virtues of life
such as honesty, truthfulness, trustworthy, reliability, humility, fairness and equity
seem to be out of reckoning in the current generation. Practitioners in education like
any other business entity need to interpose their attitudes of disparagements or
denigration of each other’s products with fairness and equity which constitute best
business practices. Nepotism, sectionalism, bigotry, slandering, acrimony against
one another without abhorrence and or -adherence to ethical principles has become
the order of the day. The current generation is steadily getting into the brink of falling
into the abyss of animal kingdom sooner or later when we fail to reverse the tied.
Private universities, particularly in Ghana face challenges of dealing with unethical
issues associated with programme accreditation and subject affiliation which are not
the focus of discussion in this study. (Azameti, M. S. K. & Adjei, E., 2014) There has
been an apparent and systemic suggestive underhand dealing to have things done
within the expected timeframe. Internally, the assessment processes of students’
works and managing academic records in our contemporary tertiary institutions
which is the focus of this research poses ethical challenges in educational
management. The second chapter of the study on critical realism concept it states
that there are unobservable events which cause the observable ones, as such the
social world can be understood if people understand the structures that generate
such unobservable events (Morton &Archer, 1998, 2006). Assessment of student’s
works leading to the creation of academic records in many tertiary Institutions in
Ghana has been associated with protracted ethical challenges. Practitioners in
tertiary institutions find themselves in constant ethical dilemma when students,
parents and politicians try to influence them with money and materials things which
lead to compromising precepts of meritocracy in academic achievements among

66
students. There are two major contrasting variables which are indirectly responsible
for the ethical challenges. These include the increasing abysmal academic
performance among students and the over reliance on paper qualification as the only
reliable means of ensuring sustainable economic wellbeing after successful
graduation.
Increasing access to higher education without solid foundation at the basic level has
its own adverse effects which is the case in Ghana. Studies have shown that almost
one third of the Ghana’s annual budget is allocated to the educational sector yet
there is scarcely any value for money. The teaching profession at the basic level until
recently has been plagued with rampant Teacher-absenteeism and high attrition rate
due to the poor condition of service and salary structure. (Adae, Mensah,2005).
Many classrooms in urban and rural communities across the ten regions and
districts of the country were filled with non-professional teachers who presumably
saw the profession as the only and immediate avenue to seek economic relief and
also stepping stone where they could leverage or leapfrog to higher grounds in their
professional career and personal development. There were other categories of non-
certificated teachers who used the teaching filed as an after though venture or the
last resort, these individuals rather adopted laissez-faire attitudes towards their work
which has resulted into mediocrity in the production of students for the pre -tertiary
education and to the tertiary level(Azameti and Adjei 2014). The ripple effects of
these lapses at the Ghana’s basic educational system were the proximate cause of
the abysmal academic performance among students.
The schools system at the basic level has failed woefully to ingrained or inculcate
into students the long-term benefits of that holistic development in the psychomotor,
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the cognitive and effective learning domains and what the knowledge about their
individual learning styles and utilizing them religiously entails.(Norman, P.1998).
The national statistics on the yearly results of junior and senior high school
graduates who qualified for further studies in the second cycle and the tertiary levels
were indicative of the challenges in the basic level education in Ghana.(The Annual
Chief Examiner’s Report,WAEC,2004) However these blame games cannot only rest
at the door steps of students alone, sometimes there are conspicuous evidence of
lack of teacher self –efficacy which leads to ineffective teaching and learning in the
classrooms. Again when students fail to discover their own learning styles, the
immediate results are poor preparation for examination and abysmal academic
performance at the end of the day. (Bandura, A.1977). As we continue to scratch our
heads and ponder over these challenges in our private environments, it is important
to resonate that we cannot continue to uphold the culture of silence. A lack of
awareness we sometimes experience of the forces at work in educational
environments which combine together to determine out comes if we maintain silence
about our deep inner thoughts and concerns, we engage in a conspiracy of silence
and prevent the institutions from developing the necessary understandings from
which change and positive development can spring( Whitaker,p.1998)..
It is interesting to know that in some of the Ghanaian neighbouring countries, there is
what is called "Miracle Examination Centres where some morally corrupt parents and
students paid huge sums of money to register their wards and children for the West
African Senior Secondary School Certificate Examination (WASSCE)" but without
the purported candidates attending classes for them to be prepared to write the
papers they were registered for. There were already in place well vexed examination
contractors who are paid to write the papers for the candidates who only have to pick
68
their results afterwards and then travel to other parts of their country or travel to
other nearby countries to search for admission into tertiary programmes of study.
These phenomenon and other obvious factors are responsible for the influx of all
kinds of applicants into tertiary institutions in the African sub region in recent times.
These types of mediocre applicants and would- be students from the pre-tertiary
level in the sub region when admitted pose lots of ethical challenges to lecturers in
the classrooms and during post teaching and learning assessments processes. They
use everything possible to influence people to earn their grades. Sometimes
lecturers and administrators in tertiary institutions turn themselves into intermediaries
for some of these students by acting as academic sociological contractors and put
their fellow’ practitioners under duress just to assist these students which is without
any malice. The most current of the ethical challenges perpetrated by some
students which was experienced by the researcher quite recently in one of the
private universities in Ghana was the use of fake bank drafts and pay –in slips to
settle their fees in the heat of the end of semester examination mopping of fess in
arrears and to be realized later that the instruments used in settling the bills were
fraudulent. These crops of students were found not only in our university systems but
also in the Nursing Training colleges, the polytechnics and colleges of education
across the West African sub region. Practical observation has shown that even
among the medical profession, the current crop of students graduating from various
training institutions used corrupt practices to earn their grades including their pre-
entry qualifications and become medical practitioners who cannot practice the
profession effectively and efficiently after graduation. Many hospitals in the sub
region including Ghana are becoming death traps instead of saving lives of innocent
people. There has been increasing cases of professional incompetence in some

69
departments of the hospitals. Some of these half- baked professionals usually
request for operations on their patients just to demand huge sums of money to be
paid by their clients only to enrich them. (Azameti, M.S.K.2014).
Ethical matters, large and small touch human lives at some level, every day
decisions are often rendered without agreed deal of conscious deliberations. This
was perhaps due to illustrative of the implicit moral values to discuss. The
Implicitness or perhaps ubiquity, of the moral frames that the individuals apply to
ethical judgement and behaviour is worthy of a closer, more discriminating
assessment. This assessment may challenge the assumptions held by professionals
in higher education about the moral and ethical maturity of their students and other
staff members. (As a matter of Ethics, (2004):.www...east Lansicing.ml Association
of Colleges Honour societies.)The implicitness of or otherwise ubiquity of the moral
frames that the individual apply in any life situation is worthy of closer more
discriminating assessments. These assessments may challenge the assumptions
held by practitioners in higher education about the moral and ethical maturity of their
students and as well as staff members. (www...achsnalll.org/ethics/index.asp., 2004)
Ethical requirement for records-keeping: according to the American Psychological
Association 2001 (APA) contains the Ethical Principles of Psychologists code of
conduct” generally required for maintenance of appropriate records of psychological
services. In Ghana just as in the USA the nature and extent of the record will vary
depending upon the purpose setting and context of the services. However, whatever,
the record may be it is important that staff get familiar with the legal requirement for
records keeping in their specific professional contexts and jurisdiction.

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2.3 Literature Review
To review literature and other empirical studies in an academic discourse
such as a PhD dissertation becomes an indispensable component of the entire
research project in any field. The principal reasons behind the review of related
literature and other peoples work in the area of study is to identify what has been
done and the knowledge gaps left to be filled or to confirm an existing practice, policy
and develop a theory or apply an existing theory to explain a phenomenon of any
kind. Besides, a review of literature is to fulfil the epistemological and ontological
requirement of the study. This chapter presents a review in three fold areas, thus
theoretical foundation which supports every element in the study, a review of other
people’s work in such areas as technology challenges, procedural and social
challenges. The third dimension of the review section focused on records keeping
and management in higher educational institutions.
2.3.1 Characteristics of a Record
A record must meet several criteria that make it unique in relation to other types of
information. Different researchers state the characteristics of a record as follows:
 Records are evidence of actions and transactions (Reed, 2005; Thomassen,
2001:374)
 Records are physical, have content, a structure or form, and are created in a
context (hofman, 1998)
 Records should support accountability, a “principle that individuals,
organizations, and the community are responsible for their actions and may
71
be required to explain them o others” (International Standards Organization,
2001:2)
 Records are process-bound information, i.e. “ information that is generated by
and linked to work processes” (Thomassen, 2001:374)
 Records must be preserved, some for a very short tie and others permanently
(McKemmish et al., 2005a)
In an organization, records are part of the organization’s memory and are used to
support management. Cox (2001:6) states that the evidential value of a record can
only exist if the content, structure and context are preserved, meaning that without
preservation, there won’t be any record. The context is the link between different
records that belong together and the process through which the record was created.
Records are essential in three levels namely; operational, tactical and strategic level
for the directing of organizational activities (Ngoepe, 2003:18-19; Shepherd, 2006:6-
7). Kemoni et al., 2007:6-16; Ngoepe, 2003:20; Shepherd, 2006:6-7) state that
records form the basis upon which various plans such as; strategic, management
and budgets of an organization are compiled. This records support decisions and
actions that are taken by an organization, to provide evidence of what has attained
and relations that they have with other organizations, thus promoting transparency of
processes in authority (Shepherd, 2006:6; Willis, 2005:89-91) records keeping helps
in making sure that organizations are responsible for what they do. Good record
keeping is critical for well-organized procedures of an organization (King, 1997:7;
Mnjama, 2004:45-47; Shepherd, 2006:6 Gunnlaugsdottir (2002:231) add that
effective record keeping also includes the promotion of efficiency, and the protection
72
of rights and obligations of employees. He further states that hey contribute towards
the reduction of fraud and corruption.
2.3.2 Records Management
Records management, as stated by the ISO: 154489 (2001:3), is the field of
management responsible for the efficient and systematic control of the creation,
receipt, maintenance, use and disposal of records. This includes the process of
capturing and maintaining evidence and information relating to business activities
and transactions in the form of records. Records management therefore plays a
major in the care of records that are created within an institution such as a university.
Records management may be viewed as a subdivision of information management
and information management entails the management of all the information in an
enterprise, as well as the management of the people, hardware, software and
systems that provide the information (Makhura and Du Toit 2005:215). The definition
emphasizes records management as being a component of information
management and stresses the link between records management and information
management. The definition considers the various environment in which records
would be created and managed, for example in paper and electronic environments.
2.3.3 Purpose of Records Management
There are various reasons for records management. Richmond (2010) highlights the
following reasons for records management.
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 To preserve corporate memory: A proper records management programme can
ensure the work, research and information that is gathered by an employee
during his or her tenure is captured and managed appropriately even after the
employee is no longer there. Universities sometimes hires new employees from
time to time, and this means that records can easily be lost once someone has
left, especially if there is no records management system to help with
recordkeeping. With a proper records management programme in place, it would
be easy for the university to store every kind of record that has been created over
any given period of time. This would also help the university to retrieve any kind
of records that had been captured during the former employee’s tenure with
ease(.Zolile,p.2012)
 To support better decision making: a proper records management programme
ensure that decisions are made with documented prof as opposed to often
unreliable memory.
 To control the creation and disposal of records: policies and procedures must be
put in place to control the creation, retention and disposal of records. A proper
records management system would help to organize and identify records which
must be retained for day-to-day business operations and systematically (and
legally) dispose of the rest.
 To reduce the cost of operation: a proper records management system would
help reduce unnecessary costs by improving the management of an
organization’s information resources sot that less money is spent on supplies and
equipment. Tertiary institutions works with procurement and stores; keeping a
record/database of prices, suppliers and suppliers could cut expenditure in the
long run.
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 To improve efficiency and productivity: A proper records management system
improves efficiency and productivity by ensuring that information is available
when it is required. Students always complain that some of their records cannot
be found. Physical records are easily lost if they are stored in an adhoc manner.
It is important for academic institutions to take note of the above mentioned
reasons for records management and to understand the major role of records
management in an organization.
2.3.4 Importance of records management in a University Environment
The activities of a university are documented in the records that it produces. These
records are a vital asset in ensuring that the institution is governed effectively and
efficiently, and is accountable to its staff, students and the community that it serves.
Records support decision-making, document general operational activities, provide
evidence of policies, decisions, transactions and activities, and support eh university
in cases of litigation. They are central to the university’s operation, and managing
them effectively is an important responsibility that involves all members of staff.
Sound records management provides a route to ensuring that the university adheres
to its legal, professional and ethical responsibilities. Records management improves
efficiency by cutting down retrieval time and maintaining control over what is held,
how and why.(Igwoku,I F.2008). Records management also ensures that
information and records are not duplicated needlessly, which not only saves money,
but also maintains version control and accuracy. Good records management
ensures that historically significant records are preserved for permanent use. Since a
record is any information created or received and maintained as evidence of
transaction or correspondence by a person or organization, records act as proof of
75
what has been done by the organization or institution. Records operate in different
ways, for instance some records are essential for on-going work (e.g. student
records), while others have to be archived for statutory period (e.g. financial
records). For this reason, a university has to keep some records imply as evidence
of what was done and why.
2.3.5 The Records life Cycle Model
Yusof and Chell (2000) state that the development of the Records Life cycle concept
began in the USA in the 1930’s it was invented by the National Archives of the USA
in response to the ever-increasing volume of records produced by organizations. The
Records’ Life cycle model has since been dynamically used in places like North
America and indicates a separation amongst records management and archival
management ( Gillil & Swetland, 2000; Shepard & Yeo, 2003: Ulfsparre, 1998).
The Records Life Cycle is an analogy of the life of a biological organism which is
born, living, and then dies. Records are created and vigorously used in relation to
their purpose (reason for their creation). In other words records that do not fulfil their
purpose become irrelevant and unnecessary, while those that serve their purpose
become active. When a record is no longer useful (i.e. it no longer serves its
purpose). A decision is made as to whether the record should be preserved or
disposed of. This record is created and use as long as it is continuing value, and
then transferred to national archives or destroyed.
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2.3.6 Defining Records and Explaining Their Importance
Records are a product of organisational activity created or received during or after
completion of an activity(s) (Elizabeth & Yeo, 2004).Records, according to the
International Standards Organisation (ISO15489:2012) are information created,
received and maintained as evidence by an organisation or an individual in
pursuance of legal suit or in the transaction of business. According to McLeod
(1995), a record is defined as recorded information in any form, including data in
computer systems, created or received and maintained by an organisation or person
in the transaction of business and kept as evidence of and support for the
organisation’s business activities and the good conduct of its affairs. In addition,
King, (1996) also defines records as the complete set of documentation, regardless
of media or format which services to document the organisation’s functions, policies,
decisions, procedures, operations, or other activities of the agency. Records consist
of content, structure and context. These three qualities must be captured and
preserved together in order to meet the requirement for “recordness.” This process
of capturing all the three qualities of data is referred to as “metadata” (i.e. about
data). If the metadata are lost, the item loses its “recordness” (i.e. evidential value)
and becomes “business unacceptable” (useless as evidence). Dakers and Hare
(1996) also differentiates between data and record and indicates that, data becomes
records when the content, context and structure are tied together to provide both
meaning and functionality. A further distinction is that the particular medium
(magnetic tape, optical disk, or paper) in which information may be carried or
embodied is not the record. The information carried on that medium is the record.
The researcher also see records as a concise representation of information on any
event, be it business activity, legal issues in a court of law which may be relied upon
77
for an evidential proof of any claim by an individual or groups of people and
corporate institutions.
The importance of records can be viewed in the light of purposes of accountability
not merely supporting organizational needs for compliance or self-defence; they also
meet the requirements of society for transparency and the protection of rights.
Furthermore, the importance of records lies in the usage by organizations and
individuals for historical, demographical, sociological, anthropological, medical or
scientific research. Records kept for cultural purposes also serve the value of society
or a community and its needs for collective memory. Records when well created and
kept serve as basis for comparative analysis of events which may include a legal
framework, landmarks, a nation’s boundaries and a memorabilia of one’s ancestry
(ARMA, 2012).
Records are created in the first instance for the conduct of business and to support
accountability. In academic institutions records on every transaction are very
important just as any record of an organisation. Records created in educational
institutions provide the basis for continuous running of the institution in all sectors.
This may include programme of study, policies governing day to day transactions
and interactions between stakeholders which require future reference to support
accountability, historical evidence and legal proof in a count of law. Records serve as
memory of the institution or organisation and a reference point for almost everything
including issues which may be considered as trivial or necessary so far as
provenance of originality is required. Academic records in particular as a subject of
this research are very important in many respects. For instance, a properly kept
78
students records help in support for external and internal accountability. The external
accountability manifest when the need arises for organisations or an individual who
wants to know the authenticity on academic credentials or achievements of
prospective applicants or job seekers.
Furthermore, when students who have left the institution after completion or even in
the process of changing their programme of study proper recordkeeping of activities
on particular student are very important since those who have shady characters can
easily falsify the content of their records for various personal reasons. Outside the
organisation which includes educational institutions, the wider community also has
expectations that records should be kept properly. When records are used for
purposes of accountability they are not merely supporting organisational needs for
compliance or self-defence, they also meet the requirements of society for
transparency and the protection of rights. Other organisations and individuals may
use records for historical and demographic purposes.
Records for cultural purposes also serve the value of society and its needs for
collective memory. Without proper records, human institutions irrespective of
business type can steadily progress where there is no evidence of what transpired in
some time past, what has been achieved and what had not been achieved. This is
the point where records classification becomes necessary in the records knowledge
domains, which are not part of this present study (Skupsky, 1989, 1990, 2000).
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2.3.7 Symptoms of Poor Record Management
Management of records which can be classified as good management begin from
the creation stage to maintenance or retention of the records to final disposition. The
trade-off between this is what can be termed as poor management of records.
Experience has shown that in many corporate institutions, symptoms of poor records
management manifest in the following manner:
 Records will most often be inadequate for the purposes for which they are
needed;
 Records will often be lost;
 Some records will probably be destroyed prematurely and others retained
unnecessarily;
It is also important to note that excessive retention of records will eventually give rise
to retrieval difficulties as well as wasted resources, but a failure to create adequate
records or maintain them appropriately will certainly have more serious
consequences. Other symptoms of poor records management include:
 The organisation may be unable to prove that it did what was required of it or
that policies and procedures were correctly followed.
 It may be unable to defend itself if liability claims are being made against its
products or activities such as services rendered or the actions and inactions
of its employees.
 It may be unable to prove its rights or protects it assets.
 Business operations may be compromised if critical information is unavailable
when required.
The rights of clients’ citizens and the wider community may also be impaired.
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In contemporary private tertiary institutions in Ghana putting together final year’s
students’ records for onward transmission to mentor public institutions for graduation
documentation purposes becomes a great challenge. For instance, omissions on
some students’ courses offered incorrect grades, wrong date of entry and what have
you have compromised service delivery. These are some of the typical symptoms of
poor records management processes or evidences (Shepherd & Yeo, 2004). It must
be emphasized here that, increasingly, organisations are recognizing the value of
well-managed records and are implementing programmes to ensure that the right
records are created and retained.
In summary, an effective records management of an organisation will also ensure
that records are available for use when needed, that privacy and confidentiality are
maintained and that redundant records are summarily destroyed (Smith, 1995). Poor
records management in academic institutions is blamed on heads of the institutions
in that they do not appreciate the importance of records management until they
needed to retrieve records for urgent purpose (Nyarko, Felix Ampong, 2013).
Difficulties being faced in some government institutions in retrieving records for
submission to the judgement debt commission investigating judgement debt
payment and other related matters from 1992 to 2012. “If you mismanage records in
your office, he records will mismanage you” said by Felix Nyarko Ampong in an
interview with the Daily Graphic on Friday 2012.
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There were two types of record-keeping a PRAAD. Ampong F.N. said, these are
semi-current records which were five year old materials kept at the National Records
Centre (NRC) and Archival records which were at least 30 years old materials kept
and the archives (Kofi Yeboah), kofiyeboah@graphic.com.gh.
Discussing the recordkeeping situation in the Ghana, Akussah (1996) observed that
the root of the problem of records management in Ghana could be traced to the lack
of a comprehensive policy regarding an integrated holistic approach to the
management of the whole cycle of records. Akotia (2003:114) felt that the revision of
archival legislation had assisted in enhancing records management practices in the
Ghanaian public sector. The new law acknowledged the life-cycle as the framework
for records control. Systems and procedures had been put in place to provide a
sound, systematic records management programme. The state of records
management in Kenya was generally poor (Ombati 1999:35). Mnjama (2003:91-101)
decried the inadequate state of recordkeeping in Kenya and emphasized that the
factors contributing to the current state of recordkeeping included failure by senior
management to establish acceptable records management goals and practices, as
well as the non-implementation of various recommendations dealing with
improvement of records management in the Kenya public sector. The inadequate
stage of recordkeeping in Kenya and its impact on public service delivery was
admitted in the various records management circulars issued by the Office of the
President and Directorate of Personnel Management.
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2.3.8 Academic Records and Their Importance
This includes records of curriculum issues, facilities and equipment for teaching and
learning guidelines for the introduction of new academic programmes and students
records (Nakpodia, 2011). The study of Anho (2006), mentioned in Nakpodia, 2011,
classified student’s records in relation to the purposes they serve. Register of
Admission/Matriculation Register: This indicates the list of students enrolled each
year for each course, Department and Faculty Surname and other relevant personal
information on the student. It also contains the oath of allegiance and obedience to
the institution’s authority and promise to desist from any act of violence or any action
aimed at thwarting the efforts and programmes of the institution either in a group or
an individual. In the current study students records and academic records are
considered the same.
Academic records is used interchangeably with students records in some
institutions, however, there is some dichotomy between the two, for instance
academic records are those information which pertain to students test scores and
grades in addition to any award earned by a student during or after his studies.
According to Public Records Official.com,(www.publicrecords official .com),academic
records are public records which are documents of pieces of information that are not
considered confidential and can be viewed instantly on-line.
Students records on the other hand may consists of only date of births, entry
qualification, information about parents/guardians, address of parents and any
information about health status of a student. In this study, it is emphasized here
that the term academic record refers to the two since all elements in the two
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terminologies pertain to students. Policy records which must be possessed by a
school which contains Government policies, decisions of governing council, and
procedures on funding and moral codes.
The term Administrative records refer to for example, great visits, events, annual
enrolment of students and records of personnel that have served and still serving in
an organization. It may also include inventory of items which are popularly known as
logistics for daily activities in the institution. These contain the progress report of
each student - the scholastic performances and conduct for each course for each
session or semester. Transcript and Result are forms of the cumulative records.
2.3.9 Managing Records in Hybrid Environment
Paper has a long history as a record storage medium. Paper-based records can be
read without the need for a computer as intermediary; they are familiar and
reassuring, and despite the inferior quality of much modern paper they offer in
apparent prospect of longevity. Electronic records present the records manager with
new challenges not least in their dependence on computer software, hardware and
operating systems, and in rapid technological change. On the other hand electronic
systems for records management offer not only substantial space savings, but also
the possibility of a speed or retrieval and range of functionality unmatched in the
paper world (Elizabeth and G..Yeo 2003).
With electronic records, filing is no longer a time-intensive manual activity. Multiple
options for retrieval can be provided without using elaborate cross-references or
making duplicates for filing under different headings. While a paper file can only be
consulted in one palace at any one time, electronic systems allow simultaneous
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access by multiple users, and physical proximity to storage areas is no longer a
prerequisite for speedy access: records can be delivered almost instantly to distant
as well as local users. Finally, the risk of loss can be substantially reduced. Unlike
their paper counterparts, online electronic records are not liable to damage by being
handled, nor can they be accidentally misplaced. If security copies of electronic
records are required they can be created with a minimum of effort (Thibodeau &
Baru, 2000).
The introduction of electronic systems into an organization can be seen as falling
into two phases. In the first phase computer technology is used for informational
databases, and as a mechanism for creating paper documents, which are then
forwarded or retained using traditional means. In the second phase electronic
systems are used to effect transactions (such as the transmission of a document to
its recipient) and now entering the second of these phases, but as yet few
organizations have a paperless office. For the foreseeable future, most will have a
hybrid environment, where some records are created or received on paper while
others, perhaps relating to the same activity, are created or received in digital form.
Broadly, speaking, if records are created or receive in both media, the options for
retention are:
 Printing electronic records to paper
 Making digital copies of paper records
 Maintaining a hybrid system, with some records in paper form and others
maintained electronically
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Where records are printed to paper (or to another analogue format such as
microform), electronic systems may be used for drafting or messaging, but are not
used for the retention of records. This is a simple approach, but at the best it is an
interim solution. The 'print to paper option preserves static content but the ability to
search, disseminate and retrieve records electronically is lost. If sets of electronic
data are to be kept as records, or data dumps or report outputs which can be
retained on paper. Records that contain dynamic links or multimedia elements lose
their functionality when printed out; with spread sheets the underlying formulae are
almost always lost. Print outs of electronic mail messages may fail to identify
senders and recipients, or may refer to them only by an alias that is meaningless
outside the e-mail system. In the longer term, printing is not an easy solution,
because of the storage and retrieval costs associated with paper (Stephens &
Wallace, 1997).
If a wholly digital approach is used, records are created, transmitted and received
electronically were possible, and all records are retained in electronic form. Paper is
not used as a storage medium, and paper records are copied to digital format using
imaging technology. Both of these approaches ay raise issues of authenticity. The
paper printout is not the original record of an electronic transaction and although
many jurisdictions have moved towards legal recognition of electronic evidence, the
digitized image is a copy and not the original record of a paper-based activity. In
practice it is often necessary to maintain a hybrid system, where some records are
retained on paper, others electronically. The issue then is how to manage records
that are closely related in terms of context and content, but physically divided
between paper and digital media.

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This research is based on the premise that the task facing most records managers at
the beginning of the 21st century is to manage records in a hybrid situation. It
endeavours to show that the principles underlying the management of electronic
records are the same as those that support the more familiar paper systems. The
practical application of those principles may differ according to the needs of one
medium or the other, but where records in both media are to be managed in tandem
there is a need for as much commonality as can be achieved. This study aims to
assist records managers in designing programmes and systems to manage records
effectively in a hybrid environment (Saffadu, 1993).
2.4 Policy Directives for managing Students’ Records
Every Academic institution should, as a matter of utmost importance establish a
policy on managing student records to ensure that they are handled consistently and
effectively wherever they are held and whoever holds them.
This policy should ensure that:
 Records relating to an individual student are complete, accurate and up to
date;
 Duplication of student data is deliberate rather than uncontrolled and kept to
the minimum needed to support effective administration;
 Records are held and stored securely to prevent unauthorized access to
them;
 Records relating to the academic aspects of the student’s relationship with the
institution are clearly segregated from those dealing with financial,

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disciplinary, social, support and contractual aspects of that relationship. This
will enable differential retention periods to be applied to each of these to meet
business and regulatory requirements (Kallaus, 2004) and (Woolcock,
Michael, 2001).
Student records are records associated with managing the relationship between an
institution and its students – can be organized into three broad categories, each of
which may be additionally divided:
1. Records documenting the contractual relationship between the student and
the institution e.g. records documenting admission and enrolment, payment of
tuition fees, non-academic disciplinary proceedings.
2. Records documenting the student as a learner e.g. records documenting
programmes undertaken, academic progress and performance, awards.
3. Records documenting the student as an individual and consumer of services
provided by the institution e.g. records documenting use of accommodation
services, counselling services, library and IT support services, careers and
employment services.
Most records in categories 1 and 3 have specific retention periods triggered by the
formal end of a student’s direct relationship with an institution, although the
information they contain may be aggregated and analysed to provide data requested
by third parties or to support the institution’s planning and development activities. An
institution will need to retain some of the records in category 2 to provide
confirmatory information to potential employers, professional bodies and
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associations, and to bodies which regulate entry to medical and other professions
and which assess and maintain evidence of ‘fitness to practise’ in those professions.
2.4.1 Academic Records
The scope of students’ academic records sometimes is institutional specific and shall
apply to academic transcript-the official record of a student in an institution. If covers
all units attempted except when provided as part of the institutions statement for
teaching and registration purposes. Students’ academic records may also cover
graduation statement thus, a statement issued to graduates upon successful
completion of a course of study, award which includes a course of specific academic
transcript. Certificate issued by the institution to students who have completed their
study programs.
Completion letters: a letter confirming that a student has satisfied the requirements
of an award, issued in the period before the award is conferred.
- Statement of Learning Activities: a document confirming that a person has
attended specified learning activities that are not offered as a part of the
institutions award of program
- Statement of attainment: may be issued to students who have discontinued
an accredited course without completing but who have completed a unit or
units of competence or study from the course
- Testimonial: the official document bearing the institutions seal stating that the
student has successfully completed the award named on the testimonial.
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2.4.2 The Authenticity of Academic Records
The credibility of students’ academic records is under pinned by the policy statement
of the institution. Every academic institution is committed to ensuring the accuracy
and authenticity of all issued documents that records details of students academics
information, in the interest of the institutions, its students and graduates. The
objective is reinforced by legislation and agencies that empower, review and support
public institution and their reputations. In the Ghanaian context the ministry of
education with ancillary or auxiliary bodies such as the National Council for Tertiary
Education (NCTE) the National Accreditation Board (NAB) take oversight
responsibility for ensuring credibility and authenticity of academic awards, program
duration and certification.
Falsification of the institutions testimonial, academic transcripts or any other issued
academic records damages the reputation of the institution, its students and
graduates at national and international levels. Students who falsify documents
covered by the institutional policy or national policy in that regard is to be dealt with
under the misconduct-that is students’ Non-Academic misconduct policy and
persons who falsify documents covered by the policy instituted may be prosecuted
under the crime code prescribed in the nations Crimes Act.
(http://www.gsu.uts.edu.au/policies/academic-records.html).
2.4.3 Records Keeping and management systems
The Australian Auditor General has for example stated the following about records
keeping and records management. When link with information management more
broadly, sound recordkeeping can assist organizations business performance by:

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better information, decisions, appropriately exploiting corporate knowledge,
supporting collaborative approaches, and wasting resources for example be
unnecessary searches for information and or redoing work (Australian national Audit
office, 2003).
Among the recordkeeping professionals these issues have been recognized:
Architecture developers need to be made aware that recordkeeping is an essential
component of information management and that record keeping will require
additional ‘Overhead ‘ to ensure authentic and reliable records. Developing and
architecture that enables and simplified, this will facilitate electronic recordkeeping’
[International council on Archives, 2005].
The ISO 15489 records management standard states that effective management of
records enables any organization to:
- Conduct business in an orderly, efficient and accountable manner.
- Deliver services in a consistence and equitable manner.
- Providing consistency, continuity and productivity in management and
administration.
Definition by International Standard for Records
The ISO standard for records management defines records management as follows:
The field of management responsible for the efficient and systematic control of the
creation, receipts, maintenance, use and disposition of records, including processes
for capturing and maintaining evidence of the information about business activities
and transactions in the form of records.
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In the digital environment the management and preservation of electronic records
needs new theories, methods and knowledge. This has during the last fifteen years,
or so been recognized as difficult task, both from technological, methodological and
theoretical perspectives, (Bearman, 2010), (Cook 1997), (Upward, 2000) and
(McKemmish, 2005).
It has been recognized that to be able to manage and preserve reliable, authentic
and accessible electronic records produced and maintained in current e-business
processes overtime, a pro-active holistic approach is essential. If electronics records
are not captured and prepared for long term preservation in current business
processes and systems, it will be very difficult and costly to subsequently preserve
for long periods of time in the requisite trust worthy form: for example if nothing is
done during the development process of complex e-service solutions, not only the
critical business information must be lost, but also the corporate memory of the
organization.
Scholars have even stated that the electronic environment makes it impossible to
use theories and methodologies that were used in the paper-based world. Upward
1997: 2000) for example, asserting a change from objective to process and from
static to dynamic in contrast to the well-established life cycle view of managing
records and archives, the Records Continuum Mode, asserts that records and
archives are always in the state of being created i.e. records management is
described as an iterative process that continues throughout the life of the records
[Upward 1997: 2000 McKemmish 2001, 2005]. One important driver behind the
development of the model was the pro-active requirements that are present in the
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electronic records management environment, upward, (1997). The model present a
structure of an active record keeping that is so beyond time and space to capture
and management records for as long as they are required to satisfy business, legal,
social and cultural needs.
2.4.4 Alteration of Academic Records
The rampant and persistence alteration of academic records in the Ghanaian tertiary
educational institutions, both public and private systems is never a new phenomenon
(Azameti, M. S. K. and Adjei, E. 2014).Despite this activities being a criminal
offence when uncovered, the perpetrators always indulge in it due to the huge
amount paid by students and parents who request for such underhand dealings;
due to poor academic performance and records. One would have thought that with
increasing usage of technology in educational service delivery in our educational
institutions and with easy trace of any criminal activity; there might be some
reduction in the act; rather it has become a wide spread phenomenon which has
characterised the educational systems.
It is indeed a common occurrences in many of the emerging private universities
whose mundus operandi is profit making. These criminal acts are usually not
handled openly by the authorities of the institutions due its bad- face and the impact
on the credibility of the corporate image of the institutions. During the pre-testing of
the survey instruments developed for data collection for this study on Ho
Polytechnic campus in the Volta region of Ghana; precisely in the month of
November 2012, the researcher wanted to find out the reality of the assumptions
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about alteration of records. He began by asking a cross section of some final year
students in the department of Accountancy.
Many of the students attested to the fact that wanton misplacement and deliberate
alterations of student’s academic records has been part and parcel of the Ghanaian
tertiary educational systems. Besides, a similar investigation was carried out by the
researcher among some final year students in the Language department of the
university of Cape Coast, (UCC) in December 2012. The responses of the students
in these two tertiary institutions do confirmed that alteration of active records in their
institutions are real, but sometimes it might be a genuine error in the records
keeping systems in the institutions not only in Ghana but also in other institutions
across the globe. The issue of records alteration is a global issue which pose lots of
ethical challenges to the global business transactions, especially in the financial
sector with the Enron –debacle as a typical example, (Australian National Audit
office, 2003)
2.4.5 Online Records Systems Hacking in Tertiary Institutions
The use of the cyber space for hosting students’ academic information in the form of
student’s portals has become the most current educational records and information
management systems. This development in educational service delivery systems in
the tertiary institutions globally and its associated benefits are not without challenges
of human contacts. Many of the users of such soft wares in the institutions prefer the
intranet mode of hosting student’s information in which students themselves have
access to their portals. The greatest challenges pose by the use of this modern
technology for educational service delivery includes the opportunities for students
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who have shady characters and could easily turned into systems hackers. (Kelvins,
D. 1992) Kelvins reports further about the acts of systems hackers in the USA and
other parts of the global community. The advancement in information and computer
technology and its application has provided a rich platform for criminal gangs in
almost every business environment including educational institutions across the
globe where some individual admits their involvement in such malpractices (Freek,
Vermuelen, 2015)
In the Ghanaian context for instance, records systems hacking emerged when
tertiary institutions both public and private began to experience overwhelming influx
of students and people who are desirous of working in the educational sector. The
worst form of the situation is the influx of all kinds of foreign students from the West
African sub-region and almost sub-Saharan Africa. This is due partly to less financial
involvement in pursuing higher education in Ghana as compare to other countries
such as the USA, France and Canada. Another probable reason could be the
Ghanaian hospitality in general which usually attracts everybody into the country
irrespective of their home country, geographical location and cultural background.
These are some of the challenges associated with globalization and the use of
ubiquitous technology platform for educational service delivery, (Annan 2014).
Ghana has therefore become the most obvious destination for students from other
African countries, both the Francophone and the Anglophone. Records systems
hacking syndrome began in the advanced nations where ICT dominated the systems
of business transactions and educational service delivery, but as human societies
are infectious it has become feasible to infect other people with any bad behaviour.
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Albert Bandura expounded this in his social learning theory mentioned in Lantimor,
D. et al (2004).We now live in a global environment as the literature indicates, it is
easy to learn from other people living far away due to ICT and other communication
systems available in every human environment. Educational achievements have
become so important to students and parents due to the privileges that go with such
attainments in society; yet self-commitment of some students in order to attain such
heights are always difficult huddles to climb. (Azameti and Adjei 2013)
Students with abysmal academic performance in various courses of study do resort
to systems hacking or engage services of professional criminal gangs in records
systems hacking .The most subtle form of the art of hacking records systems in
tertiary institutions in Ghana are done sometimes by service providers themselves
when students have access to them. These individuals are mostly young men who
have IT skills and become software developers and also some employees working in
the educational sector across the country.
2.4.6 Policies and Procedures in Records Management
Among the best records management practices include identification of major record
groups, create a universal records classification scheme, provide policies and
procedures guiding principles for access and indexing. (Iron mountain Enterprise
2014). Organizations records management programmes should be supported by
policies and procedures that address each component of the records, management
programme in accordance with operational and legal requirements. It is important to
note that organization may have separate policies and procedures for records
retention, actives files management and inactive file management. Vital records and
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e-mail management systems and any other area of records management should
feature in this document. The policies and procedures set standards and serve as
evidence of management support of an investment in a complement records
management programme. This should address all records regardless of media type,
making sure to include positions on electronic records and e-mail practices. Records
guidelines must consistently and universally be applied (.ANAO, 2003), Roles and
oversize responsibilities are to be designated and defined policies and procedures
should be accessible and communicated clearly and consistently throughout the
organization. When employed properly these should work in conjunction with an
organization’s business continuity, plan and disaster recovery programmes and
management
2.4.7 Policy Guidelines for Curbing Academic Malpractices in Tertiary
Institutions in Ghana
The main objective enshrined in any policy guideline for academic malpractices is to
set out procedures for staff to follow if they discover cases of suspected academic
malpractices. Students who are facing allegations of academic malpractice will also
find it useful helping them to understand the process and how they should expect
their case to be handled. In the event that an allegation of academic malpractices is
made against a post graduate research student, this normally is dealt with in
accordance with the procedures laid down by the university council or the Academic
Board. However, in some exceptional circumstances involving allegations of
Research Misconduct it may be appropriate for the matter to be investigated under
the university code of practice for investigating concerns about the conduct of
research (https//documents.manchester.ac.uk/display.aspx).
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All cases relating to Academic malpractices among students should be dealt with in
accordance with the principles of natural justices which impose a duty on the
institutions to act fairly. In practical reality, this means that the student or whoever is
concern should have full information of the case against him/her (them), adequate
warning of a hearing should be given so that the student has time to prepare, both
sides should hear each other’s case in its entirety and clear reasons for decisions
taken should be given. Those making the decision must be unbiased and decisions
taken must be demonstrably reasonable and not irrational.
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2.4.8 Guidelines to Student’s Plagiarism and Other forms of Academic
Malpractices
Academic malpractices are any activity either intentional or unintentional that is likely
to undermine the integrity essential to educational activities and research. These
include plagiarism, collusion, fabrication or falsification of results/records or anything
else that could result in unearned or underserved credit for those perpetrating it.
Academic malpractice can result from deliberate act of cheating or may be
perpetrated unintentionally. Whether, intentional or not, all decisions of academic
malpractices will be treated seriously by the institution concern. In most academic
institutions procedures for handling academic malpractices does not cover cheating
in formal examinations, however, some of the principles outlined in any policy
guideline under guide the institutional responsibilities and assessing the severity of
academic malpractices may likewise apply in that instance. Some earlier research
was carried out regarding assessments of students work and malpractices in two of
the tertiary institution in Ghana. Azameti, M. S. K and Adjei, E (2013) for example
proposed effective teaching and helping students to discover their unique learning
styles are most likely to reduce the dissipating academic malpractices in the
tertiary institutions. James, Ogunji 2011) also iterated instituting stringent punitive
measures against perpetrators in order to eliminate academic malpractices. These
measures should also include outright dismissal and total ban and cancellation of
marks earned in a particular paper by a student according to some practitioners. In
the case of teachers aiding and abating students involve in academic malpractices
the code guiding professional conduct in the teaching profession should be applied if
the institution adopts any.
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In Ghana for example, the National Council for Tertiary Education (NTCE) and the
National Accreditation Board (NAB) have codes of best practices which are applied
in academic institutions. Examples include summarily dismissal and forfeiting ones
end of service benefits and other adhoc measures to be recommended by the
committee appointed to adjudicate on the matter. As part of its responsibility, the
institution must ensure that all students, undergraduate, diploma taught post
graduate, research post graduate, full-time, part time and distance including
enhance, visiting students of the institution should be given enough opportunity fully
understand the academic standards and requirements they must follow through.
For instance, communication with their institution for clarification of code of
behaviour, programme handbooks, students’ handbook and website. Quite
interestingly, an act of academic malpractice is never acceptable in any
circumstance whatsoever, and where such acts are shown to have occurred,
appropriate punitive measures are always applied. No circumstances justified
academic malpractices, and a penalty must always be enforced. Although students
may always provide enough evidence of mitigating circumstances leading to the
committing of academic malpractice which may be taken into consideration when
determining the type of punitive measures to apply. It must always be borne in mind
that students are encouraged to bring such compelling circumstances to the
attention of the institutions or the committee handling the alleged malpractice at the
earliest possible opportunity so that the authorities can. Provide the students
concern with information on the day of hearing, this is to act with natural justice.
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2.4.9 Quality Service Delivery and Customer Satisfaction
Service quality is a concept which has aroused considerable debate and analysis in
the literature due to the challenges in both defining and measuring it with total
consensus emerging on the analysis. There are several numbers of different
“interpretations” to what a service customer’s needs or expectations are . (Lewis &
Mitchell, 1990; Dotchin & Oakland, 1994; Asubonteng et al., 1996; Wisiniewki &
Donnelly, 1996). Service quality can thus be defined as the difference between
customers’ needs or expectations of service and service perceived. If expectations
are greater than performance, then perceived quality be measured? Measurement
allows the establishment of clear standards for service delivery. Edvardsen et al.,
(1994), state that in their experience, the starting point in developing quality in
services is analysis and measurement. The servqual approach which has been
mentioned in this chapter is the most common method for measuring service quality
and customer satisfaction.
 Assurance: ability of staff to inspire confidence and trust
 Empathy: the extent to which caring individualized service is given
 Responsiveness: willingness to help and respond to customer need
 Reliability: ability to perform service dependably and accurately
 Tangibility: physical facilities, equipment, staff appearance, etc.
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2.5 Records and Service Quality
The literature on delivery of quality service presented the concerns raised by PZB
(1994) about the relative efficacy of performance oriented and perception minus
expectations measures of service quality. PZB (1994) firstly raised their argument
which involves the legitimacy of the perceptions expectation gap conceptualization
which exists in the platform of the Servqual scale. According to PZB (1994) their
focus group captured not only the associated attributes of service quality but also the
inherent psychological process by which customers from service quality judgment.
More importantly on the basis of their focus group findings of PZB (1985,1988)
realized that service quality judgment comprised of five underlying attributes that
service recipients evaluated on the basis of the expectancy disconfirmation
paradigm stated in (Oliver, Richard 1980).
PZB (1994) indicates that the literature they cited in the development of their
research hypothesis is a bit unconvincing and restated their arguments for
conceptualising service quality perceptions as being focused on the expectancy-
disconfirmation process. Despite this, the servpfert conceptualization represents
just one of several members of new challenges to the servqual based normal
science approach of service quality as indicated in (Babakus & Boller,1992; Babakus
& Mangold, 1992; Boulding et al.1993; Carman, 1990; Oliver1993,in Joseph, Cronin
&Taylor,1992).PZB (1994) upon deeper reflection has to refrain from defending their
original literature support for testing alternatives to the servqual paradigm and
instead directs their analysis towards the more related question of the evidence that
has emerged since the publication of the SERVQUAL model in 1994).
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It is important to note that the emerging literature largely has supported emerging
performance based paradigm over the disconfirmation based servqual paradigm.
Cronin and Taylor (1992) drew an alternative conclusion that the most significant
evidence to date which support the servpfert model against servqual building is the
result of Kalra-Staeline and Zeithamal (1992) over that of PZB (1994),(1993)
research. Peter Churchill and Brown (1992) also present a compelling argument of
why difference scores such as those employed by servqual scale conceptualisation
should be avoided. Churchill and Peter (1992) categorically extended their argument
to an investigation in the servqual scale and concluded that there are serious
problems in conceptualisation service quality as a difference score for a
comprehensive decision of their criticisms. Relating this argument to the records
management service delivery in higher education in the Ghanaian Context, the
criticism of earlier researchers of the SERVQUAL and SERVPERF scales
conceptualisation stated above is a grey area which the researcher seeks to tread
cautiously since no empirical data has been secured at this stage of the
study(Wisniewski and Donnelly,1996). The core issue of service quality is not only
limited to the servqual scale of measuring quality service delivery. Besides, other
concepts such as quality enhancement in higher education and theories in
educational management including the concept of praxis all seek to explain the
complexities of managing human affairs have not featured in many of the previous
studies in the literature; this is one of the knowledge gaps identified. Service quality
can then be defined as the difference between customers’ expectation of service and
perceived service, if expectations are greater than performance, then perceived
quality is less than satisfactory and hence customer dissatisfaction occurs (PZB,
1985)
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2.5.1 Ethical Issues in Educational Management
Technology-enhanced plagiarism and other forms of academic dishonesty are
becoming a major concern in several educational environments. Research has
shown that cheating in all forms particularly in exams have increased profoundly
over the past 30 years in America and other nations. (Mc Cabe. Trevino &Butterfield,
2001) in Sue. Coach-Sara Dodd, 2005). It is very necessary that tertiary institutions
pay much attention to not only what to say but also what to do. Austin (1989)
suggests that universities often have two sets of moral values namely, those they
expressed explicitly in the institution’s formal policies and pronouncements and the
implicit values that drive institutional practices with regard to matters such as
allocation of research, personal decisions, curricular offerings, and how the
institution defines excellence and the king of assessment data it collects. Austin
(1989) indicates further that some of the most serious ethical problems in higher
education arise from inconsistence between an institution’s explicit and implicit
values. The literature reports that a recent study published by who’s, who among the
High School Students in the USA, 80% of students who had planned to attend
college had cheated in their previous schools. Many of them said they had never
been caught and more than ½ did not consider cheating a serious and punishable
offence (Fundamental Values 1999). Some institutions have implemented students’
honour codes as one of the ways to stem the rising phenomena of academic
dishonesty. A typical example of this was the Maryland’s code of Academic integrity,
a modified honour code that provides for strict punitive measures for dishonesty, but
also had a strong educational component. Research suggests that honour codes can
reduce academic dishonesty by inculcating morality into values into students

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behaviour to make them aware of the fact ethical behaviour is of paramount
important in the learning environment and beyond.
They also promote students’ engagement in broader ethical issues and help to
create ethical campus committees (Colby et al, 2003; McCabe et al 2001). Aside,
there is some evidence to show that collegiate honour codes might have a profound
positive effect that extends beyond the educational environment (McCabe, A recent
report Behr, Finch, Dobson, Abrams and Brown (1998) suggested guidelines for the
challenging task of producing graduates who are capable of ethical leadership and
responsible citizenship. The report was prepared by a group of young professionals
and published by Duke University in America, this was titled “Kenan Ethics
programme. This was based on the premised that the ultimate responsibility for the
character of a democratic human society resides in with its citizens. It calls for
principled leadership in all spheres of human society and identities several important
ethical principles, including mutual responsibility, working for the common good, and
transparency in business activities, corporate social responsibility, integrating
economic efficiency with environmental sustainability, servicing society, marginalized
or less privileged, commitment to community service and the advancement of
equality across board (Behr et al 1998) stated in U-couch 2005). Ethical issues in
many educational institutions of higher leaving have been focused on cheating in
exams and plagiarism but in Ghana there has been a paradigm shift of academic
dishonesty to the use of sociological support which are accompanied with material
rewards from students and parents. Academic records and test scores are being
altered at will both from its onward transmission from faculty heads, Deans and
offices of lecturers even at the final repository when being managed by the data
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base IT professionals. Researchers have argued over and over again that service
learning and other teaching strategies which encourage maximum student
engagement in the learning environment are more effective for teaching ethical
principles and values than traditional models of teaching (Colby et al, 2003;
Fleckenstein, 1997, Salt Marsh, 1998). This argument seemed relevant to the art of
preparing students to become responsible individual and ethical leaders.
Fleckenstein stressed in his writing that experiential learning can personalize and
legitimized traditional classroom instruction by giving students opportunities to
consider the deeper and broader social economic and political dimensions of ethical
issues.
According to Salt marsh (1997) students often are taught to think about ethical
decisions, but it is only through the process of reflecting inquiry and dialogue that
they learn to recognize real life ethical issues and develop the commitment to make
responsible choices. He recommended a process called “connected knowing” both
as a tool to teach ethics and as an ethical way to teach; every institution can provide
a variety of opportunities for students and faculty to become engaged in ethics
initiatives in the classroom and the larger society. Both public and private universities
in overseas countries have established ethics centres to provide leadership for
programmes and activities that support the study and teaching of ethics and
contribute to an ethical campus community. This is something private and public
universities in Ghana need to emulate.
In other countries, an investigation through websites search for many leading
university-based ethics centres indicate that, although missions’ statements and

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goals vary, most seem to be broadly conceived to function as a resource for the
entire campus community as well as the larger society.(Sue,Couch,Sara,Dodd,2005)
With particular reference to Rutland centre for Ethics at Clemson University for
instance, provides the student community with a forum for exploration and
discussion of ethical decision and other ethical issues and serves as resource for the
people and the institutions of the state and the country. According to Hamersley, M.
and Trevino, A, (2012), there are 5 basic ethical principles which are considered in
ethical research practices.
1. Minimising harm
2. Respecting autonomy
3. Protecting privacy
4. Offering reciprocity and
5. Treating people equitably
In the context of this study, ethical issues which have been discussed emphasized
moral behaviour of students and some upcoming professionals in charge of record
management and data entry even including lecturers, sometimes. The belief now is
that the current generation of practitioners and students scarcely consider their
behaviours and attitudes in their professional practices in line with ethical principles.
This is a worrisome phenomenon in many of the existing public and private tertiary
institutions in Ghana.
In summary, colleges and universities in Ghana must seriously consider their
obligations to contribute to the moral development of students and some of the
young staff members in charge of vital information such as academic records,

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conspicuously; student’s life in society after their graduation is a direct reflection of
what ethical principles they had imbibed while in college. Education is a public good,
not just a private benefit, and educators must be dedicated to the extending and
transmission of knowledge for the welfare of human society. In the same vein other
individuals who occupy positions of leadership, college and university faculty and
administrators have greater ethical obligations, than other members of society. In
academic institution for instance professionals must be more concern about personal
behaviour and also about holding others accountable to the ethical standards
established by each institution. Individual responsibilities are magnified because the
academic profession depend largely on effective and efficient peer review and self-
regulation. According to Jacques (1997) stated in Couch &Dodd (2005) a concept
which was termed as “the ethics of privilege” was found to have made significant
impact on students ethical decision making and behaviour in many America
universities.
2.5.2 Challenges Associated with Records Management
Administration of students data and personal records management as noted by Horn
et al (2011) is aided by ICT administrative support services offered to students in
various levels of their academic pursuit and other students support service systems
such as records creation, admission, recruitment, class scheduling, attendance,
registration, timetabling and accessing results can be done via networks computers
and other communication avenues called students portal. Challenges faced in
management of academic records in universities can be noted that records are
indispensable tool in the process of decision making, planning and general
administration of the university. According to Mazikara (1996) records are very

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indispensable tools for determining the quality and mix of human and material
resources in many organizations. Olangboye (2004) goes on to state the importance
of records as facilitation of continuity of administration through provision of
information needed by past students for higher education admission, job placement,
provision of data for planning and decisions making by internal stake holder in
academic institutions, ministers of education and other stakeholders outside the
school environment However, in spite of the various benefits of creation and
management of academic records there are still profound challenges associated with
the management of students’ academic records in tertiary institutions of learning. A
review of literature on challenges associated with the management of students’
academic records in higher educational institutions not only in Ghana revealed some
appalling challenges. Increasing enrolments of students as Propoola (1999) and
IWhiwhu (2005) noted profoundly in their studies that the appreciable rising in
students’ population creates more volume of data and lack of practical automated
tools to manage the records. These inarguably pose challenges in both public and
private universities in Nigeria with limited skills by records practitioners. Iguadala
(1998) was of the view that personnel such as secretary and records filing clerks
who maintain the registry systems in universities with filing cabinets containing the
paper evidence of the various records systems are inadequate and presumably with
the practitioners ignorant of their duties. The absences of operational guidelines and
regulations regarding management of academic records have been one of the
greatest challenges in many institutions of higher learning not only in developing
nations but in technologically advanced nations of the world. Egwunyenga (2005)
states that there is lack of records manuals and filing guidelines leading to rampant
loss of information. She noted further that there exist inadequate computer terminals
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which have resulted into difficulties of retrieval and maintenance of records with lack
of appreciation by management and staff. Relationship between ICT and records
management are both centred on creation, storage-accessibility and security of
digital information. However, ICT assists in engineering and maintaining systems to
manage an organizations information assets, the focus of records management is to
protect, classify and maintain the authenticity of records that is a subset of
information so that they remain accessible and functional as evidence of the
business conducted or a s much as they are required to be kept, the ultimate aim of
records management with ICT, particularly in relation to the management of
electronic records. ICT decisions and actions regarding the formatting systems and
storage solutions can have significant impact on the ability to capture data which is
assembled to form the records. This finding in the literature though with in-depth
coverage there remains several knowledge gaps in the field. The current research
for instance is focus on conceptual diagram and social challenges which are the
gaps in all the previous studies.
The challenges in this context include little or no professional knowledge among
records keepers, skill incompetence in the application of information communication
technology( ICT) tools which become an indispensable requirement on today’s
corporate world not for personal enhancement only in order to flourish economically,
socially, psychologically and technologically but to keep afloat in the competitive
business and knowledge environment. These findings support the earlier results of
aforementioned researchers stated above.
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They argued further that challenges cover areas like too much workload for records
managers, inadequate records keeping equipment and tools become obsolete,
frequent power outages, poor security systems and confidentiality control
overcrowding and unsuitable storage systems. Azameti and Adjei (2014) stressed in
their study too much inhuman interference in academic environments which
admittedly affect the reliability, credibility and authenticity of records. The persistent
human frailties affecting sanctity of records creation and management calls for
further studies into how reliable the strategies adopted for records management are.
In his paper presented to the department of ICT in Makerere University, Augustine
Kasozi (2005) enumerates problems that are associated with academic records
management in educational institutions. According to the report the challenges occur
because there is mismanagement of academic records despite technological
advancement that had been in place in the university. The problems include loss of
exam marks, miscalculation of marks and alteration of records in authoritatively. The
study intended to establish how ICT has contributed towards management of
students’ academic affairs.
2.5.3 Tertiary Level Education in Ghana and the Current Phase
When the term tertiary education or higher education is used it means the same
thing in almost every nation. These institutions generally have larger number of
students and employees such as lecturers and administrators and other supporting
staff. All over the world tertiary institutions are referred to as the 3 rd level of
education. This is the next level of education after one successfully complete
primary or basic school and could continue at the secondary level or pre-tertiary level
of education (Bakuis & Camoroon, 2000) mentioned in Annan (2014). Tertiary

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education generally includes universities, state and community colleges, training
colleges, polytechnics among others which are new arrivals in the tertiary
educational institutions in Ghana. Unlike primary and secondary level education
which are compulsory in some countries, tertiary level education is not, (Brick 2009)
in Annan 2014), Forest, & Kiesinger, 2000). Normally young boys and girls of 18
years and above and other adults voluntarily enrol in tertiary educational institutions
to acquire higher knowledge and skills to enable them become competitive and
employable. Although people with second-cycle education can gain some
employment, tertiary education certificates are generally the entry requirement for
most good jobs with attractive remuneration and better working conditions around
the world. People who obtained higher education or tertiary education are more
likely to be employed starting from middle level and upwards.
It must be emphasized that educational frameworks for tertiary educational
institutions are entirely different from the basic and second-cycle educational
institutions. More often than not tertiary educational institutions are somehow
autonomous, thus different educational institutions have diverse educational
objectives, disciplines and different modes of pedagogical approach. Akin to all
tertiary institutions, it is for them to nurture students to become not only people with
analytical skill and mental acumen but to be individuals with good morals with sense
of balance judgment as they serve as an exit point from academia and entry point
into the world of business and decision making which may either affect society
positively or negatively.
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The certification requirement by employers has propelled most students who
complete secondary level education to aim for tertiary education and also with other
adults who are already working either as self-employed or employed by others and
the state in which they belong to. Furthermore, some adults who turn to go for
tertiary education are compelled to go back to school to enable them secure their
present jobs, so that the fresh graduates from the universities and other tertiary
institutions would not render them redundant in their work places.
The importance of tertiary education in every nation cannot be under estimated.
Indeed, the universal acknowledgement that tertiary education is a key lever for
economic competitiveness and emancipation in a progressively knowledge-driven
and good economy has made tertiary education more relevant than ever before
(Santiago, Tremblay, Basri, 2008). Tertiary education is the platform for training and
developing manpower to build the needed human resource capacity to meet the
labour requirement of both government and private-sector employers including non-
governmental organisations and other international agencies for nation building.
Acquiring higher education in every nation is therefore very fundamental to
individuals’ development and human society in general (Greene, 1988).
Tertiary educational institutions have well-structured systems of teaching and
learning assessment and creating and managing records. Due to the high premium
placed on tertiary education and the human factors, there was a need to ensure high
quality of services being rendered to its internal and external stakeholders and
society as a whole. Any time that practitioners in tertiary institutions compromised
their operations their products loosed the market value and quality to be desired by
society and employing agencies as well. Ensuring the sanctity of services provided
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by tertiary educational institutions from any component of its structural systems have
been part of the global requirement by agencies responsible for tertiary educational
institutions.
In Ghana for instance, the following agencies such as the National Accreditation
Board (NAB) 2013, National Council for Tertiary Education (NCTE Ghana, 1979),
Ministry of Education (MOE) are responsible for ensuring that tertiary educational
institutions operate within the framework of laid down principles and also adhere to
standards of best practices and produce high qualified graduates. Ghana is a
developing nation among the nations of Sub-Saharan Africa with a middle income
status and with education as one of its main challenges to economic development
and human capacity building.
The tertiary educational institutions and stake holders have been involved in
ensuring quality of service rendition and production of graduates but all efforts being
made in these directions are becoming a lost battle as there has been an
overwhelming influx of all applicants from the sub-region with their different
backgrounds and systems from which they had their entry qualifications. There has
also been an ever increasing investment in tertiary education in Ghana currently
where private entrepreneurs seem to have outnumbered the state-owned tertiary
institutions. These increases in both the rate of enrolments and structural
expansions have their unique challenges especially where more social factors seem
to dominate the means by which students seem to acquire their grades. The profile
of tertiary education with special reference to each category provides a blend or a
mixture of tertiary level educational structure due to the ever increasing demand for
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higher education in the country with its patronage by foreigners from the other
African countries. Diploma awarding institutions such as polytechnic, Colleges of
education and Nursing and Midwifery Training colleges and the public universities
have increased the number of public tertiary institutions. With the inception of the
1992 constitution of Ghana, provision was made for private participation in the
establishment and running private tertiary institutions, especially private universities
which have increased the number to 136 as at the time of data collection for this
study. Though within 5 years passage, private universities have now reached total of
60 in number, but are not part of the current study
(www.nationalaccreditationbaord.edu.gh). This is only the accredited ones which are
known in records and need to renew their accreditation after the stipulated years of
accreditation. The maximum years of institutional accreditation of tertiary institutions
ranges from the 2years to five years in Ghana. Public tertiary institutions including
their private counterparts and as well as other educational institutions go through this
accreditation rituals to enable them operate without any harassment.
2.5.4 The Current Phase of Tertiary Institutions in Ghana
The types of tertiary institutions sampled for this study in addition to public and
private universities include Polytechnics, Colleges of education and Nursing and
Midwifery Training Colleges in the country. This category of tertiary institutions in
Ghana are the emerging higher educational institutions which were originally
established to train professionals in their respective fields of operations, the
grandaunts from these institutions are awarded with certificates and Higher National
Diplomas. However, coming down to the 1990s particularly with the inception of the
1992 Constitution of Ghana in which the framers have made a provision for private
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participation in the establishment of tertiary institutions in the country, there has been
a mad-rush by both foreigners and indigenes including religious organisations
participating in establishment of tertiary institutions in the country. This overwhelming
response to the clarion call made by the government through the constitutional
provision had actually opened the floodgate for both foreigners and applicants from
within. This has led to commercialization of higher education in Ghana with the
government herself introducing a policy known as Fee-Paying in public universities in
the country. This national educational policy has led to payment of high fees in the
emerging public universities and with their private counterparts charging exorbitant
fees which only the rich people could afford. With the high demand for tertiary
education in the country; all certificates and diploma awarding institutions in the
country have expanded their mundus operandi by incorporating tertiary programmes
in order to meet the high market demand for tertiary education which has emerged in
the country. However, this current phase of tertiary education is without challenges, it
has indeed opened the floodgates for corruptions in the entire educational systems
in Ghana. This ranges from the process of institutional Accreditation with the
National Accreditation Board (NAB), and programme affiliation with public
universities in the country (Azameti, M.S.K. & Adjei, E.2014).Besides these corrupt
cases, there has been a heightened increase in academic malpractices which have
escalated to academic assessment by teachers and records keeping and
management practitioners in almost all tertiary institutions with private universities
being the hardest hit. This commercialization syndrome in Ghana’s tertiary
educational sector have equally led to admission of all kinds of applicants with
increasing abysmal academic performance among students and it’s concomitant or
associated effects on authenticity and credibility of degrees awarded to graduates..

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CHAPTER THREE
RESEARCH METHODOLOGY
3.1 Introduction
This chapter spells out the methodological issues relating to the study. Various
researchers have used different methods and techniques for different studies. The
choice of a method of study depends on a number of factors such as the
researcher’s expectation of the possible results from the study, the theory underlying
the study area, the objectives of the study, availability and quality of the data
collected for use, the reliability of the methods used by previous researchers in the
same area of study and the variables under investigation.
3.2 Research Design
The study uses a mixed research method (that is both quantitative and qualitative
research methods). Mixed methods study approach is a rapidly evolving field of
study both conceptually and practically. Multi-method studies use different methods
of data collection and analysis within a single research paradigm. It appears to offer
a more comprehensive approach to finding answers to research problems and
questions going beyond the limitations of a single approach. Using multiple

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approaches can aid the researcher to capitalize on the strengths of each approach
and offset their different weaknesses (Spratt, Walker, & Robinson, 2004).
In another development, it helps to expand an understanding from one method to
another, to converge or confirm findings from different data sources (Creswell,
2003). Therefore, the strength in these methods will negate their respective
weaknesses. The two methods helped us to answer questions which could not be
answered if only a single method was applied.
However, among the problems mixed methods studies pose for the inquirers are the
need for extensive data collection, the time-intensive nature of analysing both text
and numeric data, and the requirement for the researcher to be familiar with both
quantitative and qualitative forms of research and analysis (Creswell, 2003).
Qualitative research is a type of research that involves description of variables. This
has no immediate numerical value until the researcher analyses them and provides
values for them. It involves detailed verbal and written description of characters in a
population. According to Orodo & Combo (2000: cited in Boamah & Ahiato, 2010) in
qualitative research the information being sought is not about facts and figures, it is
sometimes not well understood and accepted as quantitative research within a
scientific community. Also, the weakness of qualitative research is that the biases of
the researcher in his interpretation will affect the quality of the research. Quantitative
research places emphasis on measurement when collecting and analysing data.
Quantitative research, generally, follows a natural science model of the research
process to establish objective knowledge (Spratt, Walker, & Robinson, 2004). In

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quantitative research phenomena are explained by collecting numerical data that are
analysed using mathematically based methods, that is statistics,. The advantage or
quantitative research is that it provides results that can be used to accept or reject
hypothesis (Experiment-Resources.com) Quantitative research in understanding the
context or setting in which people express themselves about issues. The views of
respondents are not directly heard in quantitative research.
Also, quantitative research, if properly designed, can produce results that can be
seen as real and unbiased. However, quantitative research does not allow people to
express themselves about situations. Thus, the views of affected people are not
directly heard in quantitative research. Quantitative studies usually require extensive
statistical analysis, which can be difficult for those who are not statistically inclined.
3.3 Research Format
This research is both explanatory (casual) and descriptive in nature. According to
Robson (2002); cited in Saunders, Lewis, & Thornhill, 2007) descriptive research
portrays an accurate profile of persons, events or situations. This may be an
extension of, or a forerunner to a piece of exploratory research. Ciioer & Schundler
(2001) also explain that descriptive study tries to discover answers to the question
who, what, where and sometimes how. The researcher tries to describe or define a
subject, often by creating a profile of a group of problems, people or events.
Descriptive studies, however, may or may not have the potential for drawing
powerful inferences.
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Explanatory or casual research, on the other hand, focuses on why questions.
Explanatory research establishes causal relationships between variables. The
emphasis is on studying a situation or a problem in order to explain the relationship
between variables. Explanatory research goes beyond descriptive and attempts to
explain the reasons for the phenomenon that a descriptive study only observed.
3.4 Data Type, Sources Population and Sampling Procedure
3.4.1 Data type
This study used both qualitative and quantitative data from two primary sources, thus
interviews and questionnaires for analysis based on the objectives of the study. The
qualitative data was used to answer interview question one (1), question two (2) and
question three (3).
Primary data refers to the statistical information which is collected by the researcher
for the first time. The advantage in its use is that the degree of accuracy is quite
high. However, collection of data requires adequate time and finance.
The quantitative data was used to analyses objectives one (1) and two (2); and to
answer research questions one (1) to six (6) and hypotheses one (1) to four (4)
which were stated in pairs that made eight in all in this study.
3.4.2 Data Sources
The study used two data sources which are questionnaires and interviews series.
Both are qualitative and quantitative, they are also Primary data sources. A primary
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data is new information collected for the first time by the researcher for a particular
purpose. It is information that has not been published before.
 Primary Data Sources
The primary data for the study was obtained from tertiary institutions which are
located in five regions across Ghana. The specific regions are the Greater-Accra
which is the capital city, Eastern, Central Ashanti and Northern Region respectively.
The interview data were obtained from heads of institutions that are in charge of
policy issues. The heads of institutions were selected by convenience that is,
proximity, time and willingness of each of them to participate in the interview series.
The five institutions are located in the Greater region and Eastern region which share
common boundary with the Greater region with a direct road network which is easily
accessible. Applying this road takes only one and half hour continuous acceleration
from Accra to the Eastern region especially the district capital, Koforidua where the
Midwifery and Nursing Training College is located. It is the fifth and the last institution
where the interview series was conducted. Mount Mary College of Education is
another institution in the Eastern region where the interview was conducted.
 Quantitative Data Sources
Quantitative data for the study was obtained from three sects of different
questionnaires which are partly closed –ended and open-ended questionnaires.
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3.5 Population, Sample Size, Sampling Procedure, Data Collection
Instruments, and Processing Procedure for Qualitative Data
The research framework that links the three research objectives with the methods of
analyses, interview questions, research objectives, research questions and
hypotheses under qualitative and quantitative data is summarized in five (5) separate
Tables. This section was devoted to policy issues, particularly whether tertiary
institutions in Ghana have place frameworks that direct record-keeping and
management practices, the mode of policy evolvement and whether there was
uniformity of the policy frameworks.
The related interview questions series (IQS) that guided the examination of these
objectives are: Interview Question 1: Do tertiary institutions in Ghana have policy
frameworks that guide records-keeping and management practices?
Interview Question 2: What is the mode of policy evolvement in the institutions?
Interview Question 3: Are the policy frameworks universal? These interview series
produced responses in their natural settings. The first choice of analysis was
transcription and followed with descriptive analysis. 2 nd .The related research
questions (RQ) and null hypotheses (HO) that were employed to achieve the
objectives are; RQ1: How did internal and external policy domain guiding academic
RKMP in tertiary institutions evolve? /HO: There are no difference between
institutions with policy and those without policy on internal and external factors
influencing academic recordkeeping and management practices (ARKMP)./ RQ2:
What are the social factors affecting ARKMP in tertiary institutions?/HO: There are
no social factors affecting academic records keeping and management

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practices(ARKMP) RQ3: What are the factors that influence students’ academic
achievement in the context of ARKMP?/HO: There are no factors influencing
students’ academic achievement in academic records keeping and management
practices(ARKMP). RQ4: To what extent do factors associated with ARKMP affect
quality of educational service delivery? /HO: There are no factors associated with
ARKMP influencing quality educational service delivery. RQ5: To what degree do
challenges associated with ARKMP affect customer satisfaction in tertiary institutions
in Ghana? /There are no challenges associated with ARKMP that affect customer
satisfaction. RQ6: What are the technologies challenges affecting ARKMP in tertiary
institutions in Ghana?
The reasons for the choice of these methods of analyses are that they are
nonparametric tools used to analyse categorical variables (Smith, 2009; Cooper &
Schindler, 2011). These are nonparametric form of ANOVA to assess mean scores
of people’s knowledge about policy issues pertaining to records keeping and
management practices in tertiary institutions in Ghana. 2nd The research objectives,
research questions and hypotheses were examined by using multiple linear
regressions analysis techniques, analysis of MANOVA for the eighteen policy
factors influenced institutions to either to have or not to have a policy,(records should
be authentic from its creation; Management; Storage and financial disposal;
Academic records should be devoid of any influence; to improve office efficiency;
Facilitating administrative access to record ; Decreasing Operational and
administrative cost; Increasing staff productivity; Assisting institutions in meeting
legal requirements and to determine the best linear relationship between social
factors influencing ARKMP. The use of continuous data in multiple linear regressions
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requires that at least the variables are normally distributed. Therefore factor analysis
was done to group factors that are similar into three components as indicated in
table 4.6.Futhermore a multivariate analysis was conducted to assess if differences
exist between institutions with policy and those without policy. A Reliability Test were
conducted on the three sets of instruments (that is questionnaires for records officers
on record-keeping and management practices, questionnaire for social factors
affecting record-keeping and management practices, students’ academic
achievement in the context of ARKMP and finally questionnaire for technology
challenges influencing quality educational service delivery in terms of ARKMP and
challenges associated with ARKMP and the effect on customer satisfaction. The
table 3.3, table 3.4 and table 3.5 present the Total Statistics and the Cronbach’s
Alpha.
3.5.1 Research Population
This study made use of public and private tertiary institutions established in Ghana at
the starts of this study. They are one hundred and thirty-six (136) in number which
are scattered across the ten regions, with concentration in Accra the capital city.
These consist of public and private universities, colleges of education, polytechnics
and Midwifery and Nursing Training Colleges in the country. The increasing demand
for higher education in the West African Sub region in recent times has led to
National Higher Diploma and certificate awarding institutions transformed into the
emerging tertiary institutions in the country.
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3.5.2 Sample Frame
A lot of issues are considered when choosing a sample size for a study. Among
them are the type of population parameters the researcher wants to estimate, the
cost of sampling , how much is already known about the study, the spread
(variability) of the population, the difficulty in collecting data, and the precision of the
final estimates. In other words, the need to use a representative sample in a
research work is driven by whether or not the researcher wants to generalize
findings to the population, and whether or not research condition allow such
generalization, as well as the costs involved in sampling (Michael, 2011; Creswell,
2008: Krejcie & Morgan, 1970).
Sandelowski (1996: 179: cited in Badu-Nyarko, 2011) wrote that the “Adequacy of
sample size in qualitative research is relative. A sample size of ten (10) may be
judged adequate for certain kind of homogenous or critical case sampling, while in
others it will be too small to achieve maximum variation of a complex phenomenon
or to develop theory or too large for certain kinds of narrative. However, quantitative
research demands a larger sample size to reflect the population and for data
analysis. In this case, two things must be considered when choosing a sample size:
 Homogeneity: where the population or phenomenon under study is homogenous,
a smaller sample size may be required. In this case, a simple random sample
may be appropriate to select subject that will bear the same characteristics of the
population.
 Heterogeneity: Where the population is made up of different categories of people,
a larger sample size may be needed. This is so because all categories of person
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need to be selected. Where the number in the study (population) is large the
sample size could be smaller in terms of percentage. For instance, when studying
a population of 1000 street children, a sample size of 20% may be used to get
200 of them, while in a study of a population of 100 street children; a sample size
of 40% to 60% may be required to get a number that may be representative of
the population. The researcher may know that the determination of the sample
will provide sufficient data to answer the research question.
The general rule is to use the larger sample possible since the large the sample, the
more the representation. Larger sample size covers enough characteristics of the
population.
According to Williams (2007), the above research conditions and population
dynamics do not make way for using a representative and probability sample. The
best sample useable in this situation is a non-probabilistic sample (Michael, 2011:
Creswell, 2003; Williams, 2007). The researcher, therefore, chose people who were
known to have the ability to accurately respond to questionnaires and could easily be
contacted after randomly selected the ten institutions out of the 136 and placed them
in the table below.
Table 3.1 Institutional Sampling Frame
No. CATEGORY OF INSTITUTIONS NO.

SELECTED
1. Public Universities 6 2
2. Private University 1 1
3. Tertiary Institutions offering degree 62 2
4. Polytechnics 10 2
5. Public Colleges of Education 38 2
6. Public and private 19 1
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Nursing & Midwifery Training Colleges
Total 136 10
Source: the Researcher’s sampling frame-2016/NAB (2009)http://www.nab.gov.gh
The geographical locations of the one hundred and thirty-six (136) tertiary institutions
targeted for data collection too large and needed to be reduced by deciding on a
sample population through a sampling frame. With this the researcher used a simple
random sampling technique to select ten of the institutions. The table 3.1 above
presents the scientific selection of the sampling frame and the sample population.
The selected institutions were in various categories thus public universities, private
universities, private tertiary institutions offering degree which include private
universities colleges. The list of the institutions was obtained from the website of the
National Accreditation Board (NAB, 2009) Records on accredited institutions.
Among the public universities category two (2) of the universities were selected
representing 3.33% (2/6 x 100). They are university of cape coast (UCC) in the
Central region, university of Development Studies (UDS) in the Northern region. In
the category of Private Universities which is, Valley View University was selected,
representing 100% (1/1 x 100) also in the greater region. Within the private Tertiary
Institutions offering degree only two (2) was selected out of the total sixty -six (66)
representing 3.03%. Among the Public Polytechnics two( 2) were selected which are
Kumasi Polytechnics and Accra Polytechnic out of the total of ten, representing 20%
(2/10 x 100).
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There are thirty-eight (38) public colleges of education out of which 2 were selected
representing 53% (2/35 x 100). The last in the series was the public Nursing and
Midwifery Training colleges. Out of the total of fourteen (14) colleges one (1) was
selected representing 7.14%. This is the Eastern region of Ghana.
The two Colleges of education were selected and Accra College of Education. These
are in the Greater Accra region and Eastern region. In all, the institutions selected
scattered across five regions.
3.5.3 Sampling Technique
Purposive and convenience non-random probability techniques were sued to select
the study participants/respondents because the researcher could not collect data
on all members of the population during the period of the study. By means of
convenience sampling, only members who could participate during the period of the
study were selected for participation.
Convenience sampling is a specific type of non-probability sampling method that
relies on data collection from population members who are conveniently available to
participate in a study. In convenience sampling no inclusion criteria identified prior to
selection of subjects. All subjects are invited to participate. The disadvantages are
the risk that the sample might not represent the population as a whole, and it might
be biased by volunteer. According to Cooper & Schindler (2011), although a
convenience sample has no controls to ensure precision, it may still be a useful
procedure.
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Purposive sampling technique (judgement sampling) was used to select respondents
or officials of the institutions who were directly involved in records keeping and
management practices to provide a unique and rich information of value to the study.
These were chosen because they are easy, less costly and convenient to use.
In purposive sampling, we sample with a purpose in mind, we sample more specific
predefined groups we are seeking. We size up the people passing by and anyone
who looks to be in that category is stopped and asked if he/she would participate in
the research. One of the first things likely to be done is to verify that the respondent
does in fact meet the criteria for being in the sample. Purposive sampling can be
very useful for situations where you need to reach a targeted sample quickly and
where sampling for proportionality is not the primary concern. With a purposive
sample, you are likely to get the opinions of your target population, but you are also
likely to overweight subgroups in your population that are more readily accessible
(Trochim, 2006). Also convenience sampling is a non-probability sampling technique
where subjects are selected because of their convenience accessibility and proximity
to the researcher. The methods sought to target respondents who could provide
relevant information that would help address the issues under consideration.
Many researchers prefer this sampling technique because it is fast, inexpensive,
easy and the subjects are readily available. This method of sampling is used
because the population is just too large that that it is impossible to include every
individual in the study (Castillo, 2009).
In general, researchers prefer probabilistic or random sampling methods over non-
probabilistic ones, and consider them to be more accurate and rigorous. However, in
applied social research, there may be many instances whereby selecting units with a
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well-defined random sampling plan is often not practical. Sometimes a sample for a
statistical study when selected according to some expect judgment (purposive
selection) may give better results than if is selected according to statistical principles-
provided the researcher is knowledgeable about selection procedures. Caution must
be exercised when in use, especially the researcher should be careful in generalizing
the findings (Baumgartner, Strong, & Hensley, 2002).
3.5.4 Data Collection Instruments
Survey questionnaires were used to gather primary data for the study. The
questionnaire method is appropriate because of its convenience in given the
respondents the independence and free will to express their thoughts and opinions.
It also gives the same questions to all respondents thereby providing them with the
same standard for assessment. Respondents have greater confidence in its
anonymity. Furthermore, with relatively little funds the researcher can cover a large
sample, collected either through face-to-face, interview or self-administered
questionnaire. The justification for our choice is because it is the most convenient
method.
Questionnaire Design
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The questionnaires were both structured (Specific answers were expected from
respondents and unstructured (to enable respondents to give more information on
the study area.). Some questions were closed-ended and others were open-ended.
The divisions in the questionnaires were intended to capture the objectives of the
study. Both open-ended and closed ended questions were asked by the researcher
to solicit for information for analysis. This was done to make answered of the
questionnaire easier and less time consuming. The open-ended questions helped
the researcher to obtain information from respondents so as to get a broader view of
respondents on the issue being considered and to obtain answers which had not
been anticipated by the researcher. The variables considered were categorical and
ordinal as well as interval. A categorical variable (sometimes called a nominal
variable) is one that has two or more categories, but there is no intrinsic ordering to
the categories. An example is gender which may be categorized as male and
female. An ordinal variable is similar to a categorical variable. The difference
between the two is that there is clear ordering of the variables.
Sample Size
The total sample size of one thousand, two hundred and forty –two (1,242) was
collected for the analysis .This comprised of senior members such as registrars,
lecturers,’ record-keepers and IT personnel who were in charge of the institutions
data base at various points. They were males and females within the age range of
eighteen years to fifty years and above (18years -50years+). The researcher
distributed a total of one thousand, nine hundred and fifty –eight (1,958), research
questionnaires among ten tertiary institutions across five regions. After the exercise,
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the above sample size of one thousand two hundred and forty (1,242) was realized
being the number of questionnaires realized at the end;This gave a retrieval rate of
63.4%.
Instrument’s Validity
This section looks at two key criteria for evaluating a measurement tool, thus validity
and reliability. Validity is the precision of a research or the degree to which what is to
be measured has been measured by the researcher(Golafshani,2003).In another
development, validity is how well the objectives of a research have been addressed
or covered (Morse,2002).Reliability, on the other hand, is the repeatability of a
research findings. Invariably, the reliability of a research is the likelihood of getting
the same results when the same research process is repeated many times. In this
study, the researcher put in place measures recommended by Morse (2002), and
Golafshani (2003) to ensure that the study results are both reliable and valid. To
achieve the research objectives, the researcher designed self-administered survey
questionnaires to collect the needed data. This was done by ensuring that most of
the questions were made close-ended, as recommended by Morse (2002), however,
some portions which were meant for open responses from a cross section of the
study participants were open-ended. The statements were also made simple and
concise, making them easy to read. Cross verification of the instruments for possible
errors was done by submitting the questionnaires to five different questionnaire
design experts. These research designers who vetted the instruments included
Professor Olivia, Tewaah-Kwapong (+233-244169017); Professor, Etsey (+233-
244148126); Dr. Mensah, Abrompa (+233-0209945793),Dr.Preku (+233-
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241455462)and Dr. Agemegah (+233-244731209).For the purpose of appreciable
validity and reliability, the researcher also conducted two pilot studies separately on
the two populations in which sixty (60) questionnaires were administered to
respondents or participants in each study population and corrections were made to
errors in the questionnaire for final analyses that were done.
From the pilot studies of final students who were targeted to answer questions on
records keeping challenges and social factors influencing academic achievement,
the sample result revealed that most of the student respondents were bias against
their school records management systems. It further suggests that most of the
students lack in-depth knowledge about the record-keeping and management
practices in the institutions. This had enabled the researcher to exclude the student’s
participation from the final data collection after the result from the analysis presented
in raw SPSS outputs and submitted to the thesis reviewer. There were no major
changes done on the rest of the questionnaires because the experts had already
given experts’ advice on them. Morse (2002) is of the view that two or more pilot
studies can provide opportunities for the researcher to make research instrument
valid and reliable. Therefore, special reliability tests were done using Cronbach's
alpha shown in table 3.2 to tables 3.8
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Table 3.2: Reliability Test
-Total Statistics
Cronbach's
Scale
Scale Mean if Alpha if
Customer Tangibles Variance if
Item Deleted Item
Item Deleted
Deleted
Modern equipment’s and tools 8.9129 7.778 0.746

Physical facilities virtually nice 9.1026 8.534 0.755
Record keepers neatly appealing 9.0195 8.086 0.703
Materials appealing 8.9235 9.143 0.802
Source: computed Results, 2016 using statistical analysis
The Table3.2 shows the reliability coefficient of the questionnaire for academic staff
members and administrators. The questionnaire was based four items measuring
customer Tangibility under the quality service measuring scale in the domain of the
SERVQUAL Concept. Under this table no item was removed. This had the highest
reliability coefficient of 0.802, meaning that the items are reliable.
Table 3.3 Total Statistics
Scale Scale Cronbach's
Mean if Variance Alpha if

Customer Assurance
Item if Item Item
Deleted Deleted Deleted
Behaviour instils confidence 9.1304 9.432 0.819
Courteous with me 8.9839 8.730 0.758
Have knowledge on answers 9.0056 9.590 0.783
Assurance of confidentiality 8.7037 9.938 0.816
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The Table 33 also shows the reliability coefficient of the questionnaire for the same
academic staff and office administrators. The questionnaire had four items on
customer Assurance as one of the service quality element under the SERVQUAL
Construct. With respect to the table none of the four items was removed. The
reliability coefficient was 0.816, this was the highest as compare to table 3.2.This
means that the four questionnaire items were valid. According to the general rule of
thumb, a questionnaire should have an overall Cronbach’s alpha value of 0.07 to be
sufficiently reliable (Morse, 2002).
Table 3.4: Item-Total Statistics
Scale Scale Cronbach's
Mean if Variance Alpha if

Customer Empathy
Item if Item Item
Deleted Deleted Deleted
Give individual attention 12.3014 14.939 0.860
Operating hours convenient 12.1310 15.715 0.862
Care for all needs 12.3896 14.689 0.837
Have interest at heart 12.3519 14.883 0.843
Understand specific needs 12.2646 15.341 0.855
The table 3.4 had five questionnaire items that were measured under the service
quality construct, in respect of (customer satisfaction),the reliability coefficients was
0.855,the highest Cronbach’s alpha, this means that questionnaire items measuring
customer satisfaction were valid. This had satisfied (Morse, 2002) rule of thumb
about the validity of research instruments. The items measuring customer
satisfaction are most reliable.

135
Table 3.5 Total Statistics
Scale
Scale Mean Cronbach's
Variance if
Customer Reliability if Item Alpha if
Item
Deleted Item Deleted
Deleted
Record keepers fulfil promises 8.6312 11.163 0.855
Show keen interest in solving problems 8.4501 10.433 0.835
Performs service on time 8.4992 10.788 0.850
Insist on error free 8.5281 11.002 0.840
The table 3.5 have four items to measure customer reliability. The reliability
coefficients was 0.840,which is within the accepted Cronbach’s alpha in respect of
the general rule of Thumb(2002), meaning that the items are valid in this section of
the questionnaire.
Table 3.6 Item-Total Statistics
Scale Cronbach's
Scale Mean
Variance if Alpha if
Customer Responsiveness if Item
Item Item
Deleted
Deleted Deleted
tell exactly service will be performed 8.4195 10.824 0.852
give prompt service 8.4662 10.025 0.792
Always willing to assist 8.3180 10.240 0.830
Are not too busy to respond to request 8.2190 10.976 0.867
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The table 3.6 has four variables measuring customer responsive in respect of the
SERVQUAL Measuring scale. The reliability coefficients are 0.867, which is
appreciable in this context of questionnaire validity. Not any one of the four items
was removed, meaning that they were valid for the collection of the data that
measured customer responsiveness with regards to service quality. As per the rule
of Thumb,(2002),a valid questionnaire or items for data collection for research
purposes, the overall Cronbach’s alpha value should be at least 0.07.No any of the
items was removed. Hence the questionnaires under these items were valid for the
data collected.
Table 3.7: Total Statistics
Scale Cronbach's
Scale Mean
Variance if Alpha if
Total Customer Satisfaction if Item
Item Item
Deleted
Deleted Deleted
Tangibles 51.414 261.317 0.920
Reliability 52.157 231.255 0.887
Responsiveness 49.738 204.541 0.881
Assurance 51.620 239.582 0.894
Empathy 48.168 231.230 0.913
The table 3.7 shows the reliability coefficient of the questionnaire for lecturers and
other administrative staff. The questionnaire had the five units of measuring service
quality, thus Tangibility, Reliability, Responsiveness, Assurance and Empathy. The
total Cronbach’s alpha value is 0.913, meaning that these items or scales for
determining service quality are sufficiently valid. The result satisfies the general rule
137
of thumb that a questionnaire should have an overall Cronbach’s alpha value of at
least 0.07.As seen in this table, the value is 0.913.
Table 3.8 Reliability Coefficient for questionnaires for Recordkeepers
Scale Cronbach's
Scale Mean
Variance Alpha if
Academic Record Keeping and Management Practice (ARKMP) if Item
if Item Item
Deleted
Deleted Deleted
Information needs planned by qualified record keepers 53.2478 131.256 0.864
Information’s captured by qualified staff 53.1778 118.046 0.844
Recording done by any person 54.1585 122.614 0.859
Record keeping planned by people with requisite knowledge in record 53.0928 126.167 0.858
keeping
Identifying, classifying and storing records is constantly done in the 53.3958 121.966 0.853
institution
Coordinating access to record internally and externally 53.1602 129.015 0.860
Balanced access of records 53.1751 125.864 0.858
Executing and retention policy 53.3126 128.962 0.859
Documentation context 53.3135 125.924 0.858
Identify requirements to support record keeping 53.4186 117.737 0.846
Setting policies and standards 53.0946 119.907 0.850
Assigning responsibilities and authorities 52.8757 124.048 0.852
Provide a range of services 53.1778 117.696 0.841
Institution punitive measures 53.6375 113.355 0.839
Designing and administering specialized system 53.6296 120.309 0.848
Integrating record management 53.6086 120.733 0.849
Source: Computed Results, 2016, using descriptive statistics,
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Table 3.8 shows the reliability coefficients of questionnaires for records keepers. The
questionnaires have number of variables and scales. The listed variables constitute
the records keeping and management practices in the institutions. The rule of thumb
is that a questionnaire should have an overall Cronbacha's alpha value of at least
0.07 to be sufficiently reliable (Morse, 2002).As seen in the tables, the overall value
is 0.849.Hence the questionnaire for records keepers is sufficiently valid.
Table 3.9: Research framework Linking Research Objectives with Research
Questions, and Methods of Data Analysis
Research
Objectives(RO) Research Question Source of Data Type of Data Techniques of
Data Analysis
To examine internal and RQA: Do tertiary Interview data Qualitative Descriptive
external policy factors institutions in Ghana
influencing Academic have policy framework
record-keeping and guiding ARKMP? Qualitative
management practices in Descriptive
tertiary institutions in How did the Policy Interview Data
Ghana. framework evolve?
Qualitative Descriptive
Are the policy Interview
frameworks universal? Data(categorical)
Qualitative
What are the internal
and external factors Open response on
influencing policy structured MANOVA
formulation for ARKMP questionnaire item
in tertiary institutions?
To identify social factors What are the social Response from
that influence Academic factors affecting close-ended Quantitative
RKMP in tertiary ARKMP in the tertiary questionnaire item Ordinal Data Regression
institutions institutions?
To examine social factors What are the factors Close-ended

that influence students’ that influence students’ questionnaire item Quantitative
academic achievement in academic achievement
the context of RKM in the context of RKM? Ordinal Data Regression
To assess how the factors To what extent do Structured research

associated with ARKMP factors associated with questionnaire item Quantitative
affect quality of academic ARKMP
educational service affect quality of Ordinal Data Regression
delivery in tertiary educational service
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institutions in Ghana. delivery?
To explore how challenges To what degree do Close-ended

associated with academic Challenges associated questionnaire item Quantitative
records keeping and with ARKMP affect
management practices customer satisfaction in Ordinal Data Regression
affect customer the tertiary institutions
satisfaction in tertiary in Ghana?
institution in Ghana.
Which of the following Close-ended Quantitative Multiple Linear
purported technology Questionnaire item (ordinal data) regression
challenges affect analysis
ARKMP in tertiary
Source: Researcher’s Own Construct, 2015
Ethical Considerations
Due to the fact that this study required the responses of record-keepers and any
other stakeholder in educational environment, who are with equal ranking with the
researcher, various ethical issues were addressed during the study The
considerations of these ethical issues were necessary for the purpose of ensuring
the privacy of response and the safety of the respondents/participants.
The major ethical issues considered were consent and confidentiality of the
respondents and their answers to the research questions and the interview series. In
order to ensure the consent of the selected participants, the researcher spelt out all
important details of the study such as its objectives and purpose, as a result of these
provision, respondents were able to understand the importance of their role in the
completion of the questionnaires and interview questions.
The respondents were advised that they can freely withdraw from the study even
during the process if they felt a lack of interest in the study or in any of the
processes. To ensure confidentiality, respondents’ names were not included in

140
completed questionnaires; only relevant details that helped in completing the
questionnaires and the information to be provided by the respondents. By and large
in many academic institutions information on academic records are considered
highly confidential, meaning that without much assurance of anonymity on
information given by a research participant one can scarcely have people
participating in such study. This situation was experience in one of the public
universities where the researcher had wanted to conduct the interview for quality
data on policy guidelines for handling challenges in managing academic records.
Eventually, the researcher was compelled to exclude that institution from the
interview series.
3.6 Tools for Analysing Primary Data
Primary data were analysed by non-parametric statistical tools, such as the
descriptive statistic, Frequency Distribution, Tables and Continuity Correction. The
investigators choice of the tools was influenced by the recommendation of Smith
(2009), and Cooper and Schindler (2011) that non-parametric statistical tools are the
standard for categorical, nominal and ordinal data in any research process. Aside, a
non-parametric methods require no or very limited assumptions to be made about
the format of the data and they may, therefore, be preferable when the assumptions
require parametric methods are not valid. Nonparametric methods can be useful for
dealing with unexpected, stating observations that might be problematic with a
parametric paradigm. Analysis of variance (ANOVA) was used to identify difference
among a group of categorical variables. Generally, all the statistical tools used for
the primary data analysis were nonparametric tools because the primary data used
141
in the study were mostly categorical in nature. The responses were coded for the
statistical analysis. Table 3.11 is a summary of the research framework that links the
research objectives, with research questions, research hypotheses, methods of
analysis for both qualitative and quantitative data.
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CHAPTER FOUR
PRESENTATION OF ANALYSIS AND STUDY RESULTS
4.1 Introduction
This chapter of the study presented the analysis and the results of the study from
both closed-ended survey questionnaires and open responses on non-structured
research instruments and interviews. The interview was conducted in five of the
study institutions which were selected by convenience, thus time and proximity. The
presentations of the results are two parts, thus A &B.
Part A
Interview Results: In appendix B, table 4.1,it was indicated that all the five tertiary
institutions (Accra Polytechnic, Accra College of Education, Mount Mary College of
Education, Koforidua Midwifery and Nursing Training College and the Valley View
University have policy in place which directs their academic records keeping and
Management practices,(ARKMP).This was in response to the first interview question
series which sought to find out whether tertiary institutions in Ghana do have
institutional policy frameworks that guide their records keeping and management
practices. For instance, the Assistant Senior Rector of the Accra Polytechnic in
charge of general administration and at the same time chief records officer indicated
that there was no academic institution that manage academic records without
policy guidelines. Per this response it implies that the institution has in place policy
framework that directs recordkeeping and management practices. This was followed
by the principal of the Accra College of Education in his response to the same
interview question and said, “our college has a policy framework for managing
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records which was adopted from the Teacher Training Council (TTC), of Ghana. ’The
principal of the Mount Mary College of Education was not different when he said, “we
have a written documents as a policy framework on records keeping and
management practices’’. The 2nd interview question was about the mode of policy
evolvement in the institutions. This question just like the earlier one was intended to
elicit direct responses from these heads of institutions on the way the institutional
policy for managing records came into being. According to Emery, (2005),
educational policy which does not emanate from a collective decision making by the
team players and taking into consideration, the technological and the social
environments that policy is unlikely to succeed in its implementation. Responding to
2nd interview questions, all the institutions interviewed indicated that the policy
evolved differently in each of the institutions. While the principal of the Accra College
of Education and the senior Assistant Rector who is also the chief records officer of
the Accra Polytechnic said that their policy frameworks for managing records was
developed by their academic boards, the lady principal of the Koforidua Midwifery
and Training College said, “the policy guidelines in place are based on the
Guidelines from the Ministry of Health (MOH), it takes leverage from the British
Health Records Policy standard (1948)’’.The senior Rector or the vice chancellor of
the valley view university also responded and said, “I may say to a large extent,
since “ VVU’’ is a religious institution, our policy guidelines are of international
standard with reference to our universities under the General Conference in the
United States of America and other institutions of Higher Learning within the
Seventh-day Adventist church worldwide’ ’The 3rd and the last interview question
posed was to know whether institutional policy that guides the institutions in
records keeping and management practices have things in common. This was also
144
intended to have responses in their natural settings, besides since the institutions
are operating in a common line of business it was appropriate to find out the
commonalties in their policy frameworks which could also be a common reference
point for directing their records keeping and management practices(RKMP).All the
responses gathered from the heads of the tertiary institutions indicated further that
the policies use in their records keeping and management practices have nothing in
common. In the Accra College of Education for example, the principal of the college
said in his responses that, “the policy guidelines differ from one institution to another.
The response from the Accra Polytechnic according to chief Records officer, and I
quote, “Polytechnics in Ghana have no uniform policy guidelines, however, we
encourage our records officers to observe the best practices which are of
international standard.’’ The responses from the heads of the institutions sampled for
the interview during the interview series were also confirmed by the results from the
closed-ended and open-ended survey instruments administered in the ten tertiary
institutions which were presented in tabel3.1 representing the institutions sample
frame for the study..
In summary, we thus concluded by saying that tertiary institutions in Ghana have
institutional policy framework that guided their academic records keeping and
management practices (ARKMP) in their respective jurisdictions, the policy
frameworks evolved differently and without uniformity. Despite the fact the
institutions are operating in the same line of business they don’t accept and practice
what is known as universal or similar policy for records keeping and management
practices. Besides, the lack of institutional policy uniqueness don’t reflects the fact
145
that commonalities between institutions operating in what could be described as
common areas of business operations do influence the type of policy they adopt to
support their operations and management of such records.
Part B: Analysis of Results Based on Qualitative and Quantitative Data from
Structured and Open-ended Research Instruments.
The study sought to examine challenges associated with Academic Records keeping
and Management Practices (ARKMP) in tertiary institutions in Ghana. A preliminary
review of literature indicates records keepers are face with technology lapses in
managing academic records. These include such specific areas like wrong data
capturing, inadequate records keeping equipment and data security. Equally noted
among the challenges were noncompliance with policy directives in some cases
and uncontrollable social contacts among students and staff members in the various
tertiary institutions. These contacts lead to malpractices such as data falsification
and changing student’s natural exam scores. The challenges in these contexts are
human centred and as such, this study ought to take into consideration demographic
characteristics of respondents.
4.2 Demographic Characteristics of Respondents
The demographic data and personal information in the analysis were gender,
educational levels, Age and marital status. These variables would help in appraising
the credibility and validity of the findings of the study results besides, they would be
used to make valid judgments on people’s responses, attitudes and behaviours.
146
Table 4.1 presents the frequency tables containing frequency, percentages and
cumulative percentages of the respondents.
FREQUENCY TABLES
Table 4.1: Gender
Gender
Frequency Percent
Female 458.0 36.9
Male 748.0 60.2
Total 1206.0 97.1
Missing System 36.0 2.9
Total 1242.0 100.0
Source: Computed Results 2016, Using SPSS Version 20
From table the above, about 60% of the respondents sampled were males with the
remaining 36% being females. These frequencies represent about 4.83% and 2.89%
of all respondents of the study respectively. Though, there are relatively high
numbers of males in the study, a substantial number of respondents were also
females. The closeness of the results will provide findings of the study that would be
gender-balance. It also practically supports the credibility of the findings. Table 4.1.2
explains the educational background of respondents. It helps us also to explain the
reliability of the responses provided by the study participants.
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Table 4.1.2: Educational level
Educational level
Frequency Percent
O-level 18.0 1.4
A-level 18.0 1.4
WASSCE 81.0 6.5
HND 277.0 22.3
Degree 738.0 59.4
Masters 56.0 4.5
Total 1188.0 95.7
Total 1242.0 100.0
Under educational level in table 4.1.2, about 86% of the respondents have tertiary
qualification such as Higher National Diploma (HND), Degree or Masters Level. The
validity and credibility of the findings of the study would be driven by the educational
levels of respondents. This is so because most high educational programmes would
introduce students to subjects on effective records keeping and ethical values which
are the driven force for morality in human societies and stability of work
organizations ‘In table 4.1.3 we analyse the marital status of respondents.
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Table 4.1.3: Marital Status
Marital Status
Frequency Percent
Married 330.0 26.6
Single 866.0 69.7
Divorced 9.0 0.7
Co-habitation 37.0 3.0
Total 1242.0 100.0
Under marital status in the table above, 69% of the respondents are singles, 26%
married and the rest being either divorced or co-habitation. These results could
mean that either the people concerned are not interested in marrying at their present
age due to reasons best known to them. One can conclude based on this results that
hard work and committed employees in work organizations are found among
married people due to their family obligations such as financial upkeep for the family
or any other reason which can be stated categorically in this study. In table 4.1.4 we
analyse Religious affiliation of respondents.
Table 4.1.4: Religious affiliation
Religious affiliation
Frequency Percent
Christian 978.0 78.7
Muslim 264.0 21.3
Total 1242.0 100.0

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Under religious affiliations in table 4.1.4, 78% of the respondents are Christians with
the remaining 21% being Muslims. In Ghana there is an emerging culture in our
educational enterprises where ownership or being in top hierarchy of management
positions and religious affiliation tend to influence the employment pattern of the
employer. This sometimes negates the principle of equal opportunity in labour
acquisition or employees. The 78% of the respondents being Christians indicates
that either the proprietors of the various tertiary institutions sampled are probably
Christians. That is in the case of private institutions. People’s religious background
also explains the way individuals behave and react in a given situation. Being a
stench Christian or Muslim is reflected in a person’s work attitudes and issues
bordering on honesty and truthfulness. In table 4.1.5 we analyse the Age range of
respondents. This makes discussions valid since age is an important variable when
discussing people’s attitude and actions.
Table 4.1.5: Age Range
Age Range
Frequency Percent
18-25yrs 566.0 45.6
26-33yrs 410.0 33.0
34-41yrs 165.0 13.3
42-49yrs 45.0 3.6
50-57yrs 37.0 3.0
58-65yrs 18.0 1.4
Total 1241.0 99.9
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Total 1242.0 100.0
From the table 4.1.5 above, about 91% of the respondents are between 18 and 41
years of age with the 9% above 41 years of age. This is a reflection of the current
demographic pattern of employees in educational institutions and other employment
sectors of the Ghanaian economy. The increase in the production of young university
graduates in the country has changed the ratio between the older working folks and
the younger ones who are entering the job market.Particulary in the educational
institutions, young adults with knowledge in ICT are being employed in the
academic registries to be in charge of data entry and soft –ware design for records
keeping and management purposes. Many of such young employees are less
experienced, coupled with low remunerations makes them vulnerable to all kinds of
influence in their official duties in the work place. In table 4.1.6 we analysed the
category of institution for drawing valid conclusions in the study results.
Table 4.1.6: Type of Institution
Type of Institution
Frequency Percent
Private 171.0 13.8
Public 1071.0 86.2
Total 1242.0 100.0
From Table 4.1.6, it can be seen that 86% of the respondents are in the public sector
with the remaining 13% been in the private institutions. Per by their organisational
151
structures and affiliation public tertiary institutions, especially public universities are
the biggest employers in Ghana, hence it reflection in this study.
4.2.1: Reliability Test for Construct
To assess whether each of the seven construct (shown in table 4.2) formed a
reliable scale for each of them; Cronbach’s alpha were computed for each of the
constructs as shown in table 4.2. It was observed that the Cronbach’s alpha for
each of the constructs ranges from 0.803 to 0.919 (in table 4.2). This indicates that
the items which constitute the measure of each of the construct formed a scale that
has high internal consistency reliability.
On the bases of the high internal consistency in the reliability for each of the ten
constructs, the total of each of the ten constructs was computed (new variables) and
used to run the regressions that best determine the linear combinations.
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Table 4.2: Reliability Test of Construct
Reliability Statistics Scale Statistics
Construct Tested for Cronbach' Cronbach's N of Mean Variance Std. N of

Reliability s Alpha Alpha Based Items Deviation Items
on
Standardized
Items
Record Keeping and 0.861 0.858 16 56.8984 138.34 11.56211 16
Management Practices
(ARKMP)
Total Customer Satisfaction 0.919 0.900 5 63.2747 357.71 18.9134 5
Customer Tangibles 0.803 0.804 4 11.9862 13.988 3.74000 4
Customer Reliability 0.879 0.880 4 11.3696 18.538 4.30555 4
Customer Responsiveness 0.872 0.873 5 13.6147 25.172 5.01716 5
Customer Assurance 0.838 0.839 4 11.9412 15.893 3.98655 4
Customer Empathy 0.877 0.878 5 15.3596 22.913 4.78671 5
Source: Researcher’s Multiple Regression Analysis.2016.

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4.3: Quality Educational Service Delivery
Multiple-Linear regressions were conducted to determine the best linear combination
of customer tangibles, customer reliability, customer assurance and customer
empathy for predicting quality educational service delivery in academic record
keeping and management practices ARKMP). This combination of the independent
variables significantly predicted quality educational service delivery at F-statistic of
110.78 with p equal to 0.000, with only three variables significantly contributing to the
prediction as shown in table 4.3. That is there is a linear combination between
customer tangibles, customer reliability, customer assurance and customer empathy
in predicting quality educational service delivery in academic record keeping and
management practices ARKMP).
The beta weights presented in table 4.3 suggest that empathy and assurance
contribute most to predicting quality service delivery. The adjusted R-squared value
was 0.28. This indicates that 28% of the variance of quality educational service
delivery in ARKMP was explained by the model. This according to Cohen 1988 is a
small effect. Also Durbin-Watson statistic has shown there is no serial correlation
among the independent variables.
In conclusion we reject the null hypothesis that there is no linear combination
between customer tangibles, customer reliability, customer assurance and customer
empathy in predicting quality educational service delivery. From the evidence above
it is clear that customer tangibles, customer reliability, customer assurance and
customer empathy has contributed to quality educational service delivery in
academic record keeping and management practices (ARKMP).
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Table 4.3: Factors of ARKMP that affect quality educational service
delivery
Variable Coefficient Std. Error t-Statistic Prob.
Constant 1.2160 0.0740 16.4270 0.0000
Tangibles 0.0200 0.0070 2.8900 0.0040
Reliability 0.0070 0.0080 0.9100 0.3630
Assurance 0.0320 0.0080 3.9160 0.0000
Empathy 0.0480 0.0060 7.6110 0.0000
R-squared 0.2810
Adjusted R-squared 0.2780
Durbin-Watson 1.8440
S.E. of regression 188.59
Sum squared reside 483.05
F-statistic 110.78
Prob (F-statistic) 0.0000
a. Dependent Variable: Quality Educational Service Delivery
b. Predictors: (Constant), Empathy, Tangibles, Assurance, Reliability
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4.4: Social factors that influence students’ Academic Achievement in terms of
Academic Record-keeping and Management Practices. (ARKMP)
Multiple regressions were conducted to determine the best linear combination of
social factors influencing student’s academic achievement in the context of academic
record keeping and management practices ARKMP). A factor analysis was done to
group factors that are similar into three components. The factors in each component
are listed in the foot note of table 4.4. This combination of the independent variables
significantly influence students’ academic achievement at F-statistic of 126.659 with
p equal to 0.000, with only two components significantly contributing to the prediction
as shown in table 4.4. That is there is a linear combination between social factors in
predicting students’ academic achievement in academic record keeping and
The beta weights presented in table 4.4 suggest that components one and three
contribute most to predicating students’ academic achievement. The sign of the
betas were positive meaning that students’ academic achievement improves when
these social factors increases. The adjusted R-squared value was 0.23. This
indicates that 23% of the variance of students’ academic achievement in ARKMP
was explained by the model. This according to Cohen 1988 is a small effect. Also
Durbin-Watson statistic as shown there is no serial correlation among the
independent variables.
In conclusion we reject the null hypothesis that there is no linear relationship
between social factors influencing students’ academic achievement. From the
evidence above it is clear that social factors have contributed to academic
achievement in academic record keeping and management practices (ARKMP).
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Table 4.4: Social factors that influence students’ Academic Achievement
Constant -4.234 0.759 -5.581 0.000
Component 3 0.239 0.016 15.18 0.000
Component 2 0.008 0.012 0.703 0.482
Component 1 0.147 0.018 8.140 0.000
R-squared 0.2350
Sum squared resid 247385.96
F-statistic 126.659
Prob (F-statistic) 0.0000
Source: Researcher’s Statistical Analysis 2016
a. Dependent Variable: Academic Achievement

b. Predictors: (Constant), Component 1, Component 2, Component 3
Note: Component 1: Undetected examination malpractices, Bias in marking scripts,

Influence of hallow effects, lowering of standard of assessment for moral reasons,
Sexual advances, indirect disclosure of test materials, Financial/material influence
Component 2: Invigilators aiding students during exams, Good hand writing,

Undetected falsification of exams results, Falsification of grades, Religious influence,
Hacking, Test materials not challenging, Maintain social cohesion
Component 3: Tribal/Ethnic influence, Protocol considerations, Gender/sex

influence, Political influence, Academic achievements are subjective, Examination
leakages undetected
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4.5 Academic Recordkeeping and Management Challenges that affect
Customer Satisfaction
Multiple regression was conducted to determine the best linear combination of
procedural challenges (incorrect data capturing, poor security and confidential
control, inadequate staff, lack of record manuals filling guides, too much interference
by superiors, obsolete equipment and tools, low moral due to poor remuneration)
affecting customer satisfaction in academic record keeping and management
practices ARKMP). This combination of the independent variables significantly
predicted the effect of customer satisfaction at F-statistic of 130.60 with p equal to
0.000, with only six variables significantly contributing to the prediction as shown in
table 4.5. That is there is a linear combination between procedural challenges and
the effect in predicting customer satisfaction in academic record keeping and
management practices ARKMP).
The beta weights presented in table 4.5 suggest that incorrect data capturing, poor
security and confidential control, inadequate staff, lack of record manuals filling
guides, too much interference by superiors and low moral due to poor remuneration
contribute most to predicating customer satisfaction. The sign of the beta weights
indicates that challenges negatively affect customer satisfaction; meaning that
whenever these challenges increase, customer satisfaction drops. The adjusted R-
squared value was
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Table 4.5: Challenges that affect Customer Satisfaction
Variable Coefficient Std. Error t- Prob.

Statistic
Constant 126.7 1.851 68.50 0.000
Inadequate staff -3.083 0.566 -5.447 0.000
Obsolete equipment and tools -0.674 0.552 -1.223 0.222
Poor security and confidential -1.964 0.514 -3.823 0.000
control
Lack of record manuals filling -4.930 0.621 -7.946 0.000
guides
Too much interference by -4.183 0.533 -7.851 0.000
superiors
Low moral due to poor -3.814 0.572 -6.664 0.000
remuneration
Incorrect data capturing -4.685 0.467 -10.03 0.000
R-squared 0.4630
Sum squared resid 294876.67
F-statistic 130.60
Prob(F-statistic) 0.0000
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4.6: Social factors that influence Academic Records Keeping and Management
Practices
Multiple regressions were conducted to determine the best linear relationship of
social factors influencing student’s academic achievement in the context of academic
record keeping and management practices (ARKMP). A factor analysis was done to
group factors that are similar into three components. The factors in each component
are listed in the foot note of table 4.6. This combination of the independent variables
does not influence academic records keeping and management practices at F-
statistic of 0.101 with p equal to 0.960, with none of the components significantly
contributing to the prediction as shown in table 4.6. That is there is no linear
relationship between social factors in predicting academic record keeping and
The adjusted R-squared value was 0.023. This indicates that 2.3% of the variance of
ARKMP was explained by the model. This according to Cohen 1988 has no effect.
Also Durbin-Watson statistic as shown in table 4.6, there is no serial correlation
In conclusion we cannot reject the null hypothesis that there is no linear relationship
between social factors influencing academic records keeping and management
practices. From the evidence above it is clear that social factors do not influence
academic record keeping and management practices (ARKMP) in any way.
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Table 4.6: Social factors that influence Records Keeping Management Practices
Constant 21.34 0.324 65.75 0.000
Component 3 0.000 0.007 0.040 0.968
Component 2 0.003 0.005 0.516 0.606
Component 1 -0.002 0.008 -0.321 0.749
R-squared 0.025
Durbin-Watson 2.440
Sum squared residual 38419
F-statistic 0.101
Prob(F-statistic) 0.960
a. Dependent Variable: Records Management Practices
b. Predictors: (Constant), Component 1, Component 2, Component 3
Note: Component 1: Undetected examination malpractices, Bias in marking scripts,
Influence of hallow effects, Lowering of standard of assessment for moral reasons,
Sexual advances, Indirect disclosure of test materials, Financial/material influence
leading changing natural exam scores and academic records of students.
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Component 2: Invigilators aiding students during exams, Good hand writing,
Undetected falsification of exams, Falsification of result, Religious influence,
Hacking, Test materials not challenging, Maintain social cohesion.
Component 3: Tribal/Ethnic influence, Protocol considerations, Gender/sex
influence, Political influence, Academic achievements are subjective, Examination
leakages undetected.
4.7: Policy guides in Academic Records Management Practices
A multivariate analysis of variance was conducted to assess if there were differences
between institutions with policy and those without policy on internal and external
factors (as shown in table 4.7) influencing the policy formulation. When combined
jointly together on a linear fashion, a significant difference was found.
Pilaf’s trace = 0.138, F (11, 908) = 13.226, ρ = 0.000, and multivariate Ƞ 2 0.138.
An examination of the coefficients for the linear combinations distinguishing the
presence or the absence of policy in an institution indicated that both external and
internal factors contributed significantly to the model. The external variables that
significantly contributed to the model are: Records should be authentic from its
creation; Management; Storage and final disposal; Academic records should be
devoid of any influence; to improve office efficiency; assisting institutions in meeting
legal standards, Policy should aim at supporting all businesses, legal, fiscal, social
and historical activities.
Additionally, the internal issues that contributed significantly to the existence or
absence of records management policy in an institution includes: increasing of

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student’s enrolments; Volume of data being created on daily basis; rampant
academic irregularity; having knowledge about records keeping and management
procedures and Complying with policy directives.
Follow up univariate ANOVA analysis indicated that both internal and external
factors were significantly different for institutions with policy and those without policy
as shown in table 4.7.
The mean scores of those who said there were presence of policy were higher than
the mean scores of those who said that there were policy as shown in table 4.8.
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Table 4.7: Factors that determine institutional Policy Framework for ARKMP
Source Dependent Variables df F Sig. Ƞ2

Records should be authentic from its 1 11.08 0.00* 0.01
creation
Management 1 22.80 0.00* 0.02
Storage and final disposal 1 13.23 0.00* 0.01
Academic records should be devoid 1 77.03 0.00* 0.08
of any influence
To improve office efficiency 1 64.23 0.00* 0.07
Facilitating administrative access to 1 0.00 1.00 0.00
records
Decreasing Operational and 1 0.02 0.88 0.00
administrative cost
Increasing staff productivity 1 0.40 0.53 0.00
Assisting institutions in meeting legal 1 11.08 0.00* 0.01
standards
Policy should aim at supporting all 1 22.80 0.00* 0.02
businesses, legal, fiscal, social and
historical activities
Increasing of students enrolments 1 11.08 0.00* 0.01
Volume of data being created on daily 1 22.80 0.00* 0.02
basis
Rampant academic irregularity 1 13.23 0.00* 0.01
Having knowledge about records 1 77.03 0.00* 0.08
keeping and management procedures
Complying with policy directives 1 64.23 0.00* 0.07
Punishment procedures to be 1 3.23 0.07 0.00
prescribed in the policy directives
Duration for keeping records should 1 0.02 0.89 0.00
be stated
Personnel being part of decision 1 0.01 0.94 0.00
making process for policy formulation
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Table 4.8: Descriptive Statistics
Respondents Policy Status
Policy (n=500) Non Policy (420)
Dependence Outcome Mean Std. Mean Std.
Deviatio Deviatio
n n
Records should be authentic from its 11.7688 3.74007 10.0182 4.40745

creation
Management 11.1584 4.22121 10.3636 4.01093
Storage and final disposal 13.6486 5.03290 12.1636 2.26702
Academic records should be devoid of 11.7642 3.87446 10.1455 1.80963
any influence
To improve office efficiency 15.0393 4.53391 13.0545 3.34120
Facilitating administrative access to 3.7815 1.10539 3.6818 1.21245
records
Decreasing Operational and 3.7538 1.28315 3.7273 1.36700
administrative cost
Increasing staff productivity 3.5572 1.11358 3.6545 1.05792
Assisting institutions in meeting legal 11.7688 3.74007 10.0182 4.40745
standards
Policy should aim at supporting all 11.1584 4.22121 10.3636 4.01093
businesses, legal, fiscal, social and
historical activities
Increasing of students enrolments 11.7688 3.74007 10.0182 4.40745
Volume of data being created on daily 11.1584 4.22121 10.3636 4.01093
basis
Rampant academic irregularity 13.6486 5.03290 11.1636 2.26702
Having knowledge about records keeping 11.7642 3.87446 11.1455 1.80963
and management procedures
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Complying with policy directives 15.0393 4.53391 13.0545 3.34120
Punishment procedures to be prescribed 3.3526 1.25806 3.0364 1.38729
in the policy directives
Duration for keeping records should be 3.6879 1.08639 3.2091 1.01238
stated
Personnel being part of decision making 3.7861 1.22353 3.3000 1.31092
process for policy formulation
Source: Researchers statistical computation 2016
Table 4.9: Institutions Selected for the Study
S/N Institutions
Frequency Percent
1. University of Development Studies 262 21.10
2. Central University college 81 6.52
3. Kumasi Polytechnic 141 5.07
4. Koforidua Nursing and Midwifery 63 11.35
and Training College
5. Methodist university college 10 0.81
6. Accra college of education 36 2.90
7. Valley View university 55 4.43
8. Accra Polytechnic 230 18.52
9. University of Cape Coast 337 27.13
10. Mount Mary college of education 27 2.10
Total 1,242 100.0
. Source: Researcher’s analysis on selection of study participants and the various
institutions selected. The results in the table indicate that public universities and
polytechnics produced the largest number within the sample size. These are true
reflection on the ground. Public universities and Polytechnics in Ghana and
elsewhere are noted for their large number of students populations and as well as
163
employees. The emerging private tertiary institutions particular the private
universities in Ghana are also catching up with the polytechnics and the public
universities terms of numbers of student’s population and staff. The irony of the
situation is that problems surrounding academic records keeping and management
practices are not easily noticed until certain demand arose. Organising students
records for graduation purposes is the period when the inadequacy of records
created are shown. The worst case scenario is the issue of data falsification or
unauthorised alteration of records which have characterised the records keeping and
management practices which this study sought to investigate.
4.8: Technology Challenges associated with Academic Record Keeping &
Management Practices (RKMP)
Multiple Linear regressions were conducted to determine the best linear combination
between technology challenges associated with academic record keeping and
management practices (ARKMP). This combination of the independent variables
insignificantly affect record keeping and management practices at F-statistic of
0.6700 with p equal to 0.7180, with only one variable significantly contributing to the
prediction as shown in table 4.8. That is, there is no a linear combination between
technology challenges in predicting academic record keeping and management
practices (ARKMP).
The beta weights presented in table 4.8 suggest that inadequate record keeping
tools contribute most to predicting technology challenges of ARKMP. The adjusted
R-squared value was 0.0040. This indicates that 0.4% of the variance of technology
164
challenges associated with ARKMP was explained by the model. This according to
Cohen 1988 has no effect. Also Durbin-Watson statistic has shown that there is no
serial correlation among the independent variables.
In conclusion we cannot ignore the null hypothesis that there is no linear combination
between technology usage predicting Academic Record keeping and Management
practices. Further discussions on the entire results and implications are presented in
chapter five of the study.
165
Table 5.0: Research framework linking Research objectives, Questions, research hypothesis, Findings & Implications
Research Research Questions Research Findings (RF) Research Implications

Objective (RO) (RQ)/Hypotheses
(Ho)
RO1: To examine RQ1A: Do tertiary RF1A: Tertiary institutions in RIA1:
internal and external institutions in Ghana Ghana have in place policy Practical Implications: The findings imply that greater
factors influencing have policy frameworks that guide their emphasis should be placed on effective record keeping
formulation of policy frameworks guiding ARKMP. and management practices which hinge on policy
domain guiding their ARKMP? directives in the institution.
academic records -How did the policy - The policy framework evolved Policy Implications: The findings can help institutional
keeping & managing frameworks evolve? differently in the institutions, for policy makers to revise their policy frameworks to make
practices in tertiary example, while the policy them more practicable and realistic. Theoretical
institutions in frameworks were developed by implications: Theoretically, the result of the study
Ghana. the academic boards in some of contribute to adoption of social theories which provide
RQ1B: What are the the institutions, in others the better understanding of the current challenges associated
internal and external policy framework was adopted with ARKMP in tertiary institutions in Ghana.
factors guiding the from some agencies such as the -Practical implications: The findings imply that effective
formulation of ARKMP Teacher Training Council and the records keeping and management practices in the midst of
in tertiary institutions? Ministry of Head (MOH),in challenges in the internal and external environments of an
/Ho: There are no Ghana, etc. institution require formulation of institutional policy
differences between .-There are differences between frameworks that take into consideration the prevailing
institutions that have institutions with policy and those internal and external factors of the environments.
policy frameworks without policy frameworks that Policy implications: The findings can help government
formulated through guide their ARKMP. Agencies (NCTE/NAB), to issue directives that can guide
internal and external RF1B: some of the internal and institutional policy makers and curriculum planners to
factors and those external factors guiding the develop all inclusive policy frameworks and its full
without policy framework formulation of records keeping compliance in the institutions. By this educational policy
and management policies are: makers and managers can instill confidence in the general
absence of institutional policy public that look unto academic institutions to produce
frameworks, increasing students graduates that are of sound minds, well regulated with
enrolments, volume of data moral uprightness, to be crusaders for ethical values and
created on daily basis, rampant also translate these virtues into their working lives and act
academic irregularities. The as patriots for their communities and society in general
165
external factors are: Records
should be authentic from its
creation, during its management,
storage and final disposal,
academic records should be
devoid of any influence to
improve efficiency, assisting
institutions in meeting legal
standards, the policy should aim
at supporting all business, legal,
fiscal, social and historical
activities.
.RO 2: To find out RQ2A: Are the policy The policy frameworks are not Practical Implications: The findings imply that tertiary
social factors that- framework universal? universal, even though the institutions in Ghana do not have uniformed policies
influence academic institutions are operating in the guiding their academic record keeping and management
records keeping and same line of business. practices even though they are all in the same line of
management business. This may also account for the way problems
practices in tertiary affecting ARKMP are handled in any of the institutions
institutions in when occurred.
Ghana. Policy Implications: The findings can help agencies such
as the National Council for tertiary education (NCTE), the
National Accreditation Board (NAB) to direct the
formulation and implementation of common Educational
policies to ensure effective record keeping and
management practices, this would serve as a pointer to
determine wrong practices and also to encourage and
RQ2B: What are the reward good behaviors and attitudinal change among
social factors affecting policy implementers and practitioners in the various tertiary
ARKMP in the tertiary institutions.
institutions? /Ho: Theoretical Implications: The findings contribute to
There are no social institutional theory which postulates that institutions are
factors influencing social structures that have attained a high degree of
students’ academic resilience. They are composed of cultural, cognitive,
achievement (SAA) in normative and regulative elements that together are
166
terms of ARKMP in associated with activities and resources to provide stability
tertiary institutions in and meaning to social life.
Ghana. (Scott, W. Richard 2004)
RF2B: There are no social factors . Implication 2B
that directly influence academic Practical implications: The findings of the study imply
records-keeping and that greater emphasis should be placed on cognitive
management practices in tertiary variables that determine academic achievements in terms
institutions in Ghana. of academic records rather than negative social factors
influencing academic achievement in terms of RKMP in
higher educational institutions in Ghana. Furthermore, this
result however contradicts the earlier claim in some
research findings that such less competitive variables such
as tribal relations, religious affiliations among students and
staff members do influence student academic achievement
in terms of their records either negatively or positively.
Theoretical Implications: Theoretically, the result of this
study contribute to the theory of social context which
delineates agreement on social rights and duties that
people have to interact among themselves or with one
another or with each party whenever they are in groups.
To examine social RQ3: What are the There are social factors Practical Implications: The findings of the study imply
factors that factors that influence influencing academic records that greater emphasis should be placed on reducing
influence students’ students’ academic keeping and management negative social contents among student record managers
academic achievement in the practices. and lecturers which influence academic achievements of
achievement in the context of RKM? / Ho: student especially those that connotes negativity and are
context of ARKMP There are no factors less competitive.
associated with Theoretical Implication: Theoretically, the results of this
ARKMP influencing study contribute to the adoption of positive social capital
quality of educational theory which explains how socio-cultural relationships and
service delivery in other social cohesions (ethnicity, religious affiliations, being
tertiary institutions in members of the same clan and devotees of traditional
Ghana. shrines that exist amongst students, and academic and
administrative stuff that promotes effective learning and
higher performance.
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To assess how RQ4: To what extent From the analysis, the beta Practical Implications: The findings of the study indicate
factors associated do challenges weights presented in tale 4.3 that greater emphasis should be placed on the daily
with ARKMP affect associated with suggest that empathy and functions of record keepers and other stuff members in the
quality of academic ARKMP assurance are the most variables institutions such as lecturers to bear in mind the service
educational service affect quality of predicting quality service delivery. quality principles in other ensure quality service delivery.
delivery in tertiary educational service The study results reject the null
institutions in Ghana delivery? / Ho: There hypothesis that there is no linear Policy implications: The findings can help policy makers
are no challenges combination between customer in academic institutions to be guided by the service quality
associated with tangibles, customer reliability, principles (tangibility, reliability, responsiveness, assurance
ARKMP that affect customer assurance and and empathy)
customer satisfaction customer empathy in predicting
in tertiary institutions’ quality educational service Theoretical Implications: Theoretically, the findings of the
in Ghana. delivery. study support the SERVPEF conceptualization of service
quality with its five dimensions (tangibility, reliability,
responsiveness, assurance and empathy)
To explore how RQ5: To what degree The study results reject the null Practical Implications: The findings imply that greater
challenges do the challenges hypothesis that there is no linear emphasis should be placed on prompt and quick respond
associated with associated with combination between challenges to request made by students, lectures and other
academic records ARKMP affect associated with ARKMP and the stakeholders for information on academic records; for
keeping and customer satisfaction effect in predicting customer example, exam grades, transcripts or letters of
management in the tertiary satisfaction. From the result we attestation. Sometimes such request when made takes two
practices affect institutions in Ghana? thus, conclude that challenges days or more before they are fulfilled which shouldn’t be
customer / Ho: There are associated with ARKMP affect the case. Looking at the current ubiquitous technology
satisfaction in challenges associated customer satisfaction. platform use for data entry and records keeping and
tertiary institutions in with ARKMP that management, service delivery should have been improved
Ghana. affect customer better than what is happening currently.
satisfaction tertiary Policy Implications: The findings can help policy makers
institutions in Ghana. to develop and implement comprehensive policy for
academic records keeping and management practices that
will also direct practitioners in their roles and also guide
people handling issues on malpractices. In many tertiary
institutions in Ghana irregularities pertaining to academic
records are treated as criminal cases due to lack of policy
168
directives or improper policy guidelines on such matters.
Some recommendations provide in the chapter 4 in
discussing the study results are relevant for consideration.
RQ6: What are the The result of the study indicates Practical implications: The result can be used for
technologies that technology application in the improving the provision of educational programmes on
challenges affecting context of this study has no effective maintenance on computers and accessories use
RKMP in tertiary challenge in ARKMP in tertiary in recordkeeping and information management in the
institutions in Ghana? institutions in Ghana. It also institutions. It would also enable practitioners to discriminate
suggests that one cannot ignore in their choice of equipment and devices use in
the null hypothesis that there is administrative educational service delivery in the
no linear combination between institutions. Every department where information and data
technology challenges in are created need adequate records keeping equipment to
predicting ARKMP in tertiary offset the problem of inadequate recordkeeping tools. This
institutions. result would encourage administrative heads to presents
relevant proposals to their employers for release of money
for equipment’s and logistics use in the institutions.
Theoretical implication: Theoretically, this study
contributes to the Socio- technical theory. In the middle of
the 20th century some of the optimistic predictions of the
impact of technology on business efficiency and
productivity were being confounded. Many social science
researchers suggested that what was needed and was a fit
between the technical subsystem and the social
subsystem which together made up an organization. The
technical subsystem comprises the devices, tools and
techniques needed to transform inputs into outputs in a
way which enhances the economic performance of the
organization. The social system comprises the employees
at all levels and knowledge, skills and attitudes, values and
needs they bring to the work environment as well as the
reward system and authority structures that exists in the
organization.(Clegg C.W(2000); Land, F.F,(2000).
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CHAPTER FIVE
Discussion of Study Results and Implications
5.1 Introduction
This study was driven by five main objectives, six research questions and eight
hypotheses thus stating the null (HO) and alternate (Ha) hypotheses concurrently.
The study sought to examine the Technology, procedural and social challenges
associated with Academic records keeping and management practices in tertiary
institutions and the effects on educational service delivery and customer satisfaction.
This chapter is divided into two sections, thus, A&B. The first part discusses the two
sets of results from qualitative data on interviews series in five of the study
institutions and open responses on non-structured research questionnaire items on
internal and external factors influencing policy formulation for Academic records
keeping and management practices in tertiary institutions.
Part A: Discussions of Results Based on Qualitative Data
5.2 Discussion of interview Results on policy domain Guiding Academic
Records keeping and Management Practices (ARKMP)
This is the qualitative results of the study which stands in stark contrast to the
quantitative results according to Creswell (, 20030).
The interview series focused on three main areas thus, whether tertiary institutions in
Ghana have policies that guide their academic records keeping and management
practices, how the policy framework evolved and whether there is any uniformity of
the policy frameworks. The interview was conducted with the view of collecting
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responses in natural settings to compare with responses on open-ended
questionnaires administered in the ten tertiary institutions sampled for the data
collection; in all three sources of data thus interview series (qualitative), open-ended
questionnaires (qualitative), and data from closed-ended questionnaires
(quantitative, which are ordinal data, ratio & nominal data ) that formed the
discussions’ and implications of the results in the study. The selection of the five
institutions for the interview series was by convenience thus, proximity, willingness to
participant and time.
Interview Question one (1 :) Do tertiary institutions in Ghana have in place policies
that guide academic records keeping and management practices?
Accra polytechnic was the first place where the interview began; and responding to
the first interview question, the senior assistant Rector indicates ‘‘that there is no
academic institutions that manage academic records without policy guidelines’’
which Implies that the institution has in place policy that directs their record-keeping
and management practices(RKMP).The principal of the Accra College of Education
responding to the same question also affirmed that colleges of education like any
other tertiary institution have policy that guides their records management. ‘’Our
college has policy for records management which is adopted from the Teacher
Training Council (TTC) in the country. The third and the fourth institutions in which
the interview was conducted are Mount Mary College of Education followed by
Koforidua Mid wifiry and Nursing Training College which are all in the Eastern region
of Ghana, next to the Greater Accra. The administrative heads of the two institutions,
a lady principal for the Nursing Training College and the male counterpart for the
Mount Mary College of Education all indicate that their institutions have in place
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policies which direct their records keeping and management practices (RKMP).In the
Valley View university which was the only private university in Ghana among the
one hundred and thirty-six tertiary institutions at the beginning of this research
project, the response was never different. The Senior Rector/Vice –chancellor as
they call it, states in the affirmative that the university has in place policy that guides
the records officers in their daily activities. This ended the first round of the interview
series at the various institutions not on the same day but on different occasions. The
2nd and the last interview question items were about how the policy framework
evolved or came about and their uniformity.
Interview Question 2: How do the policy framework evolved and
Interview Question 3: Are there any uniformity in the policy frameworks?
The responses by the assistant senior Rector of the Accra poly to the two interview
items indicate that the policy framework was developed by the academic board and
he concluded by saying that Polytechnics in Ghana have no uniformed policy in
managing academic records. Taking their turn on the remaining two interview
question series, all the heads of the four remaining institutions (Accra College of
Education, Mount Mary College of Education, Koforidua Midwifery and Training
College and the Valley View University) in their responses show that the policy
frameworks evolved differently in the various institutions and there are no uniformity
in the policy frameworks.
Discussions and Implications
Interview Question 1: Do tertiary institutions in Ghana have records management
policy in place? The answers provided by the five heads of institutions indicate that
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there are policy guidelines for records management purposes. These results
confirmed the Public Records and Archival Administration Act 1997(Act 535) of
Ghana that gives directives for every organization to have policy for recordkeeping
and management purposes. The responses of research participants on the non-
structured questionnaire items indicated in chapter, table 4.4 also supports the
findings that academic institutions in Ghana have some kind of policy that directs
their records-keeping and management practices despite the challenges that they
face in their various jurisdictions regarding academic records keeping and
management practices(ARKMP)which hinges on institutional policy guides which
also takes leverage from the National policy frame(e.g. PRAAD),see Appendix B,
table 3.2
Practical implications: The findings imply that greater emphasis should be placed on
effective records keeping and management practices which hinges on recourse to
policy directives by all practitioners that is, record-keepers, in such practices that
can safeguard against some of the challenges they face in their work across the
various tertiary institutions in the country.
Policy implications: The findings can help the National Council for Tertiary Education
(NCTE) of Ghana and educational policy makers at the ministerial level to supervise
policy formulation and enforcement across all levels of education in Ghana, all things
being equal.
Interview Question 2: How do the policy frameworks evolve?
Discussion and implications
173
The 2nd interview question was posed so as to ascertain in its natural settings how
institutional policy for records keeping and management practices developed in the
various tertiary institutions in the country. It was shown in chapter 4, that institutional
policy for academic records keeping and management practices in tertiary
institutions in Ghana came about in divers’ forms. For example, during the interview
series in the first and the 3rd institutions interviewed thus, (Accra Polytechnic &
Mount Mary College of Education ),it was revealed that the policy framework was
developed by members of the Academic board, while in the Accra College of
Education, the policy was adopted from the National Teacher Training Council
(NTTC).
Practical implications: The findings imply that institutional policy frame works use in
academic record-keeping and management practices in the tertiary institutions in
Ghana come from both internal and external sources as indicated in the responses
of the interviewees on open-ended questionnaire items. This result is confirmed by
the response on open-ended questionnaire item shown in chapter 4 that there are
both internal and external factors that direct institutional policy formulation for
academic records keeping and management practices in Ghana. Again, the result
implies that lack of uniformity in the policy frameworks and mode of evolvement of
policy frameworks use in the records keeping and management in higher education
in Ghana cannot be left out in finding the root causes of the myriad of challenges
face in records keeping and management practices.
Theoretical implications: Theoretically, the results of this study contribute to the
adoption of other theories besides the traditional records management theories (life-
cycle, records continuum model and principles of proof of originality. (Michael
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Buckland,1998;Donal,Krafft,1994).Social theories in this context may be classified
as allied theories; rather explain the phenomena of social contacts affecting
authenticity of records and lack of uniformity in policy formulation and
implementation. For example, one of such theories includes theory of Deferred
Action. The theory of deferred action according to Patel, NV (20070) is a design and
action theory, meaning that its purpose is to facilitate the design of IT artefacts that
will be used by individuals and organizations to act purposefully or to achieve
organizational goals. It assumes the possibility of bounded rational design of IT
artefacts, including information systems. It recognizes that such artefacts are used in
social systems that are emergent. Since social systems are emergent, rationally
designed IT artefacts need to grow along with emerging social systems. This
growth is enabled by deferred design, the mechanism that build into the IT artefacts
that permit actors, called designers to design artefacts in on-going basis and in
accordance with prevailing circumstances. The effects of emergence on rationally
design are called deferred action. Finally, deferred action is the ability of actors to
shape the IT artefacts in live context.IT artefacts that are rationally designed to cope
with emergent social systems or called general systems.
Interview Question 3: Are the policy framework universal? In chapter 4, it was
established that tertiary institutions in Ghana despite the fact that they are operating
in the same line of business, they never have a common policy framework that
directs their academic records keeping and management practices.
Discussions and implications
The 3rd interview question was asked with the intent of getting direct views of heads
of institutions on whether there is some form of uniformity in policy domain guiding

175
the administrative roles pertaining to academic records keeping and management
practices in the institutions. This was deemed as legitimate question by the
researcher in that, there is a National directives enshrined in the Public Records and
Archival Administration Act,1997(Act 535) which directs records keeping and
management practices but not seemed to be regarded by institutional policy
formulators and implementers and users in their respective jurisdictions of
educational service delivery.
Practical implications: The findings imply that problems of recordskeeping and
management practices arose mostly due to lack of uniformity in the type of policy
framework the institutions apply. This is not an over statement because a uniformed
policy may provide general guidelines across board and with legal framework that
back the enforcement when practices infringe on the best known practices or
acceptable behaviour among institutions and individuals. Furthermore, the lack of
uniqueness of the policies do reflect the fact that commonalities between the
institutions operating in what could be described as common areas of business
operations do influence the type of policy that they adopt or formulate to support their
operations and management of such records.
Policy implications: The findings can help government departments that directs
formulation and implementation of educational policies to intensify their roles in
ensuring that policies design in educational institutions have common reference point
within the sector which can serve as a pointer to determine wrong practices and
also encourage and reward good behaviours and attitudinal change when need be.
Theoretical implication: The findings contribute to Institutional theory which
postulates that institutions are social structures that have attained a higher degree of
176
resilience. They are compose of cultural, cognitive, normative and regulative
elements that, together associated with activities and resources, to provide stability
and meaning to social life. Institutions are transmitted by various types of carriers,
including symbolic systems, relational systems, routines, and artefacts. Institutions
by definition connote stability but are subject to change processes, both
incrementally and discontinuously.(Scott,W.Richard,2004).
Discussion of this result is based on quantitative data on internal and external
factors influencing the formulation of policy domain guiding academic records-
keeping and management practices in tertiary institutions in Ghana. It is an open-
ended response from unstructured survey instruments administered among records
officers and lecturers in the ten tertiary institutions selected across five regions in
Ghana.
Objective 1: The first objective of this study was to examine internal and external
factors guiding the formulation of policy domain in Academic record keeping and
management practices (RKMP) in tertiary institutions in Ghana. Research objective
1 is address in terms of the following research questions;
Research question 1: How did internal and external factors guiding policy domain in
academic RKMP in tertiary institution evolve?
Discussion and Implications
Research question 1: How did internal and external policy domain guiding ARKMP in
tertiary institutions evolve?
Research question 1 is investigated and answered by an alternate hypothesis
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There are differences between institutions with policy and those without policy on
internal and external factors influencing policy formulation in tertiary institutions in
Ghana.
In chapter 4 table 4.7, a multivariate analysis of variance was conducted to asses if
there were differences between institutions with policy and those without policy
formulated through internal and external factors for ARKMP in tertiary in Ghana.
when put together on a linear fashion. A significant difference was found, that is:
Pilais trace = 0.138, F (11,908) = 13.226, P= 000 and multivariate 𝜂2 = 2 0.138.
Again examination of the co-efficient for linear combinations distinguishing the
presence or the absence of policy in institutions indicated that external and internal
factors contributed significantly to the model. The external variables that significantly
contributed to the model are:
Records should be authentic from its creation, management, storage and final
disposal. Academic record should be devoid of any influence, to improve office
efficiency, assisting institutions in meeting legal standards; policy should aim at
supporting all businesses, legal, social and historical activities. Furthermore, the
internal issues that contributed significantly to the existence or absence of records
management policy in an institution includes; increasing students enrolments in the
institution, volume of data being generated on daily basis, rampant academic
irregularities, practitioners having knowledge about records keeping and
management procedures and complying with policy directives. Follow up univariate
ANOVA analysis indicate that both internal and external factors were significantly
difference for institutions with policy and those without policy. The mean scores of
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those who said the presence of policy were higher than the mean scores of those
who said they have no policy as indicated in table 4.6.
The findings of the study rejected the null hypothesis and we are thus able to
conclude that there are difference between institutions with policy and those without
policy on internal and external factors influencing policy formulation and ARKMP in
tertiary institutions. The result of this study supports the earlier views that policy
evolvement in managing academic records in academic institutions must take into
consideration internal and external factors including technological and social
environments (Azameti S. K. and Adjei E 2014),furthermore it also supports the
empirical works of Egwunyega, E. (2005) Utulu (2001) who concluded that adverse
effects of human infractions in records management emanates from improper policy
evolvement and policy formulation and review of existing policies in the face of
inadequacies of the policy frameworks in managing records. This may be an ideal
situation for policy makers in educational institutions who are desirous of solving
problems due to noncompliance with policy directives. However, the results of this
study proved contrary to Nakpodia (2011) that educational policy needs not to have
an institutional planning framework before it could be applied or adopted.
Practical implications: The findings imply that effective management of academic
records in the midst of challenges in internal and external environments of an
institution requires greater consideration for institutional policy directives which were
guided by the internal and external factors the time of the policy formulation.
Policy implications: The findings can help government and administrative heads in
educational institutions responsible for formulation and implementation policy to
develop comprehensive educational policy and ensure its full compliance in the
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institutions. Educational managers and planners can instil confidence in the larger
population who rely on academic institutions to produce graduates of sound mind
and well-regulated with moral and ethical values and translate these virtues in their
working lives and good citizenship behaviours wherever they are.
Part B: Discussions of Study Results based on Quantitative Data.
5.3 Social factors that influence Academic RKMP in Tertiary Institutions
Research Objective 2: The second objective of the study was to find out social
factors that influence Academic RKMP in tertiary institutions in Ghana. Research
objective 2 is addressed in terms of the following research questions:
Research question 2: What are the social factors affecting ARKMP in tertiary
institutions?
Research question 3: What are the RKMP and their effectiveness in tertiary
Discussion and Implication
Research question 2: What are the social factors affecting ARKMP in the tertiary
institutions? Research question 2 was addressed by the null hypothesis that there
are no social factors affecting academic records keeping and management practices.
In chapter 4 table 4.6, Multiple regressions were conducted to determine the best
linear relationship of social factors influencing academic records keeping and
management practices (ARKMP). A factor analysis was done to group factors that
are similar into three components. The factors in each component are listed in the
foot note of table 4.6. This combination of the independent variables does not
180
influence academic records keeping and management practices at F-statistics of
0.101 with P equal to 0.960 with none of the components significantly contributing to
the prediction as noted in table 4.6. That is, there is no linear relationship between
social factors predicting academic records-keeping and management practices
(ARKMP). The adjusted R-square value was 0.023. This indicates that 23% of the
variance of ARKMP was explained by the model. This indicated in the views of
Cohen (1988), has no effect. Also Durbin-Watson statistics as show that there is no
serial correlation among the independent and the dependent variables. Based on the
findings we cannot reject the null hypothesis that there is no linear relationship
between social factors influencing academic records-keeping and management
practices. From the results above it is quite clear that social factors does not directly
influence academic records keeping and management practices (ARKMP) in tertiary
institution in any way in Ghana and thus the alternate hypothesis is rejected.
Practical Implications
The findings of the study imply that greater emphasis should be placed on cognitive
variables that determine academic achievement in terms of academic records
keeping and management rather than negative social factors influencing academic
achievement in terms of RKMP in higher educational institutions. This results
however, contradict the earlier claimed in some research findings that such less
competitive variables (tribal relations, socio-cultural factors, i.e. Whom you know) do
affect, students’ academic achievements in terms of their records both positively
and negatively. (Stevenson & Stiggler, 1992,in Azameti S.K. & Adjei E. 2014)
181
Policy implications: The findings can help educational management and policy
makers to put in place strategies that can regulate unnecessary social contacts
which exist in educational institutions especially among the sedentary staff since
these contacts have the propensity to negatively influence records keeping and
management practices. This is in line with the broad spectrum of Educational Policy
analysis which is a scholarly study in educational leadership and administration that
seeks to answer questions about purpose of education, the objectives that are
societal and personal; that it is designed to attain, the methods for attaining them
and the tools for measuring their success or failure
(htts://en.wikepedia.org/wiki/Eduationpolicy)
Theoretical Implication: Theoretically, the results of this study contribute to the
theory of social contact which delineates agreement on social rights and duties that
people have to interact among them or with each party whenever they are in group
The concept of social contact is a political theory in disguise and arose in the works
of the famous English philosophers Thomas Hobbers (1651), Leviantine, John Locke
(1690) Treatises on Government noted in the Encarta-International Dictionary
(2005:15)
To help improve the credibility of the findings of the study, demographic
characteristics such as gender, educational levels, Age. Marital status and religious
affiliations of respondents were analysed. However, what are of much significant to
the discussion of this study results were the age and the gender variables. There
were slightly more male participants in the study, but we can conclude that the data
and results were gender-balanced. The multi linear regression conducted to
determine the best linear relationship of social factors influencing academic records
182
keeping and management practices, on the statistical significant of gender
differences in knowledge about social factors affecting academic records keeping
and management practices show that gender doesn’t relate to level of knowledge
about social factors influencing keeping and managing academic records in tertiary
institutions. The combination of independent variables doesn’t influence ARKMP at
F-statistic of 0.101 with P equal to 0.960, with none of the components contributing
to the prediction as shown in table 4.6.Again a large percentage of the respondents
had first degree, followed by professional qualifications such as Higher National
Diploma (HND).This made it easier for respondents to have adequate understanding
of the questions posed. Again the respondents consisted of respondents with diverse
opinions. Sixty point two percent (60.2%) of the one thousand, two hundred and forty
–two (1242) respondents were males while thirty –six point nine percent were
females who indicated that there were no significant relationship between social
factors and ARKMP in tertiary institutions in Ghana. This means that the majority of
the respondents being males with their high educational background had in-depth
knowledge about social factors and educational practices and management.
Social Factors that Influence Students’ Academic Achievement (SAA) in the
Context of Academic Records keeping and Management Practices (ARKMP)
Research objective 3: The third (3rd) objective of the study was to examine social
factors that influence students’ academic achievement in the context of RKMP.
Research objective 3; is addressed in terms of research question 3:
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Research question3: what are the factors that influence students’ academic
achievement in the context of RKMP? Research question 3 is investigated and
answered by null hypothesis.
H0: There are no factors influencing students’ academic achievement in the context
of academic records keeping and management practices in tertiary institutions in
Ghana. In chapter 4, table 4.4, Multiple regression was conducted to determine the
best linear combination of social factors influencing students’ academic achievement
in the context of academic records keeping and management practices (ARKMP). A
factor analysis was carried out to group factors that are similar into three (3)
components. This combination of the independent variables significantly influence
students’ academic achievement at F – statistics of 12.659 with P equal to 0.00, with
only two (2) components significantly contributing to the prediction in Chapter 4,
table 4.4. That is, there is a linear combination between social factors in prediction
students’ academic achievement, in academic records keeping and management
practices (ARKMP).
Furthermore, the beta weights stated in table 4.4 suggests that components one and
three contribute most to predicting academic achievement among students. The sign
of the beta (s) were positive, meaning that only six variables significantly contribute
to the prediction shown in Table 4.5, that there is a linear combination between
factors affecting students’ academic achievement in terms of Academic RKMP.
Practical Implication
The findings of the study imply that greater emphasis should be placed on reducing
negative social contacts among students, records managers and lecturers which
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influence academic achievements of students especially those that connotes
negativity and are less competitive.( Azameti S.K. & Adjei, E. 2014, Stevenson &
Stiggler, 1992).
Theoretical Implication
Theoretically, the results of this study contribute to the adoption of positive social
capital theory (Coleman et al 1995) which explains how socio- cultural relationships
and other social cohesions (ethnicity, religious affiliations, being members of the
same & devotees of traditional shrines) that exists among students and academic
and administrative staff that promote effective learning and higher performance
rather than the negative aspect that leads to corrupt practices and associated
malpractices. Social cohesion theories and its research dates back to 1890s when
Gustave Le Bon, a French social scientists examined human beings in crowd
settings or organizational environments and observed how they could be easily
influenced into hypnotic-like state. Following norms of the group many other famous
researchers and social psychologists including sigmund Freud, Ronald Cippitt and
Robbert White continued investigating the phenomenon of group life and how the
atmosphere of group change over time with different leadership styles. Albert
Bandura (1987) in his social learning theory also explained how effective learning
becomes among students when they learn in groups or with peers and with people
that have different learning abilities. The results of this study therefore underscored
the reality of group influence to the extent of its influencing academic achievement
among students in terms of their records which is rather in the negative domain.
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Factors Associated with ARKMP & the Effects on quality of Educational
Service Delivery
Research objective 4: The fourth research objective was necessitated by the
endless debate on customer satisfaction and delivery of services. Two main
constructs seemed to have been the theoretical foundation of the debate but with
divergent views on their efficacy. Thus, PZB (1994) presents a critique of the
performance-based measure of service quality (SERVPERF), identified by Cronin
and Taylor (1992). In their critique PZB (1994) involved the appropriateness of the
perceptions-expectations gap conceptualization, which is the basis of SERVQUAL
scale. PZB (1994) states that their focus group captured not only the attributes of
service quality, but also the underlying psychological process by which consumers
form service quality judgments. Essentially on the basis of their focus group findings,
PZB (1985), (1988) concluded that service quality judgment comprises of five
underlying attributes that consumers evaluate on the basis of the expectancy
disconfirmation paradigm (Oliver, 1980). The responses of these researchers took
into considerations the concerns raised by PZB (1994) about the relative efficacy of
the performance-based and perceptions-minus-expectations measures of service
quality. They demonstrated that the major concerns echoed by earlier researchers
are supported neither by a critical review of their discussion nor emerging literature.
To extend the debate beyond the conceptualization issues on the SERVPERF
model or measuring scale and the critique against the SERVQUAL. Indirectly, this
186
study sought to link the debate to the educational service sector which has long
been left out in the debate. This is in order to find out its reliability and replicability in
educational service enterprises sector not only in Ghana but across the globe.
Educational workers are service providers which imply that the quality of the services
in this sector can be measured either under the SERVPERF/SERVQULA MODEL.
The research objective 4 was analysed in terms of a research question 4.
Research question 4: To what extent do factors associated with ARKMP affect
quality of educational service delivery? In chapter 4, table 4.3 Multiple, regressions
were conducted to determine the best linear combination of customer tangibles,
customer reliability, customer assurance and customer empathy for predicting quality
educational service delivery in academic record keeping and management practices
(ARKMP). This combination of the independent variables significantly predicted
quality educational service delivery at F- statistic of 110.78 with P=0.000, with only
three variables significantly contributing to the prediction as shown in table 4.3. that
there is a linear combination between customer tangibles, customer reliability,
customer assurance and customer tangibles, customer reliability, customer
Assurance and Customer empathy in predicting quality educational service delivery
on ARKMP. From the analyses the beta weights presented in table 4.3 Suggest that
empathy and Assurance are the most variables predicting quality service delivery.
The adjusted R-squared value was 0.28. This shows that 28% of the variance of
quality educational service delivery in ARKMP was explained by the model, this
according to Cohen (1988) is insignificant or with small effect. Besides, Durbin-
Watson statistic has shown that there is no serial correlation among the independent
variables. This study result rejects the null hypotheses that there is no linear
187
combination between customer tangibles, customer Reliability, customer Assurance
and customer Empathy in predicting quality educational service delivery. With the
above analysis, it is clear that under the SERVPERF model, customer Tangibles,
customer Reliability, Assurance, Responsiveness and Empathy have contributed to
quality educational service delivery in ARKMP.
Practical Implications: The final domain of the service quality conceptualization
(Assurance Responsiveness, Reliability, Tangibility and Empathy) leading to
customer satisfaction are equally applicable to analysis on services to internal and
external stakeholders in educational institutions who are also customers in their
respective jurisdictions. Practical experience has shown that time and again
practitioners such as records keepers and lecturers in educational institutions .They
scarcely see their roles as services to their respective institutions and the people
they deal with in and out of the institutions in order to ensure how to satisfy these
customers through the quality of their services. The findings of this study indicate
that greater emphasis should be placed on the daily functions of record keepers and
managers and as well lecturers to bear in mind service quality principles. The issues
of customer satisfaction in our educational service sector depends to a large extent
on respecting the service construct in the domain listed here (Assurance, reliability,
responsiveness, tangibility and Empathy). Poor service delivery has been noted in
the way services such as issuing transcripts, letters of attestation, certificates of
completion, degrees and correcting wrong entry of exam scores and other relevant
data on students’ academic records and how such request are handled do not
promote delivery of quality services and customer satisfaction.(PZB ,1994,
Mangold,19920).
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Policy implications: The findings can help policy makers in academic institutions to
be guided by the service quality principles in their future assignments such as
ensuring that their institutions have modern equipment and physical facilities,
records keepers neatly dressed, materials associated with their services are virtually
appealing(Tangibility),Recordkeepers fulfilling their promises at the time indicated,
Recordkeepers showing ken interest in solving problems, performing services on
record time and ensuring error free services delivery (Reliability),record keepers
telling service consumers the exact time service will be performed, giving prompt
services, Recordkeepers always willing to assist their customers, records keepers
not seemed to be too busy to respond to request made by their service consumers
and Recordkeepers give prompt service to external request made on their behalf
(Responsiveness), Recordkeepers behaviour instils confidence in service
consumers, customers feeling safe dealing with Recordkeepers, Recordkeepers are
courteous with their service consumers, Recordkeepers have the knowledge to
answer all questions pose by service consumers and Recordkeepers assures
customers of confidentiality of record-keeping and management practices
(Assurance) and lastly, Records keepers giving individual attention, institution
operating hours convenient to customers, record keepers care for all customers’
needs, record keepers have customer interest at heart and record keepers
understand customers’ specific needs (Empathy)
Theoretical Implications: Theoretically, the findings of the study support the
SERVQUAL conceptualization of service quality with its five dimensions (tangibility,
reliability, responsiveness, assurance and empathy).This results is in line with
Ravichandera et al (2010) who added three additional extra variables to the original
189
five SERVQUAL scale. These included service charges by the bank in India where
the study was conducted. There were several interesting conclusions and results
implications drawn from the results. I t was discovered that one of the primary cause
of service quality design failure is the lack of understanding of the evolving need and
preferences of targeted customers (Bateson, 1990).Theoretically this revelations
imply that in the Ghanaian situation the five service measuring scale could go
beyond the five scale under the SERVQUAL model if the variable of investigation are
extended in line with internal factors which affect service quality in record-keeping
and management practices.
5.4 Challenges Associated with ARKMP and Effects on Customer
Satisfaction
Research objective 5: To explore how challenges associated with ARKMP affect
customer satisfaction. The fifth (5) objective was addressed in terms of Research
Question 5 and research question 6.
Research Question 5: To what degree do challenges associated with Academic
Recordkeeping and management practices (ARKMP) affect customer satisfaction?
Discussion and Implication
190
Research Question5: To what degree do challenges associated with ARKMP affect
customer satisfaction? The research question is answered by these findings of the
study. In chapter 4 table 4.3 multiple regression was carried out to determine the
best linear combination of challenges such as incorrect data capturing, poor security
and confidential control, inadequate staff, lack of records manual filling guides, too
much interference by superiors, obsolete equipment and tools and low moral due to
poor remuneration, all affecting customer satisfaction in academic recordkeeping
and management practices (ARKMP) in tertiary institutions. This combination of the
independent variables significantly predicted the effect on customer satisfaction at F
statistics of 130.60, that there is a linear combination between challenges and the
effects predicting customer satisfaction in ARKMP. The beta weights presented in
table 4.3 suggest that incorrect data capturing, poor security and confidential control,
inadequate recordkeeping staff, lack of record manuals filling guides, too much
interference by superiors and low moral due to poor remuneration contributes most
to predicting customer satisfaction. The sign of the beta weights indicate that
challenges associated with ARKMP negatively affect customer satisfaction,
indicating that whenever these challenges increase in records-keeping and
management practices in the institution, customer satisfaction drops. Statistically, the
adjusted R-square value was 0.46. This indicates that 46% of the variance of
customer satisfaction in ARKMP was explained by the model. This according to
Cohen (1988) has a reasonable effect. Again, Durbin-Watson statistic has shown
that there is no serial correlation among the independent variables. In the final, the
study results reject the null hypothesis that there is no linear combination between
challenges associated with ARKMP and the effect in predicting customer
satisfaction. From the result we thus, conclude that challenges associated with
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ARKMP affect customer satisfaction. The results support the works of Fogarty G.
Gatts R. & Forlin (2000) in their study identifying the shortcomings in the
measurements of service quality in the SERVQUAL conceptualization domain.
Despite the fact that the concept of service quality is not universally understood and
is often used as generic term to cover a range of impressions gathered by customers
when dealing with vendors; it is relevant to apply this to educational service sector.
This is against the backdrop that delivery of services in educational institutions are
plagued with abnormal delay and sluggishness among office staff and some
lecturers on several occasions, (Reliability, Responsiveness), lack of conducive
office environment (Tangibility) and insensitive to the plight of customers (Empathy)
(PZB, 1994; Cronin & Taylor 1992)
The findings imply that greater emphasis should be placed on prompt and quick
respond to request made by students, lectures and other stakeholders for
information on academic records; for example, exam grades, transcripts or letters
of attestation. Sometimes such request when made takes two days or more before
they are fulfilled which shouldn’t be the case. Looking at the current ubiquitous
technology platform use for data entry and records keeping and management,
service delivery should have been improved better than what is happening currently.
When adequate and authentic records are kept and are properly managed for easy
accessibility, one does not need a whole day or more to fetch or provide any
information or data when requests are made at any point in time.
Policy Implications
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The findings can help policy makers to develop and implement comprehensive policy
for academic records keeping and management practices that will also direct
practitioners in their roles and also guide people handling issues on malpractices. In
many tertiary institutions in Ghana irregularities pertaining to academic records are
treated as criminal cases due to lack of policy directives or improper policy
guidelines on such matters. Some recommendations provide in the chapter 4 in
5.5 Technology Challenges Associated With ARKMP
Research Objective 5 was also investigated in terms of Research question 6
Research question 6: What are the Technology challenges affecting ARKMP in
tertiary institution?
Discussions and implications
In 4th Chapter, table 4.5, multiple regressions were conducted to determine the best
linear combination of technology challenges associated with ARKMP. This
combination of the independent variables insignificantly affect records keeping and
management practice at F statistics of 0.6700 with P equal to 0.7180, with only one
variable significantly contributing to prediction in table 4.8. That is there is no linear
combination between technology challenges in predicting ARKMP. The beta weights
presented in table 4.8 suggests that inadequate recordkeeping tools contribute most
to predicting ARKMP. The adjusted R-square value was 0.0040. This indicates that
0.4% of the variance of technology associated with ARKMP was explained by the
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model. This according to Cohen (1988) has no effect. Also the Durbin-Watson-
statistics has shown that there is no serial correlation among the independent
variables (i.e. ARKMP). In conclusion, the study result suggests that one cannot
ignore the null hypothesis that there is no linear combination between technology
challenges in predicting ARKMP in tertiary institutions. The findings in this section of
the study supports the views of (Badu-Nyarko, 2012; Ocra 2012) and Mazikamnah
(1998) that research problems and variables are mere assumptions and the reality of
the assumptions can only be ascertained after careful analysis to generate further
discussion and conclusions drawn by the researcher.
The result in reality implies that emphasis should be placed on inadequate
recordkeeping tools such as new computers and other accessories which pose the
greater technology challenges to active records storage and management. Cases in
point have it that, there were many instances when students who knowing pretty
sure that they performed poorly in a particular examination paper, try to have access
to their scripts and either take them away and find ways of getting fresh exam
booklet to enable them rewrite the questions answers and pay some good amount of
money to teaching assistants and sometimes records keepers to replace their old
scripts.
Even though the weight of this variable may seem insignificant when analysing it
from statistical point of view, in reality it is a huge challenge in many academic
institutions where many records in the offices of heads of departments and offices of
assistant academic registrars are largely in paper form which make them vulnerable
to students and some disgruntled elements in academic environments all due to

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inadequate records-keeping tools. Others variables listed in the pool of technology
challenges such as little or no knowledge on recordkeeping & ICT, incorrect data
capturing, proper classification of data among others are insignificant when
enumerating technology challenges in ARKMP as shown in this result but many
disrupt smooth administrative works in the institutions.
Policy Implication
The finding can help educational institutions and policy makers develop and
implement uniform policies that will promote the application of ICT tools to guide
effective and error free records-keeping and management systems. For now there
seems to be different approaches to what type of polices institutions apply in keeping
and managing Academic records despite the fact that they are all in the same line of
business operations.
Theoretical Implications
Theoretically, this study contributes to the adoption of the General systems theory
and Adaptive Structuration theory. Ludwig Van Bertalanffy, (1956) proposed system
theory and further developed by Ross Ashby (1989) focuses on the arrangement of
and relationship between parts which connect them into a whole, providing a basis
for their unification. Educational institutions are systems with interrelated parts and
what affect one parts equally affect other parts. The Adaptive Structuration theory is
also based on Anthony Giddens. Adaptive Structuration theory. This theory is
formulated as “the production and reproduction of the social systems through
member’s use of rules and resources in interaction. The adaptive structuration theory
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criticizes the techno centric view of technology uses and emphasizes the social
aspects of technology among groups and organizations using information technology
and how it can be applied to their activities a social realms.
5.6 Technology Challenges associated with Records keeping and
Management practices
The 5th research objective was also analysed in term of the 6th Research question of
the study. Research question 6: what are the Technology challenges affecting
ARKMP in Tertiary Institutions. Discussions and Implications
Research question 6.:What are the technology challenges affecting academic
records keeping and management practices in tertiary institutions?
This research question is answered by the finding of the study. In chapter 4, table
4.8 multiple regressions were conducted to determine the best linear combination of
technology challenges associated with academic record-keeping and management
practices (ARMP). This combination of the independent variables insignificantly
affect records keeping and management practices at F-statistic of 0.6700 with to
0.718, with only one variables significantly contributing to the prediction as shown in
table 4.8. That there is no linear combination between technology challenges in
predicting academic record-keeping and management practices (ARKMP).
The beta weights presented in table 4.8 suggests that inadequate recordkeeping
tools contributes most to predicting of technology challenges associated with
ARKMP. The adjusted R-squared value was 0.0040. This indicates that 0.4% of the
variance of Technology usage influence challenges associated with ARKMP and
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was explained by the model. According to Cohen (1988), technology application
pose no challenges to ARKMP as was predicted in the model Furthermore Durbin-
Watson statistic has shown that there is no serial correlation among the
independent variables.
In conclusion, the study results reject the null hypotheses we can thus conclude that
there is no linear combination between technology usage predicting challenges
associated with ARKMP.
Practical implications: The result can be used for improving the provision of
educational programmes on effective maintenance on computers and accessories
use in record-keeping and information management in the institutions. It would also
enable practitioners to discriminate in their choice of equipment and devices use in
administrative educational service delivery in the institutions. It implies that every
department in which information and records are created need adequate records
keeping equipment to offset the problem of inadequacy in record-keeping tools. This
result would encourage administrative heads to presents relevant proposals to their
employers for release of money for equipment and logistics use in the institutions.
Theoretical implication: Theoretically, this study contributes to the Socio- technical
theory. In the middle of the 20th century some of the optimistic predictions of the
impact of technology on business efficiency and productivity were being confounded.
Many social science researchers suggested that what was needed and was a fit
between the technical subsystem and the social subsystem which together made up
an organisation. The technical subsystem comprises the devices, tools and
techniques needed to transform inputs into outputs in a way which enhances the
economic performance of the organization. The social system comprises the

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employees at all levels and knowledge, skills and attitudes, values and needs they
bring to the work environment as well as the reward system and authority structures
that exists in the organization.(Clegg, C.W (2000);Land, F.F,(2000).
5.7 Summary of Main Finding of the Study Results based on both
Qualitative and Quantitative Data
The related gaps in knowledge identified in the literature have been filled by the
study as follows: Tertiary institutions in Ghana lack uniform policy frameworks for
recordkeeping and management practices, despite they are operating in the same
line of business Furthermore, institutional policy formulation should take into
considerations the internal and external factors to make it practicable and supportive
by all stake holders. Academic records keeping and management practices in
tertiary institutions are influenced by social factor such tribal relations, religious
cohesions and others which lead to free will alteration of records for some obvious
reasons has been denounced partly that there were direct relationship between
records keeping and management practices and social factors. The study results
indicated students’ academic achievements are rather influenced by the social
variables of the study. We can thus conclude that with significant relationship
between student academic achievement and academic records, there is relationship
between social factors and ARKMP in tertiary institutions in Ghana since there are
no water-tight compartments differences among these variables in the field of
practice. Studies have shown that measuring service quality was done in marketing
firms including the transport service sector in some of the least developed countries
such Bangledish,Indian and Pakistan in recent times but not in the educational
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sector. Educational practitioners are equally providing services, this implies that the
measuring service quality should be extended to educational institutions as well,
where lack of Empathy for internal and external stakeholders affect quality of
educational service delivery and customer dissatisfaction as result of poor quality
of service .Under the SERVQUAL conceptualizations thus- Tangibility ,Reliability,
Responsiveness, Assurance and Empathy, results of the study have found critical
relations between students’ academic achievements and social factors such as
ethnic relations and academic record-keeping and management practices .Again
lack of adequate recordkeeping and management equipment also pose the most
technology challenges face in records keeping practices in tertiary institutions in
Ghana. These revelations underscore the importance of extending the debate on
service quality to educational service sector with the resultant nomenclature and
epistemological out growth. This can be classified as socio-cognitive psychology,
being the ontological domain of the study. The socio-cognitive psychology which is
the derived ontological domain of the study has ethical, theoretical policy and
practical implications however; we present only the ethical and practical
implications. Ethical principles are real unchanging self-evident, self -validating,
external, eternal and universal human values. There are several ethical values in
place, only two are stated here thus, professionalism, your responsibility to be faithful
to policy and law abidingness, that is equity of treatment among employees. The
ethical implication of this study is that records keeping and management
practitioners should consider ethical principles in their professional conduct and the
practical implication is that it has been able to confirm the theories that underpinned
the study.
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CHAPTER SIX
Summary, Conclusion, And Recommendation
6.1 Introduction
Records keeping and management practices seek to efficiently and systematically
control the life-cycle of records that are routinely generated as a result of activities
and transactions. Records are therefore important assets in ensuring that institutions
are governed effectively and efficiently and is accountable to its students, staff and
the community that it serves. Records support decision making, organize
documents, provide evidence of policies, decision, transactions and activities and
support the institutions in cases of litigation. There have been many instances in
several tertiary institutions whereby records on students’ academic information were
reported missing, inadequate and inaccurate. Besides rampant alteration of students
record and natural exam scores and grades have been reported falsified. These
coupled with the intricacies of technology platform for records keeping and
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Management in the midst of virile social contacts, one cannot guarantee authenticity
and trust worthiness of records management systems in our educational institutions.
Unfortunately, empirical studies into the challenges of records management in
academic institutions have produced inconclusive results particularly leaving out the
social challenges, the intricacies of technology application and the procedural
lapses. This study, therefore sought to find out the realities of the technology
challenges, the social and procedural challenges and their effects on quality
educational service delivery in tertiary institutions, especially in Ghana where there
has been exponential increase in private participation in the provision of tertiary
education and students patronage. The problems of records keeping and
management practices have been compounded. This study investigated factors that
influence policy formulation, whether or not the institutions do have uniformed
records management policies in place that direct their practices. Again this study
sought the views of record keepers and lecturers on the extent to which social
factors influence students’ academic achievement in terms of Academic
Recordkeeping and management practices (ARKMP) in tertiary institutions in Ghana.
This is the revise statement of malpractices where students influence record officers
and lecturers who keep their academic information for onward transfer to the
academic registry, or even at the academic data base of the institutions, have them
changed illegally.
In the rest of this chapter, summary of the main findings are presented. Next, the
theoretical implication, practical implications and policy implications of the main
findings are provided. Due to the fact that primary data was obtained through
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convenience and purposive sampling methods as explained in the 3rd chapter of the
study, we conclude that the result of the study are not generalized beyond the views
of respondents who took part in the research.
Finally, some recommendations for policy decisions and further studies are given.
6.2 Summary of the Main Findings of the Research
The dominant factors and motivation for this study were outlined in the first chapter.
Due to the on-going debate on service quality and customer satisfaction which was
mostly cantered on marketing firms and other service or it become imperative to
investigate the issues further in academic institutions where services are provided
and to state whether educational services and the satisfaction derived could be
measured under the service quality construct particularly with reference to the
SEVQUAL concept. (Assurance, Empathy, Tangibility, Responsiveness and
Reliability). This is also to take into consideration country specific problems in the
context of quality service delivery with special focus on academic recordkeeping and
management practices. The main purpose of this study was to examine how
challenges such as Technology applications for recordkeeping and management,
procedural challenges in recordkeeping and unregulated social contacts affect
effective records keeping and management and customer satisfaction in our
educational enterprise.
Chapter two examined the theoretical and empirical literature on the records
management and social factors which influence human behaviours and attitudes
both negatively and positive. The methods used by past researches in the study are
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(records management) and the gaps established in literature and how they are filled.
The literature reviewed generally showed that many academic institutions lack
uniform policy that guide their records keeping and management practices. Records
officers and academic staff never consider their service consumers as customers
and for that matter quality service delivery principles are not applied in their works in
various jurisdictions. Most studies in record-keeping and management in high
educational institutions reported on mission records policy lapses, increasing volume
of data and increasing student’s enrolment (Nakpodia, 2011, Egwunyenga, E. 2005,
Fassasi 2007).
Chapter three discussed the methods and variables used for the study, the research
design and formatting, the type of data, and the area of study as well as the reasons
for choice of methods and variables employed for the analysis. This chapter makes
use of mixed methodology because of the use of qualitative and quantitative data
generated from two primary sources for the analysis. A multivariate analysis of
variance was conducted to assess if there were differences between institutions with
policy and those without policy on internal and external factors influencing the policy
formulation. A follow up univariate (ANOVA) analysis indicated that both internal and
external factors were significantly different for institutions with policy and those who
said the presence of policy were higher than the mean scores of those who have no
policy as shown in tables 4.8
A quantitative data was sued for multiple regression analysis based on social factors
that influence academic record-keeping and management practices. However,
because the variables were many, a factor analysis was done to group factors that
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are similar into three (3) components. The factors in each component are listed in
table 4.6. This combination of the independent variables does not influence
academic records keeping and management practices. With name of the
components significantly contributing to prediction shown in table 4.6 it is proved that
there is not linear relationship between social factors in predicting Academic Records
keeping and management practices (ARKMP) In conclusion, we cannot reject the
null hypothesis that there are no linear relationships between social factors
influencing ARKMP.
6.3 Factors of ARKMP that Affect Educational Service Delivery
Table 4.3: A multi linear regression were conducted to determine the best liner
combination of customer Tangibles, customer reliability, customer Assurance and
customer Empathy for predicting quality Educational Service delivery in academic
record keeping and management practices (ARKMP). This combination of the
independent variables significantly predicted quality educational service delivery at
F-statistic of 110.78 with P=0.000, with only three variables significantly contributing
to the prediction as show in table 4.3. That is there is a linear combination between
customer tangibles, customer reliability, customer Assurance and customer Empathy
predicting quality educational service delivery in ARKMP. The beta weights
presented in table 4.3 suggest that Empathy and Assurance contribute must to
predicting quality service delivery. The adjusted R-square value was 0.28. This
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indicates that 28% of the variance of quality educational service delivery in ARKMP
was explained by the model. In conclusion the study result rejects the null hypothesis
that there is no linear combination between customer tangibles, customer reliability,
customer Assurance and customer Empathy in predicting quality Educational
Service delivery.
Table 4.8 Technology challenges Associated with Academic Record-keeping and
management practices (ARKMP). A multi regression were conducted to determine
the best linear combination between Technology challenges associated with
academic records keeping and management practices (ARKMP) in tertiary
institutions. This combination of the independent variables insignificantly affect
recordkeeping and management practices at F-statistic of 0.6700 with P equal to
0.7180 with only one variable significantly contributing to the prediction shown in
table 4.8 that is, there is no linear combination between technology challenges in
predicting ARKMP. The beta weights presented in table 4.8 suggested that
inadequate record-keeping tools contribute most to predicting technology changes
associated with ARKMP. The adjusted R-square value was 0.0040. This indicates
that 0.4% of the variance of Technology challenges associated with ARKM was
explained by the model.
In conclusion the study result rejects the null hypothesis that there is no linear
combination between technology usage predicting ARKMP. Chapter four presented
the analysis and result of the study chapter five relates the results of the study to
existing theoretical and empirical works and practical and policy implications. The
study established positive significant differences between institutions with policy

205
framework emanated from internal and external factors and those without policy for
ARKMP. The ANOVA test conducted indicates that both internal and external factors
were significantly different for institutions with policy and those without policies as
shown in table 4.7. The mean scores of those who said the presence of policy were
higher than the mean scores of those who said there were policies as indicated in
table 4.8.
Having established enough evidence about intuitions with policy with internal and
external factors and those with policy have differences, we investigated. Social
factors that influence RKMP in tertiary institutions using multi regressions, the
adjusted R-square value were 0.023; this indicates that 2.3% of the variance of the
ARKMP was explained by the model. This according to Cohen (1988) has no effect.
Again Durbin-Watson statistic as shown in table 4.0, there is no serial correlation
Also, we found that there was positive correlation between ARKM challenges and
customer satisfaction. The combination of the independent variable s significantly
predicted the effect of customer satisfaction at F-statistic of 13060 with P equal to
0.000 with only six of the variables significantly contributing to the prediction as
shown in table 4.5. That is, there is a linear combination between procedural
challenges and the effect in predicting customer satisfaction in ARKMP. Further
results in chapter 4 table 4.4 present social factors that influence student’s Academic
Achievement in terms of ARKMP. The combination of the independent variables
significantly influence SAA at F-statistics of 126.659 with P equal to 0.000, with only
two components of the independent variables significantly contributing to the

206
prediction shown in table 4.4. That is there is a linear combination between social
factors predicting SAA in ARKMP. The beta weights presented in table 4.4 suggest
that only components one and three of the independent variables contribute most to
the predication of SAA. The sigh of the betas were positive meaning that SAA
improves when these social factors increase. The adjusted R-square value was 0.23.
This indicates that 23% of the variance of SAA in ARKMP was explained by the
model. This according to Cohen (1988) is a small effect. Also Durbin-Watson statistic
as shown in table 4.4, there is no serial correlation among the dependent and
independent variables. The study result rejects the null hypothesis that there are no
linear relationships between social factors influencing students’ Academic
Achievement (SAA). Among the social factors I the context of this study, are
undetected examination malpractices, bias in marking exam scripts, influence of
hallo-effects, lowering of standards of assessment for moral reasons, sexual
advances etc. Second component invigilators aiding students during exams good
handwriting, undetected falsification of exam results, falsification for grades, religious
influence.
6.4 Implications of the Research Findings Based on Qualitative Data PART
A&B
6.4.1 PART A
The implications of this study based on qualitative and quantitative data are grouped
into three. Thus, practical –Implications, theoretical implications and implications for
policy based on each question item.
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6.4.2 Practical Implications of the study
The results of this imply that educational administrators such as the registrars and
pro-vice chancellors should enforce effective records keeping and management
practices. These practices should be backed by policy directives by all practitioners
which can ensure authenticity and credibility of records systems in the institutions.
Policy Implications: The findings of this study can help the National council for
Tertiary Education (NCTE) and other Educational Policy makers at the ministerial
level in Ghana to supervise policy formulation and its enforcement across all levels
of education in Ghana, all things being equal.
Practical Implications: The findings imply that institutional policy frameworks that are
used to direct academic recordkeeping and management practices in tertiary
institutions in Ghana and elsewhere should come from both Internal and external
sources as indicated in the open responses of interviewees on open-ended
questionnaire items. This result is confirmed by the responses on closed-ended
questionnaire item mentioned in Chapter four, that there are both internal and
external factors that direct institutional policy formulation for ARKMP.
Theoretical Implication: theoretically, the results of this study contribute to the
adoption of other theories besides the traditional records management theories such
as (Life-cycle, the records continuum model and proof of originality) which do not
provide deeper explanation of challenges associated with recordskeeping and
management practices. (Michael Buckland 1998, Donald Krafft, 1994) social theories
in this context may be classified as allied theories, rather explain the phenomena of
social contacts affecting authenticity of records and lack of uniformity in policy
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formulation and implementation. For example, one of such social theories include
theory of Differed Action indicated in chapter five of this report.
Practical Implications: The findings of the study imply that problems of ARKMP in
tertiary institutions in Ghana arose mostly due to lack of uniformity in the type of
policy framework that are applied in the institutions. This is not an over statement
because a uniform policy framework may provide general guidelines across board
and with legal framework that back the enforcement when practices infringe on the
best known practices or acceptable behaviours among institutions and individuals.
Policy Implications: The findings of the study can help governmental departments
that direct he formulation and implementation of educational policies to intensify their
roles in ensuring that policies design in educational institution have common
reference point within the sector which can also serve as a pointer to determine
wrong practices and also reward good behaviours and attitudinal change among
practitioners when the need arises.
Theoretical Implications: The findings of this study contribute to institutional theory
which postulates that institutions are social structures that have attained a high
degree of resilience. They are composed of cultural, cognitive normative and
regulative elements that together are associated with activities and resources to
provide stability and meaning to social life. In the context of this study the institutional
theory helps in understanding the phenomena of social contact in organizations
which are unavoidable but needs to be resolved depending on existing systems
structure based on cognitive and normative elements.
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Practical Implications: The findings of this study on qualitative data from open
responses of research participants implies that effective management of academic
records in the midst of challenges in the internal and external environments of an
institution requires greater consideration for institutional policy directives guided by
the internal and external factors at the time of the policy formulation.
Policy implication: The findings can help government and administrative heads in
educational institutions responsible for formulation and implementation policy to
developed comprehensive educational policy and ensure its full compliance in the
institution. Educational managers and planers can instil confidence in the larger
population who rely on academic institution who to produce graduates of sound mind
and well regulated with moral and ethical values and translate these virtues in their
working lines and good citizenship behaviours where they are.
PART B
6.4.3 Study Implications Based On Quantitative Data Analysis
The findings of the study imply that greater emphasis on cognitive variables that
determines academic achievement in terms of academic records rather than
negative social factors influencing academic achievement in terms of RKMP in
higher educational institutions in Ghana. This however, contradicts the earlier claim
in some research findings that such less competitive variables (tribal relations, socio-
cultural factors, i.e. whom you know) do affect, students’ academic achievements in
terms of their records both positively and negatively. (Stephen & Stiggle, 1992,
Azameti S.K. & Adjei E. 2014).
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The findings can help educational management and policy makers to put in place
strategies that can regulate unnecessary social contacts which exist in educational
institution especially among the sedentary staff since these contacts have the
propensity to negative influence records keeping and management practices. This is
the line with the broad spectrum of Educational Policy analysis which is scholarly
study in educational leadership and administration that seeks to answer questions
about purpose of education, the objectives that are societal and personal, that it is
designed to attain, the methods for attaining them and the tools for measuring their
success or failure (http://en.wikipedia.org/wiki/Educationalpolicy)
Theoretical Implication: theoretically, the result of this study contribute to the theory
of social contact which delineates agreement on social rights and duties, that people
have to interact among themselves or with each party whenever they are in group.
The concept of social contact is a political theory in disguise and arose in the works
of the famous English philosopher. Thomas flobbers (1651). Levianttine, John Locke
(1690) Treatise on Government.
Practical Implications: The findings of the study imply that greater emphasis should
be placed on the reducing negative social contacts among students, record
managers and lecturers which influence academic achievements of students
especially those that connotes negatively and are less competitive (Azameti S.I. &
Adjei. E. 2014, Stephen and Stiggler, 1992).
Theoretical Implication: Theoretically, the results of this study contribute to the
adoption of positive social capital theory (Coleman et al 1995) which explains how
socio-cultural relationships and other cohesions (Ethnicity, religious affiliations, being

211
members of the same & & devotees of traditional shrines) that exists among
students and academic and administrative staff that promote effective learning and
higher performances rather than the negative aspect that leads to corrupt practices
and associated malpractices. Social cohesion theories and its research dates back
up to 1890’s when Gustave Le Bon, French Social scientists examined human being
in crowd settings or organizational environments and observed how they could be
easily influenced into hypothetic-like state. Following norms of the group many other
famous researchers- Cippitt and Robbert White Continued investigating the
phenomenon of group life and how the atmosphere of group change over time with
different leadership styles. Albert Bandura (1987) in his social learning theory also
explained how effective learning becomes among students when they learn in
groups or with peers and with people that have different abilities. The results of this
study therefore underscore the reality of group influences to the extent of its
influencing academic achievement among students in terms of their records which is
rather than in the negative domain.
Practical Implications: The final domains of the service quality conceptualization
(Assurance Responsiveness, Reliability, Tangibility and Empathy) loading to
customer satisfaction are equally applicable to analysis on services to internal and
external stakeholders in educational institutions who are also customers in their
respective jurisdictions. Practical experience has shown that time and again
practitioners such as records keepers and lecturers in educational institutions
scarcely see their roles as service to their to their respective institutions and the
people they deal within he out of the institutions in order to ensure how to satisfy
these customers through the quality of their vices. The finding of this study indicates
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that greater emphasis should be placed on the daily functions of record keepers and
manages and as well as lecturers to bear in mind service quality principles. The
issue of customer satisfaction in our educational series sector depends to a large
extent on respecting the service construct in the domain listed here (Assurance,
reliability, responsiveness, tangibility and Empathy). Poor service delivery has been
noted in the way series such as issuing transcripts, letters of attestation, certificates
of completion, degrees and correcting wrong entry on exams scores and other
relevant data on students’ academic records and how such request are handled do
not promote quality service delivery and customer satisfaction.
Policy Implications: The findings can help policy makers in academic institutions to
be guided by the service quality principals in their future assignments such as
ensuring that their institutions have modern equipment’s and physical facilities,
records keepers neatly dressed, materials associated with their services are virtually
appealing (Tangibility), Record-keepers fulfilling their promises at the time indicated,
records keepers showing keen interest in solving problems, performing series on
record time and ensuring error-free service deliveries (Reliability), record-keepers
telling service customers the exact time service will be performing, giving prompt
series, record-keepers always willing to assist their customs, record-keepers not
seemed to be too busy to respond to request made by their service consumers and
records keepers give prompt service to external request made on their behalf
(Responsiveness), Records keepers behaviours instils confidence in consumers,
customers feeling safe dealing with record-keepers, record-keepers are courteous
with their service consumers, record-keepers have the knowledge to answer all
questions posed by service consumers and record-keepers assure customers of
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confidentiality of record-keeping and management practices (Assurance) and lastly,
Records keepers giving individual attention, institutions operating hours convenient
to customers, record keepers understanding customer’s specific needs (Empathy)
Theoretical Implications: The findings imply that greater emphasis be placed on
prompt and quick responds to request made by students, lecturers, and other
stakeholders for information on academic records, for example exam grades,
transcripts or letters of attestation. Sometimes such request when made takes two
days or more before they are fulfilled which shouldn’t be the case looking at the
current ubiquitous technology platform use for data entry and record-keeping and
management, service delivery should have been improved better than what is
happening currently. When adequate and authentic records are kept and are kept
and are properly managed for accessibility, one does not need a whole day or more
to fetch or provide any information or data when request are made at any point in
time.
Policy Implications: The findings can help policy makers to develop and implement
policy for academic record-keeping and management practices that will also direct
practitioners in their roles and also guiding people handling issues on malpractices.
In many tertiary institution in Ghana, irregularities pertaining to academic records are
treated as criminal cases due to lack of policy directives or improper policy
guidelines on such matters. Some recommendations provided in chapter 4 in
Practical implication: The result in reality implies that emphasis should be placed on
inadequate recordkeeping tools such as new computers and other accessories
which pose the greater technology challenges to active records storage and
214
management. Cases in point have it that there are many students who knowing
pretty sure that they performed poorly in a particular examination paper, try to have
access to their scripts and either take them away and find ways of getting fresh
exam booklet to enable them re-write the questions answers and pay some good
amount of money to teaching assistances and sometimes Recordkeepers to replace
their old scripts. Even though the weight of this variable may seem insignificant
when analysing it from statistical point of view, in reality is a huge challenges in
many academic institutions where may records I the offices of heads of departments
and offices of assistant academic registrars are largely in paper form which make
them vulnerable to students and some disgruntled elements in academic
environments all due to inadequate recordkeeping tools. Other variables listed in the
pool of technology challenges such as little or no knowledge on recordskeeping &
ICT, incorrect data capturing, proper classification of data among others are
insignificant when enumerating technology challenges in ARKMP as shown in this
result but many disrupt smooth administrative works in the institutions.
Policy Implications: the finding can help educational institutions and policy makers
develop and implement uniform policies that will promote the application of ICT tools
to guide effective and error free recordskeeping and management systems. For now
there seems to be different approaches to what type of policies institution apply in
keeping and managing academic records despite the fact that they are all in the
same line of business operation.
Theoretical Implication: Theoretically, this study contributes to the adoption of the
General Systems’ theory and Adaptive structuration theory. Ludwig Van Bertalanffy,
(1956) proposed system theory and further developed by Ross Ashby (1989)
215
focuses on the arrangement of and relationship between parts which connect them
into a whole, providing a basis for their unification. Educational institution are
systems with interrelated parts and what affect the parts equally affect other parts.
The adaptive structuration theory is also based on Anthony Gidden’s Adaptive
Structuration theory. This theory is formulated as “The production and reproduction
of the social systems through member’s use of rules and resources in interaction.
The adaptive structuration theory criticizes the techno central view of technology
uses and emphasizes the social respect of technology among groups and
organization using information technology and how it can be applied to their activities
in social realms.
Practical Implications: The result can be used for improving the provision of
educational programmes on effective maintenance on computes and accessories
use in recordkeeping and information management in the institutions. It would also
enable practitioners to discriminate in their choice of equipment’s and devices used
in administrative educational service delivery in institution. Every department where
information and data are created need adequate records keeping equipment to offset
the problem of inadequate record-keeping tools. This result would encourage
administrative heads to present relevant proposal to their employers for release of
money or equipment and logistics use in the institutions.
Theoretical Implication:
Theoretically, this study contributes the socio-technical theory. In the middle of the
20th Century some of the optimistic predictions of the impact of technology on
business efficiency and productivity were being confounded. Many social science
researchers suggested that what was needed and was a fit between the technical
216
subsystems comprises the devices, tools and techniques needed to transform inputs
into outputs in a way which enhances the economic performance of the organization.
The social subsystems comprises the employees at all levels and knowledge, skills
and attitudes, values and needs they bring to the work environment as well as the
reward system and authority structures that exists in the organization. (Clegg, C.W
(200), Land F.F, (200).
6.5 Limitations of the Study
In reality, a study like this will include things or strands which the investigation could
not control. These may have potential effect on the output of the study. Aside, there
are certain things which the researcher could control, but his inability to control them
might have had negative impact on the results. Data collection procedures, sampling
issues and conceptualization issues are some of the challenges that are likely to
affect the findings and conclusions of the study. It was difficult to obtain total
population for the institution sampled. As a result, the study was based on
convenience and purposive sampling with its effects on the data collected. However,
the total sample of 1242 realized and employed for the analysis of result is quite
appropriate for decision making on the variables of the study. The study was
therefore limited by using only sample size which do not permit effective
generalization of findings beyond the institutions participated in the study. The study
217
would have been more robust if data from the entire population of tertiary institutions
(i.e. 136) were obtained at the time of data collection.
The research was also faced with challenges of literature on social variable
influencing recordkeeping and management. This strand of the study variables
seemed to be a grey area in records management research. Many listeners to
various preliminary presentations on the study findings at various stages bemoaned
the lacked of previous research in the area. Similar comments were made by the
examiners yet the research could not provide adequate literature references in the
chapter two of the study.
The challenges of non-response from some prospective research participants was a
major limitation of the study. Most lecturers and records officers in public tertiary
institutions such Universities of many columns unfilled after keeping the
questionnaires for quite a long time.
Again, some questionnaires that were distributed were not returned by some
respondents due to lack of interest in the subject under consideration and
inadequate time at their disposal. This study does not provide all problems affecting
Academic Recordkeeping and management practices especially in situation where
the researcher did not begin the investigation from the historical perspective of
records keeping and management which began from paper filing in many
educational institutions where volume of data and records are created on daily basis
throughout the academic year as compared to other institutions.
218
During data collection, through interviews in five of the selected tertiary institutions
the heads of institutions failed to make available policy documents for the research
to support some of the information provided by them. This is one area that pose
serious limitation to the study. Apart from the document on public Records and
Archival Administration of Ghana the result of the study on policy issues has no
documentary proof from individual institutions.
6.6 Recommendations
Based on the results of the study, we recommend the following policy framework to
educational policy. Makers and regulatory bodies in the educational sector.
i. Every tertiary institution must establish a framework needed for effective
management of academic records. The policy should provide mandatory
stipulations on the creation, use, storage and disposal of the institutions academic
records.
ii. The institutions should ensure that everybody complies with the legal retention
periods as presented in the country’s Archival and records Administration acts and
with the operation retention periods as prescribed by the institution’s operational
requirements.
iii. The policy should ensure that important business records of the institutions
are easily located and readily accessible to the institutions and promote
constitutional values such as efficiency, transparency and accountability.
iv. To ensure that the institutions dispose of, that is destruction, transfer to
archives and deletes (destroyed unnecessary records in accordance to referring to
what are the nation’s records and archival legislation and operational requirements.
219
v. To maintain the physical and Electronic security of records and retains
academic records in such a manner that their admissibility and /or evidential weight
are not compromised.
vi. Applicability. Academic Records covered in the policy should relate to all
recorded information used in relation to all aspects of the business of the
institution. The policy should be applicable to all offices and location of the
institution.
vii. Employees of the institution including students should be aware that
electronic records have the same status as paper records. Both electronic and
paper records are bound by the same legislative requirements and are subject to
the same degree of confidentiality and care.
Ownership
viii. All records, irrespective of format/ i.e. Paper, electronic including e-mails and
other records crated or received by staff and an independent contractor in the
course of their duties are property of the institutions and are subject to its
overall control. Every employee including students leaving the institutions or
changing positions within the institutors are to leave behind all records for
their successors. It is also imperative to have national policy framework on
malpractices involving records management especially where too much
human contact between records keepers should be minimized in the scheme
of things. The heads of institutions such as vice-chancellors, principals and
Senior Rectors should establish Quality Assurance Departments for
maintaining all operations in the systems, that is the data base of the
220
institution and get feedback for subsequent follow-up actions on records
storage and retrieval. Administrative staff specializing in records management
should be trained. All staff of the institutions should be made aware of the
institution’s records management policy and procedures to enable them
comply with the policy directives in their day-to day functions. Furthermore
there should be an enlightment campaign on the evil perpetuated on records
keeping and management practices in order to emphatically discourage
young people who try to influence records managers to alter their poor
academic records for rewards or through any form of influence as the
situations have been in recent times. Efforts should be made to advise young
people in our educational institutions of the negative long term effects of the
problem of records falsification both at the micro and macro level. Regulatory
bodies such as the National Council for Tertiary Education(NCTE),the
National Accreditation Board(NAB) and the Ministry of Education(MOE)
should be charged with the responsibility of setting standards and checking
excess on the part of record-keepers and as well as users. Further policy
framework suggested for educational institutions is found in chapter
two.Besides,the following elements also require inclusion in any policy
framework:
Sound Records Management Also Has the Potential to Improve the Flow of
Information and Knowledge Sharing Within an Organization
- Risk management programs should be established and maintained to ensure that
risk to records are either removed or managed appropriately.
221
- Intra-departmental and Interdepartmental transfer of records and the transfer of
records to off-site records storage.
- Records management units in all institutions should keep a register of all files
transferred intra-departmentally or inter-departmentally. The transfers can often
occur when functions are transferred from one office institutions department to
another.
- If records are transferred permanently the provincial and National Archivist shall
be informed through the office of the senior manager- Records management.
No records should be transferred to private off-site data/records storage facility

without prior authorization of the HOD and the regional/National Archivist.
- Inspection of records: The policy framework shall make provision of records

inspection in every department and whose custody are they shall not constitute a
block from inspection.
- Heads of Records management Unit in all institutions shall conduct records
inspection in their institution on regular basis and advice the head of the
institution about the conditions under which records are managed.
- The institutions should establish records inspector Directorate through the
Ministry of Education in the case of Ghana and every institution should appoint
committee as a permanent unit with the needed mandate to inspect all academic
records on specified periods of time within the academic year. These should be
during pre-assessment and entry of results and after assessment, two weeks
after entry of results.
Obligations
Deans and HODS should ensure that the policies and its associated standards are
implemented within their business units.
222
- Employees as public servants should be aware of records keeping that affect the
performance of their duties. They are obliged to create records.
- Register records in record-keeping system.
- Transfer records to appropriate records keeping system
- Make sure that records are not destroyed without authorization.
Note! A good record keeping is therefore a collective responsibility and each
employee has an obligation to ensure that records are created and managed
according to the policy framework. All employees, temporary or permanent
consultants, contractors and volunteers must comply with the policy and procedures
issued in accordance with the policy.
The policy guidelines for the institution could include objectives of the records
management programme as to identify in all documents, thereby improving efficiency
in service delivery and productivity.
- To maintain institutions records in a manner that reduces operating costs
- To dispose of records in the normal course of business according to records
retention schedules.
- To ensure prompt and accurate retrieval of records for better decisions making
- To ensure compliance with legal and regulatory requirements and to minimize
litigation risks
- To protect vital information in the event of a disaster.
Responsibilities in the Records Management Programme
The Pro Vice-Chancellor or Deputy Senior Rector (Chief information officer,
registrars of the institutions have the overall responsibility for management of

223
information in the institution that includes the records management department that
is responsible for administering the program, establishing standards, establishing
and implementing records retention programs, managing active records identifying
and protecting vital records such as students’ academic information, using
technologies in records management programs, securing records and providing
assistance in all records management matters to requesting departments.
Using departments are responsible for adhering to the precepts stated in the policy
statement regarding the proper safeguarding of the organizations records in
whatever format the record is maintained. Eg. Paper, electronic, photographic or
optical and microfilm
Vital Records program Policy
As part of the records management programme, those records essential to the
survival of the institutions have been identified for protection from destruction in the
event of disaster. Such records are known as vital records.
Each department or faculty will determine which records in their area contain
information vital for continued operations should a disaster occur and the method by
which such records would be protected.
In educational institutions such records could be student’s information, accreditation
documents, land acquisition documents, legal documents on court rulings and loans
contracted for structural development.
224
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APPENDICES
Appendix A
Table 1: Details on Interview Schedule
# of Name of Time of Duration Date Status/Rank

Institutions Institution Interview of
Interviewee
#1 Accra Poly 2.00 – 2.20 20 minutes December Rector
p.m. 18, 2014
#2 Accra 11.00 a.m. 25 minutes 23rd Dec., Principal
College of – 11.25 2014
245
Education a.m.
#3 Mount Mary 3.15 p.m. – January
College of 3.30 p.m. 15 minutes 11, 2015 Principal
Education
#4 Koforidua 12.45 p.m.
Nursing and – 1.00 p.m. 15 minutes January Principal
Midwifery 12, 2015
Training
College
#5 Valley View 3.15 p.m. – 15 minutes January Senior Rector
University 3.30 p.m. 20, 2015
Total 5 1½ hours 5 days 5 head of
cols.
Source: Interview schedule – December 2014/January 2015.
The above table presents a summary on telephone interviews conducted for
qualitative data collection in 5 of the study institutions indicated. The details of the
discussions are presented in table 4.1 to tables4.5.
246
Table 4.1: Interview results
S/N Name of Institution Interview Series/Guide Summary of Transcribed Rank/S

(I/S or I/G) Responses tatus
1. Accra Poly 1. Do tertiary institutions 1. There is no academic institution Rector
in Ghana have records that manages academic records
management policy in without policy guidelines.
place? 2. The policy framework is
2. How does the policy developed by the academic
framework evolve? board of the institution.
3. Polytechnics in Ghana have no
3. Are the policy uniform policy guidelines.
framework universal? However, we encourage our
records officers to observe best
practices of international
standards.
Source: Researcher’s interview series at Accra Poly
Table 4.2: Interview Results

2. Accra College of 1. Do tertiary institutions 1. Our College has a policy for Princip
Education in Ghana have records records management which is al
management policies? adopted from the TTC of Ghana
2. How does the policy 2. The College relies on guidelines
framework evolve? provided by the Teacher
Training Council and the ISO
15849:2012.
3. Are the policy 3. The policy guidelines differ
framework universal? from one institution to another.
4. that exist in your 4. emphasis on authenticity and
institution? originality of records. (2) It also
lays emphasis on accurate
active file creation as well as
inactive file management
Source: Researcher’s interview series at Accra College of Education
247

3. Mount Mary College 1. Do tertiary institutions 1. We have a written document as Princip
of Education in Ghana have records policy framework on records al
management policies? keeping and management
practices.
2. How does the policy 2. The policy framework was
framework evolve? developed by the Academic
Board.
3. Are the policy 3. The policy frameworks are not
framework universal? the same due to the focus of
each institution and
circumstances.
Source: Researcher’s interview series at Mount Mary College of Education

4. Koforidua 1. Do tertiary institutions 1. We do have policy on Princip
Midwifery & in Ghana have records managing our academic al
Nursing Training management policies? records.
College 2. How does the policy
framework evolve? 2. The policy guidelines in place
are based on the guidelines
from the Ministry of health
(MOH). It takes leverage from
the British Health Records
3. Are the policy Policy standard (1948).
framework universal?
3. It is an institutional policy on
academic records management
unlike the general policy on
health administration.
Source: Researcher’s interview series at Koforidua Midwifery & Nursing Training

College
248

5. Valley View 1. Do tertiary institutions 1. The University has policy Senior
University (VVU) in Ghana have records guidelines for records Rector
management policies? management.
2. How does the policy 2. Some of the guidelines are
framework evolve? instituted by a committee
appointed by the academic
board.
3. Are the policy 3. I may say to a large extent,
frameworks universal? since VVU is a religious
institution, our policy
guidelines are of international
standards with reference to our
Universities’ under the General
conference in the United States
of America and other
institutions of Higher Learning
within the Seventh Day
Adventist Church World-wide
Source: Researcher’s interview series at Valley View University
249
Appendix B
INTERVIEW GUIDE: Policy domain Guiding Records Management and mode

of evolvement in the Tertiary Institutions in Ghana
Table 2:Combined Responses of the heads of institutions to the interview

series on Records Management Policy
No. of Name of Summary of Responses from Rank/Status

INSTITUTION Institution Interviewees
N1. Accra Poly The Polytechnics have no direct Rector
uniform policy guidelines; however
we encourage our records officers
to observe the best practices of
international standard.
N2 Accra College The college rely on guidelines Principal
of Education provided by the Teacher Training
Council and the ISO 15849:2012
N3 Mount Mary We have a written document as Principal
College of policy framework on records
Education keeping and management
practices. This was prepared by
the academic board.
N4 Koforidua As a health workers training Principal
Nursing and institution, we place high premium
Midwifery on authenticity of records. The
Training policy guidelines in place is based
College on the guidelines from the Ministry
of Health (MOH), it takes leverage
from the British health records
policy standard, 1948.
N5 Valley View VVU as a religious institution - our Senior Rector
University policy guidelines on records is of
international standard with
reference to our universities under
the general conference in the
United States of America and
other institutions of higher learning
within the Seventh-Day Adventist
Church.
Source: Interview Schedule – December 2014/January 2015.
The table 1.3 provides the summary of the responses from 5 heads of the study institutions.
The main objective was to ascertain the mode of policy evolvement in those institutions.
250
APPENDIX C
Extract from the Public Records and Archives Administration of Ghana ACT
1997 (ACT 535)
1) The Public Records and Archives Administration Department established under
the Public Records and Archives Administration Department (Establishment)
Instrument, 1996 (L.I. 1628) shall be responsible for the proper and effective
management of records in public institutions of government to which this Act applies.
(2) For the purposes of subsection (1) of this section the Department shall-(a) ensure
that public offices, institutions and individuals who create and maintain public records
follow good record keeping practices; (b) establish and implement procedures for the
timely disposal of public records of no continuing value; (c) advise on best practices
and establish national standards in records keeping in the public services; (d)
establish and implement procedures for the transfer of public records of permanent
value for preservation in the National Archives or other archival repository as may be
designated under this Act; and (e) perform any function conferred on the National
Archives under any other existing enactment.
251
APPENDIX D
Suggested Policy Framework for Records Management in Higher Educational

Institutions
Records Management Policy by the Researcher.
1. POLICY OBJECTIVE
1.1 Universities and other educational Institutions in Ghana have the responsibility
to manage, store and retain certain documentation, records and other forms of
information for specific periods for the following reasons:
1.1.1 Document retention duties detailed in the country’s legislation;
1.1.2 Retention of documents and records for business/operational purposes;
1.1.3 The maintenance of evidence for possible future litigation, mediation,
arbitration or disciplinary hearings;
1.1.4 Good corporate governance and good records management practices;
1.1.5 Processing public requests for information as detailed in the Promotion of
Access to Information Act (PAIA) 2 of 2000;
1.1.6 Securing records (evidence) for quality assurance purposes; and
1.1.7 Routing/tracking/tracing active records via workflow for electronic processing
and easy access to relevant employees.
2. DEFINITIONS
“Record” refers to recorded information, regardless of format or medium,
which has been created, received, used, accessed and maintained by an
organisation (and/or its predecessors) as evidence and information in
pursuance of its legal obligations or in the transaction of business. Included
252
are e-mails, records in electronic form and records other than
correspondence. Business record has a corresponding meaning;
“Active record” refers to a record needed for daily administrative and/or
operational functions. It refers to a record from the date of creation up to two
years old. This record is kept in the office of origin; “Inactive record” refers to a
record older than two years that is not needed for daily administrative duties
by the office of origin and has been transferred to the Records Management
Centre for the remainder of the retention period; “Ephemeral record” is a non-
archival record. A record that has passing value, limited to a specific time
specified in the retention schedule; “Records Manager” means the employee
appointed to oversee the records management function within the “Records
Management Committee” means a Committee established to oversee the
records management function within the country “Archives” refer to records
older than twenty years containing permanent historical information or
research pertaining to Ghana. These records are stored in the business
archives. These records do not refer to the records preserved by the library
archives and special collections; “Business records” See definition of
“records”; “Records other than correspondence” refer to videos, film, sound
records, microfiche, microfilm, photographs, pamphlets, maps, plans,
registers, indexes, circulars, publications, financial records, etc. “Vital records”
are those records that are essential for the continuation of business and those
records, which protect the rights and interests of the organization, employees
and students. It may also include records relating to employee compensation
and benefits, insurance, valuable research findings, proof of ownership,
financial interests, legal proceedings and decisions; “File plan” is a pre-

253
determined logical, systematic and hierarchical structure based on an
organisation’s business functions, activities and recurring transactions. This
structure is used as a plan by which correspondence is kept in such a way
that an office’s requirements regarding the identification, arrangement,
storage and retrieval of information and the disposal of records can be served
best. It is also referred to as taxonomy; “Filing system” refers to a storage
system (boxes, folders, shelves, electronic storage systems, etc.) in which
records are stored according to a file plan; “Taxonomy” See definition of “file
plan”; “Retention” is a general term referring to the process of deciding which
records to keep permanently (A20) and which records to be destroyed after
they no longer serve a useful purpose (D).The retention schedule lists the
types of records maintained by each department and specifies a period of
time after which destruction is authorized as a matter of policy. The retention
periods are indicated on the file plan next to the subject they refer to. The
records retention schedule has three major objectives:
 Prompt disposal of records whose retention period has lapsed (D).
 Storage of records which must be temporarily retained after they are no
longer needed in active use (D).
 Preservation of records with archival value (A20). “Disposal” refers to the
actions taken with regard to records as a consequence of the expiration of
their retention periods. Disposal is not synonymous with destruction.
Disposal may involve one of the following activities:
 Transfer to a storage facility or records centre;
 Transfer of permanent records to archives; or
254
 Destruction of ephemeral records. “Destruction” refers to the physical
disposal of documents of no further value by shredding, pulping, etc.
3. POLICY STATEMENT
3.1 The purpose of this policy is to:
3.1.1 Establish the framework needed for effective management of records. This
policy provides mandatory stipulations on the creation, use, storage and disposal of
Academic records;
3.1.2 ensure that practitioners comply with the legal retention periods as prescribed
by referring to South African legislation and with the operational retention periods
as prescribed by the PRAAD operational requirements;
3.1.3 ensure that important business records are easily located and readily
accessible to PRAAD and promote constitutional values such as efficiency,
transparency and accountability;
3.1.4 ensure that Academic institutions disposes of (destruction/transfer to archives)
and deletes (destroy) unnecessary records in accordance to referring PRAAD’S
legislation and operational requirements;
3.1.5 Maintains the physical and electronic security of records; and
3.1.6 retains records in such a manner that their admissibility and/or evidential
weight is not compromised.
4. APPLICABILITY
4.1 Records covered by this policy relates to all recorded information used in
relation to all aspects of the business of Educational institutions. This policy is
applicable to all offices and locations of an academic institution.
255
4.2 Employees should be aware that electronic records have the same status as paper
records. Both electronic and paper records are bound by the same legislative
requirements and are subject to the same degree of confidentiality and care.
5. OWNERSHIP OF RECORDS
5.1 All records, irrespective of format, (i.e. paper and electronic, including e-
mails and other records) created or received by employees and
independent contractors in the course of their duties, are the property
of the institution and subject to its overall control.
5.2 Employees leaving the institution or changing positions within the
institution are to leave all records for their successors.
6. ROLES AND RESPONSIBILITIES OF THE RECORDS MANAGER
6.1 Operational responsibility for records management rests with the Records
Manager.
6.2 The Records Manager is the custodian of the Records Management
Policy.
6.3 The duties of the Records Manager include, but are not limited to, the
following:
6.3.1 Annually review this Policy with all associated records management
policies and procedures. This policy, and any revisions, should be approved
in accordance with the Policy: Policy/Rule Formulation.
6.3.2 Implementation, management and maintenance of the procedures
detailed in this Policy and associated records management policies and
procedures.
256
6.3.3 Assist in the correct identification, classification, retention, access,
destruction and use of records.
6.3.4 Co-ordinate the implementation of the records management initiative
within the institution and record management training.
6.3.5 Manage an annual records management budget.
6.3.6 Review and update the File Plan to reflect any changes in the
institutions functional areas and activities.
6.3.7 Review any requests for File Plan updates as submitted by employees through
the System Change Request Form.
6.3.8 Update the Master Copy of the File Plan on a monthly basis. The Master Copy
contains all approved subjects and which indicates how files are opened.
6.3.9 Regularly update and maintain the Retention Schedules to reflect any changes
in legal and operational retention requirements.
6.3.10 Provide proper care and storage for inactive records on and off site.
6.3.11 Regulate transfer of inactive records to the Records Management Centre.
6.3.12 Promote regular inspection of records and monitor compliance with this policy.
6.3.13 Implement measures to ensure security and protection of records.
6.3.14 Training of employees with regard to records management procedures.
6.4 The Records Manager performs the above-mentioned duties with the assistance
of the Records Management Committee and may delegate any of the above-
mentioned duties to any employee.
6.5 The responsibilities of the ICT Department regarding records management are
reflected in the respective policies.
7. ROLES AND RESPONSIBILITIES OF EMPLOYEES

257
7.1 Record keeping is an essential role of all employees. Every employee is
responsible for making and keeping such records as may be necessary to fully and
accurately record the functions, transactions, operations, decisions, administration
and management of the institution.
7.2 All employees are to comply with the procedures and guidelines as outlined in
this Policy and the File Plan.
7.3 Employees are to follow authorised procedures (standard operating procedures)
in carrying out records management functions, and must observe security, privacy
and confidentiality requirements at all times, in accordance with the Information
Security Policy.
8. ROLES AND RESPONSIBILITIES OF THE RECORDS MANAGEMENT
COMMITTEE
8.1 The Records Manager establishes the Records Management Committee.
8.2 The Records Management Committee comprises of the Records Manager and
designated officials within each department of the institution
8.3 The Records Management Committee is constituted and performs the duties as
indicated in the terms of reference of PRAAD.
9. FILING OF BUSINESS RECORDS
9.1 Records (both paper and electronic) may only be classified according to the
authorised File Plan.
9.2 After implementation of the File Plan, no correspondence may be dealt with on any
old File Plan used within the organisation.
258
9.3 No additions or revisions may be made to the File Plan without the approval of the
Records Manager.
9.4 Only approved paper-based filing systems and electronic folder systems, based on
the File Plan, may be used.
10. ACCESS TO RECORDS
10.1 Access to records is governed by the “sensitivity classifications” allocated to
record series and detailed in the Information Sensitivity Classification Policy. Access
to records by employees and third parties will be dealt with in accordance with the
PAIA Manual.
10.2 Inactive records located in the Records Management Centre may only be
accessed via the Records Manager and may only be accessed, copied and used
upon the written authorisation of the Records Manager.
10.3 A record in the custody of the institution must remain “accessible” to authorised
individuals until final destruction.
10.4 In order to ensure continued access to electronic records that are migrated
across technologies and technology platforms, such migration must be undertaken in
accordance to the Records Migration Policy.
11. CONFIDENTIALITY AND NON-DISCLOSURE
Employees may not disclose the nature and contents of any record to any
person unless such disclosure is permitted in terms of the employee’s job
description, contract of employment or upon written authorisation from the
Records Manager in consultation with the Executive Director: Legal Services.
259
12. STORAGE MEDIA AND FILE FORMATS
When selecting storage media and file formats for electronic records, due
consideration must be given to the security, integrity, and accessibility
requirements of the records.
13. RECORD RETENTION
13.1 All original electronic and paper records are to be retained for the period
stipulated in the File Plan under the heading “Disposal”.
13.2 Any deviations from these stipulated retention periods are to be
authorised by the Records Manager in consultation with the Executive
Director: Legal Services.
14. RECORD DISPOSAL
14.1 The procedure for disposing of paper and electronic records is detailed in the
Records Retention, Transfer and Destruction Procedures and must be adhered to
at all times. All original records covered by this policy are disposed of using these
procedures.
14.2 Paper or electronic records are not destroyed where litigation or audit
investigations are pending or in process.
14.3 A Certificate of Destruction must be produced by the Records Manager to
record the reason for the destruction of the original file, to meet statutory and
regulatory requirements. The Certificate of Destruction must contain the
signatures of the office of origin, the Executive Director: Legal Services and the
Records Manager authorizing the physical destruction of the records. Certificates
of Destruction must be retained indefinitely.

260
14.4 Unauthorized destruction or disposal of records or information may result in
criminal prosecution and/or disciplinary action and where applicable, liability of
damages and losses incurred by the institution and its clients.
15. DESTRUCTION MORATORIUM
15.1 Whenever a request for discovery is received by the institution in connection
with litigation, all organized and periodic record destruction activities must
immediately be placed on hold until the Executive Director: Legal Services
determines whether these destruction activities jeopardize the record being sought
for purposes of discovery in legal proceedings. These records should remain on hold
until the legal proceedings have ceased.
15.2 When a PAIA request for access to a record is received by the institution all
necessary steps must be taken to ensure that the relevant record is preserved in
accordance to section 21 of the Promotion of Access to Information Act (PRAAD).
16. INTEGRITY
16.1 All records will be identified, classified, retained, stored and protected in such
a manner that their integrity is not compromised. In this regard, the Registrar
and the Records Manager ensure that processes and applicable technology are
implemented to safeguard the integrity of records across the record lifecycle.
16.2 The Records Manager with the assistance of the Executive Director: Legal
Services provide guidelines and processes to ensure that records are
admissible evidence in courts or disciplinary proceedings notwithstanding the
fact that such records were created, distributed or stored in electronic format.
261
16.3 The Executive Director: ICT ensures that the necessary technology is employed
to prevent the unauthorized access, tampering and destruction of electronic records.
Approved by PRAAD.
17. DUTY OF CARE
17.1 The institution has a duty to keep secure and accurate original records,
or authentic copies of them. This is achieved by the Records Manager:
17.1.1 ensuring the implementation of this policy.
17.1.2 ensuring the implementation of an Information Security Policy.
17.1.3 and the Registrar ensuring that only authorised employees have
access to relevant records and information.
17.1.4 ensuring that acceptable quality control procedures are implemented.
17.1.5 ensuring that the Executive Director: Legal Services is consulted, and
appropriate actions taken.
18. COMPLIANCE WITH THE RECORDS MANAGEMENT POLICY
18.1 Any employee that fails and/or refuses to discharge any duties detailed in
this Policy and the associated procedures and instructions will be required to
explain such failure and/or refusal in a disciplinary hearing. Disciplinary actions
may result in dismissal. A claim of ignorance as to the existence and/or
application of this Policy shall not be a ground for justification of non-
compliance.
18.2 Any uncertainty as to the provisions of this Policy or any duty detailed herein
will be directed to the Records Manager.

262
18.3 Adherence to the Records Management Policy will be annually reviewed.
19. IMPLEMENTATION OF POLICY
Related policies of the former institutions that were in force prior to the
commencement of this Policy are replaced with effect from the date on which
Council approves this Policy.
APPLICABLE LEGISLATION AND STANDARDS
1. Promotion of Access to Information Act, Act 2 of 2000
2. Electronic Communications and Transactions Act, Act 25 of 2002
3. ISO/PRAAD 15489
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APPENDIX E
(I) PRE-PUBLICATIONS &PAPERS PRESENTED FROM THE PHD THESIS
UNDER EXAMINATION.
II) PAPERS PRESENTED AT INTERNATIONAL RESEARCH CONFERENCES IN
GHANA AND PUBLISHED IN SOME REPUTABLE ON-LINE JOURNALS
BETWEEN 2013/2014.
1. Moses S.K. Azameti & Emmanuel Adjei (2014). Conceptualization of policy
challenges in Academic Records Management Strategies in Tertiary institutions
in Ghana. Retrieved from ww.rassweb.com JEL-14-19.on 7TH JULY 2015
2. Azameti M.S.K & Adjei E. (2013). Academic Assessment of students work and
Quality assurance in Tertiary intuitions. A conceptual framework. International
Journal of Scientific Research in Education. 6 (1), 1-8 Retrieved on 6th June,
2015 from http//:www.ijrsre.com
3. Moses S.K. Azameti & Emmanuel Adjei (2014). A conceptual Framework
explaining the impacts of misconducts associated with Academic records creation
and management practices in tertiary institutions. Global Advanced Research
Journal of Education and Review *ISSN:2315-5132) vol. 3(4)pp. 1-12, June 2014
4. Azameti. M.S.K. (2013) Quality Assurance in private Tertiary institutions- Ghana’s
Experience. International Journal of Educational Foundations and Management
192) 153-165. Retrieved on 2nd May 2014 form http//: www.ijetm.com
5. Moses. S.K. Azameti & Emmanuel Adjei (2014). Determination of academic
Achievements and Students Records through less competitive Variables; the
myth and realities in tertiary institutions. Available online at
http//:www.akrpub.com/journals.php
6. Moses S. K. Azameti (2013). Professional Development among Middle-Aged
women: A rising Phenomenon in Ghana commercial Bank. Journal of Education
and practice. ISSN 222-1735 (paper) ISSN 222-255X (online) Vol. 4. No 24.2013
7. Moses S. K. Azameti, Nana k. Annan & Emmanuel Adjei (2014). A conceptual
framework explaining strategies tertiary institutions adopted for managing
academic records. Presented at International Research initiative conference on
8th October 2014.
8. Azameti M. SK. & Adjei E. (2014) Effectiveness of strategies Adopted for
academic Records keeping and management practices: A case study of Tertiary
Institutions in Ghana presented at International Research initiatives conference
on 9th October 2014.
9. Azameti M. S.K. & Adjei E. (2014). The Truism of Records Management
practices and associated challenges. A contextual analysis in tertiary institutions.
Presented at intentional research Initiatives conference in Ghana on October 10,
2014.
10. Azameti M.SK. & Adjei E. (2013). Challenges in Academic Records management
in Tertiary institutions in Ghana. Intentional Journal of Scientific Research in
Education, 6 (3), 287-296/ retrieved from http//:ww.ijsre.com
11. Moses. S.K. Azameti & Emmanuel Adjei (2014). The Global Ethical Dilemma and
Management of Educational Enterprises in the 21st century in African: the case of
private universities in Ghana. Under Review and for publishing.
265
APPENDIX F: QUESTIONNAIRES
I. DOCTOR OF PHILOSOPHY (Ph.D.) DEGREE PROGRAMME IN
EDUCATION
II. QUESTIONNAIRE FOR RECORDS OFFICERS
III. FINAL DATA COLLECTION EXERCISE
IV. CONTACT FOR CLARIFICATION: 0243089613
E-MAIL: mosesazameti@yahoo.com
DATE: DECEMBER,
2011/JANUARY, 2012
RESEARCH TOPIC:
266
ACADEMIC RECORDS CREATION AND MANAGEMENT FOR EDUCATIONAL
SERVICE DELIVERY IN TERTIARY INSTITUTIONS
BY
MOSES SEBASTIAN KWAME AZAMETI
ID NO.: PhDEAI0003Y
267
QUESTIONNAIRE FOR RECORDS OFFICERS
SECTION A: BACKGROUND INFORMATION AND DEMOGRAPHIC
CHARACTERISTICS
1. Name of Institution……………………………………………………………..
2. Gender: Male [ ] 1 Female [ ] 2
3. Educational Qualification
Which of the following qualifications do you have?
(a) GCE ‘O’ Level 1
(b) GCE ‘A’ Level 2
(c) First Degree 3
(d) Other (specify) 4 ……………………………………………………………
4. Professional Qualifications
(a) MA/M.Phil. in Archival Studies 1
(b) Post graduate Diploma in Archival Studies 2
(c) Degree/Diploma in Computer Science 3
(d) Diploma in Archival Studies 4
SECTION B: INTERNAL POLICY FOR ACADEMIC RECORDS MANAGEMENT

1. Does your institution have a formal policy for managing Academic Records?
(a) Yes 1 (b) No 2 (c) Can’t tell 3
2. If yes, how do students’ academic records management policies evolve in
tertiary institutions in Ghana?
(a) By the University Council 1
(b) By the Academic Board of the institution 2
(c) By an individual decision 3
(d) By the Ministry of Education 4
(e) By the National Archives Department 5
(f) Others specify ……………………………………. 6
3. If no, who gives directives for managing records in your institution? (Tick only
one)
(a) The Vice-Chancellor 1
(b) Principal or Rector 2
(c) Vice-Rector 3
268
(d) The Registrar 4
(e) Dean/Head of Department 5
(f) Chairman of the University Council 6
(g) The IT Manager of the institution 7
(h) No procedures for managing academic records 8
(i) Others specify 9 ……………………………………………………………..
SECTION C: RECORDS KEEPING PRACTICES

The table below describes some preliminary record keeping practices. Using
Strongly Agree (SA), Agree (A), Strongly Disagree (SD), Disagree (D) and
Undecided (U) indicate your response to each of the statements in the table. Tick
(√) where appropriate.
SA A SD D U
1. The information needs of your institution are
planned by qualified record keepers.
2. Information required to be captured are identified by
a qualified staff.
3. Policies and practices regarding records and their
organization and disposal is done by any
competent person in your institution regardless of
his/her qualification.
4. Records storage in your institution which includes
short and long term housing of physical records and
digital information are planned by people who have
requisite knowledge in records keeping of your
institution.
5. Identifying, classifying and storing records are
constantly done in your institution.
6. Co-ordinating access to records internally and
externally of the institution is among the records
keeping practices of your institution.
7. Access to records in your institution is balanced by
the requirement of business confidentiality, data
privacy and public access.
8. Executing a retention policy on the disposal of
records which are no longer required for operational
purposes according to institutional policies,
statutory requirement and other regulations which
may involve either their destruction or offshore
storage is practiced in your institution.
9. Documenting context, including administrative
change is practiced in your institution.
10. Identity requirements to support recordkeeping
functionality in business system.
269
SECTION D: RECORDS MANAGEMENT PRACTICES
Which of the records management strategies listed in the table below pertains in
your institution to the best of your knowledge? Tick (√) where appropriate under
(SA), (A), (SD), (D) & (U).
SA A SD D U
1. Setting policies and standards.
2. Assigning responsibilities and authorities.
3. Providing a range of services relating to the
management and use of records.
4. Instituting punitive measures for records keeping
irregularities in your institution.
5. Designing and administering specialized systems
for records.
6. Integrating records management into business
systems and practices in the institution.
SECTION E: MANAGING STUDENTS ACADEMIC RECORDS AND

CHALLENGES
15. How long has computerized records management been introduced in your
institution?
(a) Below 1 year 1
(b) 1 – 10 years 2
(c) 11 – 20 years 3
(d) 21 – 30 years 4
16. Has computerized records management systems ended records management
irregularities in your institution?
(a) Yes 1 No 2
17. Does your institution use both paper-based and electronic records
management systems together?
(a) Yes 1 No 2
270
18. If yes, which of the list of challenges below are rampant in your institution?
(a) Lack of adequate professional knowledge in managing electronic records
in your institution. 1
(b) Easy falsification of data in the data base. 2
(c) Duplication of records and lack of evidential proof. 3
(d) Other (specify) 4
…………………………………………………………………………………
Supplementary data collection January 2013-6th June 2014

Research objective 6: Section C. Inadequacies of Traditional Theories of
Records Management Studies.
Instructions: Using the Likert type scale: strongly Agree= 5 Agree= 4 Strongly
disagree = 2 Disagree = 3 undecided = 1.
Show your responses on the assumption that the life-cycle concept, Principles of
records provenance and the records continuum models are inarguably inadequate in
explaining some of the challenges tertiary institution face in managing Academic
Records and therefore other theories applicable could be used when the need
arises.For example those theories mentioned here below .
1. Gender: Male Female
2. Indicate type of Institution: where you work/study:
A. Public University B. Private University C. Colleges of
Education D. Polytechnic E. Nursing Training College
271
Description of Strongly Agree – 4 Disagree – 3 Strongly Undecided - 1
variables Agree – 5 Disagree – 2
The records Life-

cycle concept
Principles of
records
provenance
The records
continuum
Critical Realism
theory
Social capital
theory
Critical social
theory
Sociological
theory
272
V. DOCTOR OF PHILOSOPHY (Ph.D.) DEGREE PROGRAMME IN
EDUCATION.
VI. QUESTIONNAIRE FOR STUDENTS AND FACULTY MEMBERS.
VII. FINAL DATA COLLECTION EXERCISE
VIII. CONTACT FOR CLARIFICATION: 0243089613
DATE: DECEMBER,
2011/JANUARY, 2012
273
RESEARCH TOPIC:
ACADEMIC RECORDS CREATION AND MANAGEMENT FOR EDUCATIONAL
SERVICE DELIVERY IN TERTIARY INSTITUTIONS.
BY
ID NO.: PhDEAI0003Y
ACCRA INSTITUTE OF TECHNOLOGY (A.I.T)-OPEN UNIVERSITY, MALAYSIA
(O.U.M)
274
QUESTIONNAIRE FOR FACULTY MEMBERS INCLUDING 3RD AND 4TH YEAR
STUDENTS
IMPORTANT: THE INFORMATION IS GATHERED FOR ACADEMIC PURPOSES.

YOU ARE ASSURED THAT IT WILL BE HANDLED AS SECRET AND
CONFIDENTIAL
SECTION A: GENERAL INFORMATION AND DEMOGRAPHIC

CHARACTERISTICS.
1. NAME OF INSTITUTION.................................................................................
2. REGION AND LOCATION:....................................../.......................................
3. GENDER/SEX: Male 1 Female 2
4. DESIGNATION: Lecturer 1 Student 2
5. AGE: 17 – 24 1
25 – 34 2
35 – 44 3
45 – 54 4
55 – 60 5
60+ 6
6. LEVEL: 4th year 1
3rd year 2
7. MARITAL STATUS:
Married 1
Single 2
Co-habitation 3
8. INDICATE YOUR PROGRAMME OF STUDY:
Business 1
Computer Science 2
Engineering 3
Other (Specify).................................................................
275
SECTION B
PROBLEMS OF RECORD KEEPING
Please rate the problems of record keeping in your institution using the scale from 1
to 4.
4 – Extremely Bad
3 – Very Bad
2 – Fairly Bad
1 – Bad
Problems Rank
1. Little or no knowledge in record keeping &ICT
2. Inadequate staff
3. Too much work
4. Inadequate record keeping equipment & tools
5. Obsolete equipment & tools
6. Frequent power outages
7. Poor security & confidential controls
8. Overcrowding & unsuitable storage of paper & electronic
records
9. Delay & lack of frequent maintenance of record equipment,
tools &electronic systems
10. Lack of record manual & filing guidelines & plans
11. Too much interference by superiors
12. Low moral due to poor remuneration & poor general working
environment
13. Too much bureaucracy
14. Incorrect data capturing
15. Lack of proper classification of data
IMPACT OF RECORD KEEPING PROBLEMS
Impact Rank
1. Low moral due to poor remuneration & poor general working
environment
2. Leakage of examination papers affecting academic standards
3. Lack of trust for record keepers by stakeholders
4. Unnecessary delays in serving the public
5. Extortion of money by record keepers
6. Increase in operational cost
7. Frequent mistakes
8. Preferential treatment by record keepers
9. Arbitrary replacement of loss data
10. Undue delay in serving past and present students and internal
stakeholders.
276
SECTION C: CUSTOMER SATISFACTION
Please rank your perceptions using the scale 1- 7 as to whether you are satisfied or
not with the record keeping services provided by your institute and the general
environment under which record keepers operates
Scale:
7=Very satisfied
6=Satisfied
5 =Somehow satisfied
4=Indifferent
3= Somehow dissatisfied
2=Dissatisfied
1=Very dissatisfied
Tangibles Scale
Very dissatisfied
Very satisfied
7 6 5 4 3 2 1
Institution has modern
equipment & tools
Institution’s physical facilities
virtually nice
Institution’s record keepers are
neatly appealing
Materials associated with the
service like papers, slips and
course booklets are virtually
appealing in the office
environment
Reliability Scale
Very dissatisfied
Very satisfied
Record keepers fulfil their

promises at the time indicated
Record Keepers show a keen
interest in solving your
problems
Record Keepers perform the
services exactly at the first
time
Record Keepers insist on error
free records
277
Responsiveness Scale
Very dissatisfied
Very satisfied
7 6 5 4 3 2 1
Record keepers tell you exactly
the time the service will be
performed
Record Keepers give you prompt
service
Record Keepers always willing to
assist you
Record Keepers are not too busy
to respond to my requestion
Record keepers give prompt
service to external request made
on your behalf
Assurance Scale
Very dissatisfied
Very Satisfied
7 6 5 4 3 2 1
Record Keepers behaviour instils
confidence in me
I feel safe when dealing with record
keepers
Record keepers are courteous with me
Record Keepers have the knowledge to
answer all my questions
Record keepers assures you of the
confidentiality of your records
Empathy Scale
Very dissatisfied
Very satisfied
7 6 5 4 3 2 1
Record keepers give me individual
attention
Institution operating hours convenient
to me
Record keepers care for all my needs
Record keepers have my interest at
heart
Record keepers understand my
specific needs
278
Total Satisfaction Scale
very dissatisfied
very satisfied
7 6 5 4 3 2 1
Overall satisfaction with your work
COMMENTS OR ADDITIONAL INFORMATION

Please use the space below for comments or additional information
…………………………………………………………………………………………………
…………………………………………………………………………………………………
…………………………………………………………………………………………………
…………………………………………………………………………………………………
…………………………………………………………………………………………………
279
DOCTOR OF PHILOSOPHY (Ph.D.) DEGREE PROGRAMME IN EDUCATION.
IX. QUESTIONNAIRE FOR STUDENTS AND FACULTY MEMBERS.
X. FINAL DATA COLLECTION EXERCISE
XI. CONTACT FOR CLARIFICATION: 0243089613
DATE: DECEMBER,
2011/JANUARY, 2012
280
RESEARCH TOPIC ACADEMIC RECORDS CREATION AND MANAGEMENT
FOR EDUCATIONAL SERVICE DELIVERY IN TERTIARY INSTITUTIONS.
BY
ID NO.: PhDEAI0003Y
281
QUESTIONNAIRE FOR STUDENTS AND FACULTY MEMBERS
SECTION A: GENERAL INFORMATION AND DEMOGRAPHIC
CHARACTERISTICS
1.0 NAME OF YOUR INSTITUTIONS.

1.1 REGION / LOCATION: (1) …………………………….. (II) …………………..
1.2 PUBLIC / PRIVATE: …………………………………………………
1.3 YEAR OF ESTABLISHMENT: ………………………………………
2.0 RELIGIOUS AFFILIATION:
2.1 NON RELIGIOUS AFFILIATION:
2.2 DEMOGRAPHIC CHARACTERISTICS:
2.2.1 GENDER / SEX: A. FEMALE B. MALE
2.3 INDICATE THE AGE RANGE WHICH YOU BELONG
(i) 18-25 Years 1
(ii) 26-33 Years 2
(iii) 34-41 Years 3
(iv) 42-49 Years 4
(v) 50-57 Years 5
(vi) 58-65 Years 6
(vii) 66 + Years 7
3.0 EDUCATIONAL LEVEL
1. GCE “O” Level 1
2.GCE “A” Level 2
3. SSCE/ WASSCE 3
4. HND 4
5. Degree 5
6. Masters 6
7. Ph.D. 7
3.1 INDICATE YOUR RELIGIOUS SECT
(a) Christian 1
(b) Moslem 2
( c) Pagan 3
(d) Others Specify 4
282
3.2 MARITAL STATUS
(a) Married 1
(b) Single 2
(c) Divorced 3
(d) Co-Habitation 4
SECTION B. ACADEMIC IMPROPRIETIES AND STUDENTS RECORDS

Questions 1
To what extent do you agree with the statement that educational institutions
experience academic irregularities all over the world which influence academic
achievements and records?
(i) Strongly agree 1
(ii) Agree 2
(iii) Strongly disagree 3
(iv) Disagree 4
Question 2
How many times did such incidence occur in your institution?
(1) Once 1 ( 2) Twice 2 (3) More than twice 3
Question 3
Do you agree that most academic achievements of many students are not a true
reflection of their own cognitive abilities?
(ii) Agree 2
(iii)Tend to agree 3
(iv) Strongly disagree 4
Question 4
To what extent do you subscribe to the view that academic irregularities affect not
only the individual students but the entire academic system of the country and the
institutions concerned?
283
(ii) Tend to agree 2
(iii)Agree 3
(iv) Strongly disagree 4
Question 5
Which of the following statements would you accept as the main causes of academic
improprieties in tertiary institutions?
(i) Due to poor teaching methods and ineffective learning styles among students 1
(ii) Due to systemic failure and sheer criminal act of the perpetrators 2
(iii) Due to conducive teaching and learning environments 3
(iv) Lack of motivation on the part of the learner 4
(v) Others, specify ……………………………………………….. 5
Questions 6.
Do you agree that academic irregularities in Ghanaian tertiary institution can be
prevented completely? (a) Yes 1 (b) No 2
Question 7.
If yes, which of the following measures do you think is most likely to reduce this
incidence in the educational system?
(a) Through effective security measures 1
(b) By creating conducive environments for teaching and learning 2
(c) By helping students to discover their unique learning styles which would boost
their confidence for learning and during examination 3
Question8.
To what extent would you agree to the suggestion that appropriate methods must be
generated to calculate in aggregate terms other variable factors which influence the
totality of students’ academic achievements?
(ii) Tend to disagree 2
(iii)Agree 3
(iv) Strongly Disagree 4
284
SECTION C: OTHER VARIABLE OR FACTORS WHICH INFLUENCE ACADEMIC
ACHIEVEMENTS AND ACADEMIC RECORDS OF MOST STUDENTS.
The Table 2.1 below shows lists of some sociological factors which influence
academic achievements and Records of some students. Using the Lekert scale of 1-
5. Tick column 1 if you strongly agree to the assertion. Tick column 2 if you Agree
and column 3 if Disagree, Tick Colum 4 if strongly Disagree and Colum 5 if
Undecided.
Column Colum Column Column Column

No Description 1 n2 3 4 5
Strongl Agree Disagre Strongly undecide
y Agree e Disagree d
1 Tribal/ethnic influence 1 2 3 4 5
2 Protocol considerations by the 1 2 3 4 5
institution.
3 Gender/sex influence 1 2 3 4 5
4 Political influence 1 2 3 4 5
5 Ineffective invigilation during 1 2 3 4 5
examinations.
6 Undetected examination malpractices 1 2 3 4 5
7 Inconsistency/bias in marking 1 2 3 4 5
examinations scripts
8 Influence of hallow effects during 1 2 3 4 5
marking of scripts.[i.e. pleasing
personality or body structure
9 Graph logical/good handwriting 1 2 3 4 5
influence
10 Old-Order (O-Os) influence (i.e. class 1 2 3 4 5
or school mate favouritism)
11 Examination/academic achievements 1 2 3 4 5
are rather subjective than objective
12 Lowering of standard of assessment
for moral reasons or corporate image 1 2 3 4 5
to be maintained or to allow many to
hit the pass mark
13 Financial/material influence from some
students to teachers as a result of self- 1 2 3 4 5
efficacy (i.e. poor performance)
14 Sexual advances by some female 1 2 3 4 5
students
15 Indirect disclosure of test materials by
teachers or records keepers to some 1 2 3 4 5
influential students.
285
16 Examination leakages undetected 1 2 3 4 5
17 Undetected falsification of examination 1 2 3 4 5
results by record keepers through
financial influence
18 Deliberate falsification of result 1 2 3 4 5
especially on-line result through hired
system hackers
19 The act of system hacking (i.e. by 1 2 3 4 5
students themselves
20 Influence of religious/secret society 1 2 3 4 5
and associations
21 Text materials not challenging enough/ 1 2 3 4 5
or low standard
22 Some assessors tend to please or 1 2 3 4 5
project good image in order to maintain
social cohesion with students
286
APPENDIX G (A sample of introductory letters presented for permission for
data collection)
8th May, 2012
The Registrar
University of Cape Coast
Cape Coast
Dear Sir/ Madam,
LETTER OF INTRODUCTION:
MOSES SEBASTIAN AZAMETI (PhD) CANDIDATE)
The bearer of this note, Moses Sebastian Azameti is a PhD Candidate of our University,
Accra Institute of Technology. He is currently writing his thesis on the topic titled “Challenges
in Records Management for Educational Service Delivery in Tertiary Institutions”.
We would therefore be glad if your institution could offer him assistance with the underlisted
information to enable him complete his research work.
 Total Number of Faculty Members

 Administrative Staff
 Record Keeper/ Officers
 ICT Administration
 Total Number of Students
 Total Number of Final Year Students
 Date ICT Application was introduced
287

Challenges of Academic Recordkeeping

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Challenges of Academic Recordkeeping

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RECORDSKEEPING AND MANAGEMENT CHALLENGES AND

THEIR IMPACT ON QUALITY EDUCATIONAL SERVICE DELIVERY

MOSES SEBASTIAN KWAME AZAMETI-TORMADOGO

OPEN UNIVERSITY MALAYSIA (OUM) /ACCRA INSTITUTE

MOSES SEBASTIAN KWAME AZAMETI-TORMADOGO

A Thesis Submitted in Partial Fulfilment of the Requirements for the

Centre for Graduate Studies

Open University Malaysia (OUM)/Accra Institute of Technology

MOSES SEBASTIAN KWAME AZAMETI-TORMADOGO

OPEN UNIVERSITY MALAYSIA (OUM) /ACCRA INSTITUTE

Name of Student: Moses S. K. Azameti-Tormadogo

Student ID Number: PHDED10A0004Y

I, Moses S. K. Azameti-Tormadogo, hereby declared that with the exception of the

Emmanuel Adjei, a lecturer in the Department of Information Studies of the

University of Ghana, Legon, Accra.

Signature:.................................................... Date: 15th August, 2016

Name of Supervisor: Dr. Emmanuel Adjei

Signature:............................................. Date: 15th August, 2016

This study examined challenges associated with Academic Recordkeeping and

I wish to express my inestimable appreciation to Professor Dzidonu the Director of

suggestions during the compilation of secondary data and presentation of this

research. The following individuals also deserve my acknowledgement for the

Akorfu, Head of IT – Wisconsin International University College –Ghana, Mr. Akakpo

of Lutheran Junior High (LJHS) in Accra, Abigail Azameti my daughter of Cape

Chancellor, Wisconsin International University College, Ghana for her supportive

same role. I also hereby acknowledge the effective contributions of my colleagues in

preliminary constructive criticisms of the literature review helped significantly to

improve upon the quality of the second chapter of the study.

LIST OF FIGURES xiii

ABBREVIATIONS AND ACRONYMS xiv

General Introduction and Summary 1

1.2 Background to the Research 1

1.3 Problem Statement 6

1.4 Objectives of the Study 11

1.4.1 General Objective 11

1.4.2 Specific Objectives 11

1.5 Hypothesis Tested 12

1.6 The Significance of the Study 13

1.7 Operational Definition of Terms 19

1.8 Limitations of the Study 23

1.9 Chapter Summary 26

THEORETICAL FOUNDATION, EMPIRICAL STUDIES AND RELATED

2.1 Theoretical Framework 30

2.1.1 Overview of Theories 30

2.1.2 Records Management Theories Applicable to this Study 32

2.1.3 The Records Continuum Concept 34

2.1.4 Principles of Provenance and Original Order 38

2.1.5 Records Office Strengthening 40

2.1.6 Theories Related to Sociological Factors in support of the Study 40

2.1.7 Critical Realism Theory 41

2.1.8 Social Capital Theory 45

2.2 Synopsis of Records and Records Management Globally 48

2.2.1 Challenges in Records Management 49

2.2.2 Social Factors Influencing Creation and Management of Records 60

2.2.3 Challenges Associated with Records Management 63

2.2.4 Ethical Challenges in Records Management 65

2.3.1 Characteristics of a Record 71

2.3.2 Records Management 73

2.3.3 Purpose of Records Management 73

2.3.4 Importance of records management in a University Environment 75

2.3.5 The Records life Cycle Model 76

2.3.6 Defining Records and Explaining Their Importance 77

2.3.7 Symptoms of Poor Record Management 80