Chapter One Doreen
Chapter One Doreen
Chapter One Doreen
1.1 Introduction
This chapter contains background to the study, statement of the problem, purpose of the study,
objectives of the study, research questions, scope of the study, significance of the study and
definition of operational terms.
1.2 Background to the study
Records are important sources of information and knowledge. They assist the government to
make timely, relevant and informed decisions hence contributing to sustainable socio-economic
and political development (Kemoni,2017). According to Sherperd, (2016) a record is recorded
evidence of an activity that is of an action undertaken by an individual or a work group in the
course of their business which results in a definable outcome. A record is not defined by its
physical form, its age or the fact that it contains information. Its essential characteristic is that it
provides evidence of some specific activity. Records are the indispensable foundation of the
accountability process (Ndenje-Sichalwe and Ngulube, 2018). Cox and Wallace (2017)
collaborate the assertion by stating that accountability and transparency cannot be achieved in an
environment where information is not available. Van der Waldt,(2016) observes that information
is a fundamental resource for both government and the private sector alike and can be maintained
and enhanced through appropriate records management.
Organizations including public institutions are accountable in many ways to meet legal,
regulatory and fiscal requirements, undergo audits and inspections or provide explanations for
what was done (Shepherd and Yeo ,2019). Government institutions including county
governments ought to adhere to proper records management practices in order to ensure good
public service delivery. Without reliable and authentic documentary evidence underpinning all
essential accountability processes, government, civil society and the private sector cannot ensure
transparency, guarantee accountability or allow for the exercising of good governance
(Obura,2018).
To ensure that the county governments provide best services to the public there is need to put
good records management program in place. The program should entail policies, procedures;
best practice standards or benchmarks set to ensure those in charge of records adhere to them.
The program should be implemented by top management and ensure that every employee in
charge of records, creating records or using records is aware. Hase and Galt, (2017) point out
that good records management practices are essential to organizational effectiveness. Hase and
Galt ,(2017) further add the following factors that relate to organizational effectiveness as
enhanced due to good records management; risk reduction, loss of credibility that suffers when
paper trails are not easily accessible, continuity of organizational knowledge, improved customer
services due to quick access of information, reduction of costs associated with inefficiency and
inconsistency for example duplication, reduction of operating costs through determining who is
the “owner” of documentation, and thus enabling the destruction of duplicate files and working
documents.
Public service delivery is critical to ensuring the country’s well-being, citizens satisfactory and
development whether economic, social or political depends on how efficient are the services
provided. On daily basis, governments carry out several regulated and unregulated activities to
provide citizens with services and at the same time guarantee that these services are provided in
accordance to the rule of law (Mampe and Kalusopa, 2019) and Ngoepe, (2018) propound that
better service delivery begins with good records management practices. Mampe and Kalusopa
(2019) further adds that this is because the government or public departments can only take
appropriate action and make correct decisions if they have sufficient information at their
fingertips.
Records management supports efficiency and effectiveness in service delivery in many ways.
These include documentation of policies, procedures, rules and regulations that inform service
delivery such as the type of services provided, who is responsible of providing the service, who
is to be provided with the service and how and what is the cost to be incurred or involved.
Nandain, (2016) asserts that effective information and records management provides the
foundation for accountability and protection of human rights and increases citizens’ awareness to
their rights. Kemoni,Ngulube, and Stillwell, (2017) also affirm that records management is
significant to the government’s realization and achievement of its goals such as the rule of law,
accountability, and management of state resources and protection of entitlements of its citizens
as well as enhancing foreign relations.
The Australian Standard defines records management as “the discipline and organizational
function of managing records to meet operational business needs, accountability requirements,
and community expectations” (Australian Standard, 2016). According to Kemoni, (2017) 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.
1.3 Statement of the problem
Workers in public institutions are usually not able or are struggling to render timely and
effective services to citizens due to a lack of effective records management systems. Workers
usually end up not rendering certain services because of the missing files. ICT or electronic
records management systems can be used to ensure easy and fast access tothe retrieval of
information or records (Ojo,2019). In traditional paper records management systems, the records
managers and clerks waste a lot of time looking for missing and/or misfiled records, which is not
conducive to the functioning of an organization. There is a need for an effective records
management program to upgrade the records-keeping system for easy and timely retrieval of
information, and improved office efficiency and productivity (Robek, Brown, and
Stephens,2016). It is against this background that this study is instituted to investigate the role of
records management towards service delivery in public organizations using a case study of
Kabale Municipal Council.
ii. To examine the impact of the application of Information and Communication Technology
(ICT) on records management at Kabale Municipal Council.
i. To what extent does records management impact on the transparency and accountability
of Kabale Municipal Council
ii. How has the application of Information and Communication Technology (ICT) impacts
records management at Kabale Municipal Council?
iii. What are the challenges experienced by public institutions in managing records?
1.7 Scope of the study
This covers the geographical scope and content scope
1.7.1 Geographical Scope
This study will be carried out at Kabale Municipal Council Kabale Municipality, Kabale district.
1.7.2 Content Scope
This study specifically was based on the following objectives which are; the extent to which
records management impacts the service delivery at Kabale Municipal Council,the impact of the
application of Information and Communication Technology (ICT) on records management at
Kabale Municipal Council,and challenges experienced in effecting records management
practices.
Records provide evidence of human activities and transactions, underlie the rights of individuals
and states and were fundamental to democracy and good governance (Kemoni,2017).
Therefore, the findings of the study are expected to help public organizations to suggest ways of
improving the services it delivers to the public by emphasizing the importance of records
management as a critical component in promoting and improving service delivery. This is a vital
contribution, as recordkeeping underpins all aspects of public administration, and governance,
promoting accountability, helping in the fight against corruption, and protecting the rights and
freedoms of the citizens and the government in charge.
The study also aims to enlighten the top management and staff of Kabale Municipal Council on
the importance of good and proper records management in the provision of service delivery, the
need to establish a good records management program that includes policies, procedures, and
standards that govern records keeping in the Municipal Council and also to ensure these elements
of records management are emphasized to all members of the council.
The study will also make useful recommendations on challenges experienced in the provision of
good service to the public due to poor record-keeping practices.
The research will contribute to the body of knowledge on records management and public
service delivery and will inform the institution on the development of policy, systems, practice,
and theory of records management as an integral part of good public service
For the purpose of this study, the following are the operational definition of the terms below:
Record
Records Management
Records management is considered as that field of management responsible for the efficient and
systematic control of the creation, receipt, maintenance, use and disposition of county records,
including the processes for capturing and maintaining evidence of and information about county
activities and transactions in the form of records.
Public Service
Public services are the services provided or supported by the county or its departments to the
people it serves. The county government mostly pays for these services. Public service exists for
the following reasons: to render service to the country's citizens, to provide social services and
infrastructure, to translate government policies and programs into activities, to achieve
development goals and to create an enabling environment conducive to individual and private
sector initiatives. (Murungaru 2016).
LITERATURE REVIEW
2.0 Introduction
This chapter contained the research findings of various authors and publications on aspects of the
current study. The first section is a literature survey; the second section focuses on a literature
review covering studies carried out outside Uganda and their findings in relation to the current
study variables.
Proper records management according to Mulauzi, Hamooya and MunsanjeMwale (2015) helps
to identify and protect vital records. It protects vital records from premature destruction and also
prevents excessive retention of records which cause difficulties in retrieving them. Considered a
key component of operational efficiency, record management adds more value to organization’s
information assets.
Organisations round the world are making significant investments in information technologies
and services that enable the digital transformation of their records management systems and
services (Help Net Security, 2019). In other words, organisations and governments have now
turned to information technologies as a “solution” to their records management problems
because of their potential to address key records management problems such as communication
barriers, storage constraints and time constraints to retrieve the records. There is a paradigm shift
in the way information is created, gathered, distributed, used, communicated, stored and
retrieved with ICTs. For instance, they have become a critical element for records creation. ICTs
such as computers, recorders and cameras make easy the process of creating records.
According to Mulauzi et al (2012), today, a record can be easily conceived and created by its
initiator on the computer terminal and records can be produced effortlessly in multiple copies
with very little extra cost. Mulauzi et al (2012) further stated that documents created using ICTs
can be output in a variety of formats such as paper, microform, or electronic from just one source
document and these extra outputs can be achieved cheaply and with little extra effort.
The use of ICTs to store organizational records constitute an important aspect of effective RM.
Advanced computer storage technology and sophisticated retrieval techniques such as query
languages, multimedia databases and database management systems can be effective tools in
enhancing the storage of organizational records. These tools increase the speed at which records
can be accessed. Moreover, ICTs are versatile tools that can perform literally any records
management task. According to Flavia-Blanco (2011), multitasking is one of the major
advantages of information technologies as they can solve many RM problems within few
seconds. For instance, a record initiator can create, use, distribute, store and retrieve a record on
a single computer work-station, thereby eliminating the huge army of secretarial and record
keeping staff and the associated requisite records management space, equipment and stationery.
Unlike bulky paper records that need a considerable amount of space for storage, ICTs offer
opportunities for compact storage through electronic and digital storage devices and information
can be stored information on a number of sources such as flash drives and Google drive. Space
issue and equipment is not a problem.
Ralph and Reynolds (2008) support this by stating that ICTs provide new capabilities for
organisations to handle large amounts of information that they would not do previously. They
argue that large amounts of business records can be stored in computer systems instead of
depending on handwritten scripts or recording information manually. Information is also easy to
handle as one does not require plenty of physical space such as records centers to store it. With
electronic storage devices, information can be retrieved at any time by multiple users at the same
time. For example, a manager of a company can send an email which can be read within that
same period by all the people concerned. This has led to efficiency and an increased output,
which has made many companies more profitable.
ICTs also enhance retrieval systems and online search facilities. ICTs provide better and quicker
records retrieval services to the users. Laudon and Laudon (2012) opined that many people no
longer queue for services to access their records such as water bills, rates, and revenue authority
tax. People may work from home or anywhere as long as they have a computer or any other
appropriate gadgets that can connect to the internet such as smart phones and tablets that can be
used to retrieve information. Furthermore, it saves time and energy, as well as creating space in
the office since all documents are automated. Records cannot be easily damaged as handling is
not physical. It’s also possible to provide the desired information selectively to the user (i.e., a
user can be given the actual information that they desire other than being given a bulky file of
paper records from where they have to laboriously search for the information they want).
Additionally, ICTs can process raw data into usable information at little extra cost in terms of
money and effort.
As stated by Ralph and Reynolds (2008), ICTs enables many people to communicate information
better in a cheaper and faster way. For example, a message which took weeks or even months to
be delivered to the recipient because of the mode of delivery such as a messenger, can now be
delivered with the click of a button on the computer. In this way, information is passed on
quickly and is also stored on modern technological devices for future reference if there is need to
do so.
Barry (2018), notes technological implications such as the fragility of media, file deterioration,
media obsolescence, and hardware and software obsolescence pose a challenge to managing
electronic records. Barry (2018), referring to the state of ERMS in developing countries, argues
that in an environment where there is no technology architecture, countries are computerizing
inefficient manual recordkeeping systems. However, it should be noted that technology not only
poses challenges but also offers opportunities in terms of access, retrieval, and user interface.
The challenge is to determine what hardware and software are essential for ERMS. This is
something that is difficult because of the increasing sophistication of information technology.
The technological challenges are many.
Shepherd and Bearman (2016) indicate that electronic records and data are usually easy to delete,
and can be very easy to amend or update. The literature also indicates that both the survival and
the readability of records can easily be endangered in the electronic environment. Thus designing
and building systems that ensure the survival, accessibility, availability, and integrity of
electronic records is a challenge that every record keeper and organization needs to meet. There
are security concerns when it comes to the management of electronic records. Shepherd and
Bearman (2016) stated that electronic records depend on technology for their generation, access,
and use over time and that they should be protected from unauthorized and undocumented
alteration or deletion. This is because records created and maintained in electronic form are
continually at risk of inadvertent or intentional alteration.
Facing today, preparing for tomorrow: Regardless of the individual agency’s function, most
of their employees are record creators and record-keepers. As such, not only should they be
prepared to engage in the enforcement of policy today, but they will also need to face the future
challenges of managing the ever-growing volume of records. After all, the amount of
information is only going to increase, and flexibility and adaptation for today and the future is
imperative for any successful records management plan.
Maintaining the security of electronic records over time is a big challenge to many governments.
According to Cook, T., (2010), the manipulable nature of electronic records means that, in the
absence of appropriate safeguards, it is relatively easy to alter or delete the electronic records –
whether intentionally or unintentionally. Alterations to electronic records can be virtually
undetectable, undermining their evidential value as records.
Maturity and expense: Each agency is at a different stage in their records management process
and create and receive different kinds of records dependent on the role they fulfill, making it
difficult to adopt a universal records management prescription. Agencies are challenged to be
thorough in understanding and anticipating exactly what their unique business needs are. Beyond
this, shrinking budgets place a premium on precious dollars needed to store and manage
information.
Wato and Lekaukau (2012) argued that technological developments have allowed easy access to
records and caution records managers to take the necessary measures to maintain the safety of
electronic records. Thibodeau (2012) explains, that one of the difficulties of electronic record
keeping is the ease with which electronic records can be changed or deleted, hence the need for
an electronic archive system to be designed to minimize risks of this type.
The challenge is to provide security controls to prevent the potential abuse of recordkeeping
systems. McLeod and Hare (2015) argue that without a high-level security framework,
confidence in electronic systems would be difficult to build as records can easily be deleted or
changed at any time. With IT there is potential for ever-expanding access to the entire
information process involved in the conduct of business. This creates enhanced possibilities to
compromise security concerns.
High Software Development Costs; If you need to power an electronic document management
system with a missing feature it will cost you a lot. Custom software development requires an in-
house tech team and tremendous investments. Finding a way to get quality functionality while
avoiding huge expenses is not easy. And since no ERM system is perfectly tailored to your
needs, you will likely have to upgrade it Keith (2015).
The long-term preservation of Records is still a challenging task; Keakopa (2017) agrees
with Bearman (2017) that the long-term preservation of electronic records is still a challenging
task in a number of countries. Keakopa (2017) explains that the long-term preservation of
electronic records is one of the unresolved problems associated with the impact of technology on
recordkeeping. The major concern according to Cook (2010) is put it, ‘If electronic records exist
as virtual documents, how does an institution preserve evidence of and provide accountability of
specific transactions?’ This raises the question as to how the electronic records are stored and
maintained in the UPS.
ERMS are affected by changing technology which is expensive. World Bank (2016), notes
that the rapid rate of technological change also means that the hardware and software have to be
upgraded constantly to ensure continuous use of the electronic records. Reading and
understanding information in electronic form requires equipment and software, which is
changing constantly. This raises the need for strategies to maintain access to ERMS.
Lack of formal institutions with legal and regulatory provisions; According to Xie (2016),
the lack of formal institutions such as a functioning national archive has a significant implication
for ERMS. The national archives often provide guidelines to help agencies with how records can
be identified, accessed, disposed of, or transferred to new systems should their required retention
extend beyond the life of the system in which they were originally created or stored. In order to
ensure that electronic records are properly managed, the national archives provide advice on
ERMS. They define the responsibilities of government agencies to organize, protect, provide
access to and properly dispose of their records, including the transfer of non-current records with
enduring value to the national archives.
Human Resource challenges; Yusuf and Chell (2018) indicate that the lack of trained records
managers and archivists affects the work practices related to the management of electronic
records. User education and training provide a solid foundation for managing electronic records,
but it is lacking in most developing countries. Yusuf and Chell (2018) argued that there is
sometimes no standard approach to the ERMS training, which affects the quality of the services
provided.
Document Standardization and Rendering; Apart from poor connectivity, the use of multiple
tools leads to document standardization problems. Since software generates records in different
formats, it may be challenging to put them in order. Without automated document rendering and
PDF conversion capabilities in your electronic records management system, it will be even
harder to do Richmond (2015).
CHAPTER THREE: METHODOLOGY
2.0 Introduction
The chapter presents the methodology used in conducting the study. It reflects the study research
design, area of the study, the population of the study, sampling, data type, sources, data
collection methods and instruments, procedure of data collection, data processing and analysis,
ethical issues, and limitations of the study.
3.1Research design
The study will use a descriptive research design because it will provide a framework for
interpreting the variables of the study. Descriptive research is used to obtain information
concerning the current status of the phenomena to what exists with respect to variables or
conditions in a situation. Both qualitative and quantitative approaches will be used where by
the researcher will use questionnaires when collecting and tables when presenting data from
the field. The technique is appropriate as it involves a careful in-depth study and analysis of
the subject matter.
The researcher will consider a sample size of 100 respondents and this will be determined using
Krenie and Morgan table.
Secondary data is the data that has been already collected and is readily available from other
sources (Olive Mugenda and Abel Mugenda, 2019). Such data are cheaper and more quickly
obtainable than the primary data and also may be available when primary data cannot be
obtained at all. The secondary data will be got from Kabale Municipal Council. Secondary data
is used because access time is relatively short.
The qualitative data will be categorized and coded in different themes according to objectives
and the research questions. The researcher then will give meaning to the data by relating the
information to the contexts. Some of the highlights of these data will also be captured in form of
quotations.
The study will be carried out according to the following norms and regulations.
Confidentiality
The researcher will ensure that the information given to her by the respondents will be regarded
as confidential and this will be done by not providing the names of the respondents on the
questionnaires distributed and also not noting the respondents’ names during interviews.
Informed consent
The researcher will ensure that all participants are fully informed of what the research entails and
the purpose of the research. All participants will have the legal capacity to give voluntary
consent.
Privacy
The researcher will ensure the research ethics of maintaining privacy for all people that will be
involved. Privacy of participants will be the control; a participant has over sharing of their
behaviors, beliefs, and values. The researcher will ensure that there is a control on when and
under what conditions others will access to informed consent provided by participants to the
researcher.
Intervening or confounding variables such as the honesty of the respondents and personal bias
would be beyond the researcher’s control. To minimize such conditions, the researcher will
request the respondents to be as honest as possible and impartial and unbiased in answering the
questionnaires.
Uncooperative behavior of some respondents who may be reluctant to give information could
limit the researcher in this study. However, the researcher will mitigate this by assuring the
respondents that the study is intended for academic intentions only and the researcher will show
them her university identity card and university letter permitting her to carry out the research.