CHAPTER THREE

RESEARCH DESIGN AND METHODOLOGY

3.0 INTRODUCTION
This chapter covers the methods of the study. It deals with data collection and covers
how data is derived from primary and secondary sources. The chapter also details the
approach used and conditions under which the various stages of investigations were
carried out, development of initial contacts, pilot survey, and design of main research
instrument (questionnaire), which was used to collect the primary data. It further
indicates how issues of validity and reliability were addressed through triangulation.
To satisfy information needs of any study or research project, an appropriate
methodology has to be selected and suitable tools for data collections (and analysis) have
to be chosen (Mouton, 2001). Every type of research has a research design. The design is
a logical sequence that connects empirical data to a study's initial research questions and
ultimately, to its conclusions. In a sense the research design is a blueprint of research,
dealing with at least four problems: what questions to study, what data are relevant, what
data to collect, and how to analyze the results (Yin, 1994). It is much more than a work
plan because the main purpose is to help to avoid the situation in which the evidence does
not address the initial research questions.
RESEARCH DESIGN
A research design describes a flexible set of guidelines that connects theoretical
paradigms to strategies of inquiry and methods for collecting empirical material. It
situates researchers in the empirical world and connects them to specific sites, persons,
groups, institutions, and bodies of relevant interpretive material, including documents and
archives.
The research questions guided the design of the research in terms of what data were
needed to answer the question, where the data were, how data were to be collected and
how they were to be analyzed (Durrheim 1999:29; Rowley 2002:18). Using the survey

approach, the researcher was able to collect data on the different practices of records
management at HCDA.
Departments and units that constituted the organization were selected as the
administrative units from which the information was collected on the basis that these
units carried out the core activities of the organization that contributed to the creation and
maintenance of records. The respondents consisted of action officers from the three
departments of the organization and the officers responsible for records management in
the organization. The population was identified from the organizational procedure
manuals that listed the activities of the organization.

The methodology chosen was a literature review and critical analysis and synthesis of the
available materials on other forms of auditing. The methodology was found appropriate
in addressing the research questions and finding out the processes and systems in place at
HCDA to handle records management. The methodology employs a checklist of good
practice and through examination on a test basis on records held in the organization
regardless of the format. Records managers are said to use analysis design as a way of
evaluating and examining the efficiency and effectiveness of their services.
3.1

STUDY POPULATION

The study will mainly look at the records held in the organization. The target is personnel
records, financial records, incoming and outgoing mails, paper and electronic records.
Other records to be studied or rather looked at are the minutes of the board and all
records concerning procurement activities in the organization. These categories form a
sample representative of the records that are dealt with in the organization in achieving its
mandate and objectives. The target population shall be the top management and the staff
responsible for records management in the organization. The focus of the audit shall also
be based on the general state of the records management, that is, the systems in place at
HCDA and the infrastructure for records management.

3.2

SAMPLE AND SAMPLING METHOD

Random sampling was the method that was used to select the sample size whereby the
researcher decided to select twenty (20) active files and an inspection of the records was
done to find out if proper classification and filing was adhered to. Records were also
checked for accuracy and completeness. The researcher decided to select a sample of
forty (40) employees to collect data from them which was seen to be helpful in carrying
out the research. This was the population which was given the questionnaires to answer
and return them to the researcher. Another sample of twenty(20) was also chosen to form
part of the study population from which interviews were to be conducted since the
researcher decided to use observation checklist as the main data collection tool and
questionnaire and interviews to substitute the observation checklist.
3.5

DATA COLLECTION INSTRUMENTS

This study utilized primary data collection tools which included; questionnaire, interview
schedule and observation. Each of these tools is discussed below. The principal data
collection instrument was the observation checklist with questionnaire and interview
being employed to supplement observation checklist. In research, the use of various
methods to collect the same data or triangulation is highly commendable.
An interview was also conducted to determine the challenges experienced in managing
records in the organization whereby staff in the registry were asked questions concerning
the problems they faced in managing records in different formats. The researcher was
also interested in finding out the skills and the expertise of the staff in the records
management unit to see if these could contribute to problems in the management of
records especially the records in electronic format. Still on the interviews the researcher
was interested in finding out from the users of the records the degree of professionalism
that they thought the registry staff possessed.
Questionnaires were also passed to sample population of forty (40). The sample
comprised of both the users and the registry staff covering the three departments in the
organization. There were different sets of questions for the records management
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personnel and the users who include the action officers and all the staff served by the
records management staff.
3.5.1

QUESTIONNAIRES.

It is a common instrument for collecting data beyond the physical reach of the researcher.
This study utilizes the questionnaire with open-ended and closed- ended questions.
Questions were formulated in respect with the information needed. Examples of the
questions that were asked were whether there is a policy regarding records management
in the organization. It was also important to find out whether there were any controls in
place to ensure proper management of the records in the organization as well as finding
out if other audits for example financial audits were carried out successfully that is if the
necessary records were available to support the audits. These and other questions were
found relevant in addressing the questions of the existence of policies and procedures as
well as knowing the standards followed to address records management.
The questionnaires were personally administered by the researcher to the selected sample
of study forty (40). Simple standard questions were presented to the respondent with a
request to answer the questions and return. They were allowed to fill them for one week
after which they were collected. The researcher decided to use a different questionnaire
for the users and the registry staff for objectivity purposes. There were questions that the
researcher felt that a certain group could answer comfortably and confidently and so the
need for different set of questions used.
This method helped the researcher to obtain statements of facts and also placed less
pressure on the respondents who were not required to respond immediately. This allowed
the respondents to answer to the question during their own time and give well thought out
answers hence detailed information. The researcher got dependable and reliable data as
the respondents were able to produce honest opinion without fear of victimization.
However, some respondents were not cooperative which led to failure of return of some
questionnaires. Other questions were not answered which caused problems in the
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interpretation of the data. We can also say that in information or records management
audits a questionnaire may not be the best data collection tool to use if you are not
working in a timescale and with limited amount of resources.
3.5.2

INTERVIEW.

Interview is a verbal reciprocate method that permits the direct exchange of ideas,
opinions or information between the interviewer and the interviewee. It is considered to
be the most significant, reliable, and often used as a fact finding method. For any
successful records management audit interviews are seen as the most effective tools for
collecting data. For a survey of records management systems an interview has to be
carried out. It may be structured whereby predetermined questions are formulated in
advance before the interview is conducted. The management and the staff responsible for
records management were interviewed concerning the processes and the procedures in
place for records management to find out if the process were meeting the objectives of
records management. There was an in depth dialogue between the researcher and the
records manager which provided the information necessary to carry out the audit.
This research utilized interviews, which were administered by the researcher through face
to face. In preparation for the interview, the target respondents were requested for
appointment and issued with a copy of the interview schedule so as to make them aware
of the particulars they were expected to respond. While conducting the interview, data
was recorded by writing as the interviewee responded.
The interview schedule provided for immediate responses to queries and more data in
great depth, which was up to date. It allowed the researcher to control the sample as more
effectively as there arose no difficulty of missing returns. Furthermore, the researcher
was able to seek clarification on specific issues and challenges faced in the management
of records. It also avoided rigidity or resistance of some respondents, hence sealed the
omission and ambiguities that arose from questionnaires. The researcher had the
opportunity to motivate the employees (interviewees) to respond freely and openly to
questions and this enhanced more data.
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The interview was conducted to the selected sample of twenty employees in the
organization. The researcher booked the appointment with the interviewees through face
to face discussions held between the two groups since the interviewer was part of the
team that is an employee of the organization.
The interview is a good opportunity in records management audits to talk about access to
information and thus get suggestions on how the services can be improved to get
customer satisfaction in information provision.

3.5.3

OBSERVATION.

Observation focuses on an individual behavior or the physical environment of the

individual. It helps improve the validity of the responses given by other methods. The
researcher collected the data through observation that is viewing the records supporting
operational transactions of the organization. The selected documents were analysed to
ensure completeness, accuracy and reliability. A visit was made to the records office to
ensure proper security measures were in place regarding management of records in the
organization. Other areas of the audit that could only be fruitful through observation were
the physical state of the registry, file movement control/ file tracking, efficiency of filling
and the existence of a reliable filling classification scheme and registry procedure
manual. Examination of the administrative requirements in regards to proper records
management was also an issue that needs to be addressed by the audit.
It was less demanding of active cooperation on the part of respondent and it involved less
cost. The researcher collected accurate data hence avoiding subjective bias, as the
respondents were not aware of the observation. It helped to conform and negate what was
collected through other tools, as this was real.
Functional analysis was found to be a useful tool to find out the various types of records
that HCDA creates and manages in the operations of its business activities and their
formats.
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Baseline surveys in records management are intended to determine the current state or
status of the programme prior to any improvements or restructuring. The performance
indicators used in this case are observing the physical state of the registry, file movement
control/ tracking system, the work environment, efficiency of filling and the pending
mails and the level of staff in the registry.

3.6 DATA ANALYSIS TECHNIQUES.

The data gathered from the study was analyzed using both quantitative and qualitative
technique of data analysis. Frequency tables, percentages, graphs and descriptive
statistics were used where applicable in data presentation.
The pre-tested questionnaires were delivered in person by the researcher in order to
establish rapport with the respondents and encourage questionnaire return. The returned
questionnaires were edited, coded and captured into a matrix. The data were analysed
using the various themes of the research questions that guided the investigation.
CONCLUSION
The chapter defined the methodology to be used in carrying out the research and outlined
the research tools that the researcher found useful in carrying out the research. The study
went ahead to discuss the various data collection tools that is the questionnaire, the
interviews and the observation checklist while giving the reasons for using the tools
chosen. It is also in this chapter that the advantages and disadvantages of the research
tools chosen were discussed.