赞比亚大学记录管理研究

学校代码：巡研究生学号：QZ!!墨、Q墨

分类号：鱼麴密级：玉

8

东北知予蕴大孽

硕士学位论文

赞比亚大学记录管理研究

ResearchonthemanagementofrecordsattheUniver

sityof

Zambia0烈ZA)

作

者Bw

alyaTuesday（博

箫

晋k

李瑞勤教授

学科专业：情报学

研究方向：信息传播

学位类型：学历硕士

东北师范大学学位评定委员会

2010年5

月.

IIII

onn4

r1rl

IIIIII

独创性声明111111

本人郑重声明:1111

所取得的成果。据我所知，除了特别加以标注和致谢的地方外，论文中不包含

其他人已经发表或撰写过的研究成果。对本人的研究做出重要贡献的个111111

人和集体，均已在文中作了明确的说明。本声明的法律结果由本人承担。1111

学位论文作者签名：幽丝j金i泣左心

盟日期：2.o

学位论文使用授权书

本学位论文作者完全了解东北师范大学有关保留、使用学位论文的规定，

即：东北师范大学有权保留并向国家有关部门或机构送交学位论文的复印件和

电子版，允许论文被查阅和借阅。本人授权东北师范大学可以将学位论文的全

部或部分内容编入有关数据库进行检索，可以采用影印、缩印或其它复制手段

保存、汇编本学位论文。

（保密的学位论文在解密后适用本授权书）

学位论文作者签名：纽型塑：牛鄂蜗指

导教师：亟：兰日

学位论文作者毕业后去向:电话:1

邮31JQLO44

8403

0

摘要

本文调查研究了赞比亚大学有关记录管理的现状（记录管理效率低、不诚实

等），并分析原因提出改进方案。例如，被调查者中有69.8%的人承认在他们任职

期间一些记录消失的事件。他们同样承认他们很难定位并且恢复这些记录。造成赞

比亚大学记录管理不善的原因有许多，其中最主要的原因在于赞比亚大学缺乏一项

记录管理程序。因此，该大学就没有管理记录政策、记录保留以及销毁计划表、

手册和小册子的指导以便于更好地顺利实施记录管理。在这方面，记录负责人以及

来自其他大学的雇员就无从晓得他们应该怎样处理记录。许多负责人在保留记录时

不明确记录应该保留的时间长度，因此只能过早地处理掉这些记录。由于缺乏指导

类的文件作为依据，因此记录不能很好地分类、编排和入档。本项研究同样发现，

大学电子记录储存于数据库、电子邮箱以及其他二级存储设备，例如，DVD光

盘、CD光盘还有软盘等，这些记录很容易地丢失，也需要在专家的指导下统一规

范的管理。

由于缺乏记录管理程序，同样造成了记录管理功能不能最大限度地享有来自大学的

支持。另外，记录管理专家也无法与来自信息技术部门共商大学电子记录管理事

宜。赞比亚大学记录管理应该考虑设置适当的管理机构，以便于协调和指导大学的

档案管理工作。

关键词：记录管理程序；赞比亚大学；记录，记录管理节目

Abstract

Theresearchdiscoversthatmaladministrationofrecords(ine

fficientanddishonest

managementofrecords)isrifeattheUniversityofZambia(UNZ

A).Forinstance,69。8%

oftherespondenlsadmittedthatthereareincidentswhererecords

undertheireustodygo

missing.Theya1soacknowledgedthattheyoftenhavedifficu

1ties1ocatingandretrieving

intimetheneededrecords.Thereareanumberoffact

orsresponsiblefor

ma1administrationofrecordsatUNZA.Themajorcauseofma1a

dministrationofrecords

atUNZAisthelackofarecordsmanagementprogram.Theuniversity

hasnotdrafted

andimp1ementedarecordsmanagementprogra

m.AsaresulLtheuniversitydoesnot

havearecordsmanagementpolicy,arecordsrelentionanddisposal

schedule,manua1s

andproceduresneededforthesmoothmanagementofrecords：Inthis

regard,records

officersandotheruniversityemployeesdonotknowwhatisrequ

iredofthemwhen

hand1inguniversityrecords.Manyofficersdonotknowthe

rightretentionperiodof

recordsundertheireustodyhencetheydisposethe

mpremature1y.Recordsarcnot

PPe1ycad,indexedandfi1edbecausethereisnoma

nua1toexpanhowrecord

hou1dbeeafid,indexedandfiled.Theresearcha

deedthatheno

nvo1vemenfordsmanagementexpertsinthemanage

meftheersty

oniordspartlyalsoresponsibleforthefr

t1osdshe1din

databases,electronicmaiIsandthoserecordsstoredonseco

ndarystoragefaci1itiessuch

asDVDs,CD&andDlskettes.Thenon-avaIIabIIItyofarecordsmanagementproframhas

a1soresu1tedinrecordsmanagementfunctionsnottoenjoymaximum

supportfromthe

universitymanagement.Inaddition,ithasmadeitimpossib1eforr

ecordsmanagement

expertstoworkwit11theircounterpartsfromthelTdepartmenti

nthemanagementof

electronicrecordsoftheuniversity.Maladministration

ofrecordsatUNZAisfurther

compoundedbytheabsenceofacompetentmidd1

elevelmanagementofficetoaidthe

registrar'Sofficeinthecoordinationandsupervisionofre

cordsmanagementactivitiesin

theuniversi

ty.

Keywords：Maladministrationofrecords,UniversityofZamb

a,Records,Records

managementprogr

am

打

TABLEoFACRoNYMS

CD.ROM...............

DBMSDataBaseManagememSystems

»M——————

*胡p,,荣C：-f,.d-;;iv;s*,cT

二一..二.丁l51Lari1(±,e-a

Ji.1.ym.e.m.oK.men

iManagementSy

HTML.....——.....———--S-fe

°tr0uQ)iaCigKb

••••••••

母逮听$用©I

A-I-°°°

i：...Sta

tistic

a1pack

}f_agefor

irii】

social

TABLEoFCoNTENTS

Abstract(ChI

inese)

Abstract(EnglII

ish)

III

CHAPTER1DJTRoDUCTIONANDBACKGROUINFORMATION

1.llntrclduc^fon...

1.2HistoricalBackgrotheUniverstyofZam

bia(UNZA)

1.3Principaladministe0ffices2

ofLrNZA一,e

1.4Schoo1s>Directorateandlnstitu3

teofUNZA

3

.3],6Reco

rdscreati

onandmana

1.7Categoriesofreco

gementatU

NZA

Fc^^B^PROBLEM,oE,

CHAPTER2譬附汀EMENT0THEORETICAL

nU山伍.WoRKANDOBJECTn吧SOFTHESTUDY

s

CHAPTER3L1TER/钢ri,REREVDIWINCLUDESCONCEPTSDEFINITION,U

SES.▲

OFRECORDSANDCAUSESOFMAI.ADMINSTARTIONOFRECORDS

3.iMaladministratio1

nof

3.2Anx：cIrd—12

3.3Characteristicsofareool.d—14

IV1

p

r

3.4Usesofrecords,一15

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

ds1ifeode1vcrsI.ksRecord

sContinuummode1

3.5.2TheimpcIn锄ceofunde/t卜卜dingtherecords1ifecyc1eandr

ecordsContinuummode1sI产

ro

3.6.iRecordsmanagTTX

entPSA

3.6.31沁co1♦也a•aec管c_®_L_progingb1ocks...------z,

3.6.4Recordsinv)praisaI...................................—...——

3.6.5E1emeir"t-s"rr个arecordsman

agement一尺

243.2Bene

3.66ftsofde

卸seoPing

OfM9迫imPe

t1n

1ad用1Jga

e-cordsm

1n1

rr^agemen

traogra

10n由.・吃0

f

sche

du1

▲Ille…―一

o

Ia0r/Vr

.5FonlIs.Bon.espond，ce，r、pTWts.1lcyandproccfturesdoc«rne*°

上VHJCXX

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

3.6.5.7Personne

ecords

3.6.5.8Financef

cords

3.6.5.9Pre^u

3.6.5.10Rd

ment1

3.6.6Thepositionofrecorntfu

s仰cIure...65

CHAPTER4RESEARGIPULATINDESCION,SAMPLJN

TECHNIQUEC0Ys

METHOD^0)

4.1Researce

4.2PopulationandSamp1eSize...D7

I

ismethods.................................7^11-I-oo

•••o

Icmen

t...........

AUDESREcINDINGkSIONOn

FINDINGS.CoNCLUSIONANDRECOMMENDATIONS.

5.IResearchfindi

Sseporti

5.2Discussionofthe

c

5.

5.

L

5.

p

5.erduWingtheR

a

es

A

5.

s

5.

se

De—g...6e9m

s

▲99

105

VI

CHAPTER1INTRODUCTIONANDBACKGROUNDINF

0RMATION

Recordsareofoneoftheindispensableresourcesofanyorganizatio

n.Theyareusedfor

administrative,legalandhistorica1researchactivities.T

oensuretheintegrityofrecords,a

robustrecordsmanagementsystemshouldbeestabiishedandimp1emen

tedbyan

organization.Awater-tightrecordsmanagementsystemisnee

dedinorganizationsSOthat

recordsaremanagedina11efficientandethicaImanne

r.Itishoweverdisturbingtoknow

thathistoryisrepletewithcaseswherepublicrecordsandprivater

ecordshasbeen

inefficient1yanddishonest1ymanagedthussabotaging

government,organizationaland

individualactivitiestherecordsintendedtoserve.T11iSma1admi

nistrationofrecordshas

beenreportedinbothprintandelectronicmediaamonggovernm

entalbodiesandother

organizationsaroundtheglobe.Someofthesema1admin

istrationcasesaretoose

becausetheyinvolvethedeletngofrecordsintentiona1lyasawayof

suppressingthe

(UNZA)isoneofsuchpub1icinstitutionsthatexp

eriencema1administrationofrecords.

Ma1administrationofrecordsisthreateningtocomplet

elyterminateaccountabi1ityand

transparencyintheuti1izationofresources(pub1icresources)me

anttobetterpublic

servicedeliverytothegeneralcitizenryamonggovernmenta1bodie

s.Maladministration

ofrecordsisacancerthatneedsurgentmedica1attentionore1seitw

i1lerodecompletely

theprinciplesandphilosophiesuponpublicinstitutionssuchasUN

ZAwereestablished.

1.2HistoricalBackgroundoftheUniversityofZam

bia(UNZA)

DuringtheBritishco1onia1ruleinZambia,opportunitiesforh

ighereducalionand

trainingforZambianswere1imited.OnlyahandfulofZamb

iansreceivedhigher

1

educationandtrainingfromtheBritishcolonialgovernment.Th

isresuItedinanacute

shortageofhumanresourceinZambiajustafterindependence

in1964.Theacute

shortageofhumanresourceconstitutedamajorbolt1ene

cktothecountry'S

developmentalefforts.Asaresultofthisshortage,Za

mbians>)1,itl1lowerformal

qua1ificationshadtoberecruitedt0fi1lupthegapsleftbyexpatri

ates,particularlyinthe

pub1icsecto

r.

Inviewofthis.thepostindependencegovernmentendeavoredtofinda

panaceatothe

prob1em.Thethengovernmentundertheleade

rshipofDrKennethKaundadeemedthe

estab1ishmentofUniversitiestoprovidetrainingtoZambian

sarea1isticandpermanent

so1utiontotheacuteshortageofhumanresourcethecountryfaced.I

nMarchl963,a

commissionchairedbySirJohnLockwood,aformerViceChance1

loroftheUniversity

ofLondonwasappointedtoassessthefeasibiIityoftheestablishme

ntofaUniversityin

whatWasthenca11edNorthernRhodesia.ThereportwhichWassubmitt

edbyLockwood

commissiontogovernment1edtotheestabiishmentoftheUniv

ersityofZambiain1966.

1.3PrincipaladministrativeOff

icesofUNZA

Theprincipaladministrativeofficesattheuniversityare：Office

oftheChancellor,

UniversityCounci1,OfficeoftheViceChance1lor,Officeoft

heDeputyViceChance1lor,

OfficeoftheRegistrar,OfficeoftheBursar,Officeoft

heLibrarian,andDeanof

Studentsoffice.Notethattheseofficeshavebeenlistedacco

rdingtotheirorderof

hierarchicalimportance.Theseofficesconstitutetheprinc

ipalOffiCeSresponsibleforthe

generaladministrationoftheuniversi

tybusiness.

1ASchoo1s,Directorateandinstitute

ofUNZA

TheacademicbusinessoftheUniversity

ofZambiaisadministeredthroughSchoo

DeansandDirectorsoftheDirectorateandlnstitutewhoareanswera

1J1etotheO伍cethe

ViceChancellorandtheDeputyViceChancellor.Therear

enineschoolsaltheUniversity

2

Y

ofZambia.Theseare：AgriculturalSciences,Engineering,Educati

on,Humanitiesand

SocialSciences,Law,Mines,Medicine,NaturalSciences,and

VeterinaryMedicine.In

additiontotheseschools,thereisaDirectorateofResearchandGrad

uateStudiesandthe

InstituteofDistanceEducation(formerlycalledtheDirecto

ateofDistanceEducation).

1.50therUnitsofUNZA

TheC1inicandTechnologicalDevelopmentUnit(TDU)aresomeoftheot

hermajorunits

oftheuniversity.Theuniversityc1inicisveryessentialasitprov

ideshea1thservicesto

students,themembersofstaffandtheirfami1ies.Italsoexte

ndstheroleofproviding

healthservicestothecommunitiessurroundingtheuniversi

ty.TheTechno1ogica1

DevelopmentUnitischargedwiththeresponsibi1ityofdevel(

pingtechnologiesthat

couldbeappliedtomanysectorsoftheec

onomy.

1.6Recordscreationandmanagementa

tUNZA

Likeshownabove,theUniversityofZambiacompriseseightprincipa

offices,nine

schools,adirectorateandinstitute.Inaddition,therearei

nitssuchastheclinicandthe

technologicaldevelopmentunit.A11theseoffi

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

jBinvolvedintnecreatlonanaaccumu

1ationofrecordsasofficebearersa

supportstaffcarryouttheday.to—daybusinessoractivitie

Utiteliln6vhrEity.

TherecordsmanagementsystematUNZAisb

asedontheBritishMode1ofmanaging

records.Thisrecordsmanagementsysteminvolveskeepi

ngactiverecordsinthe

registries.Whenthey