Research proposal on “RECORD MANAGEMENT PRACTICES IN ICT ENVIRONMENT”

Case study: Prime Minister Office – Regional Administration and Local Government

TABLE OF CONTENTS
CHAPTER ONE 4
1 INTRODUCTION 4
1.1 Overview of business records management in Tanzania 5
1.2 Statement of the Problem 6
1.2.1 Legal requirements: 7
1.2.2 Policy instruments: 8
1.2.3 The current situation 9
1.3 Objectives of the study 10
1.3.1 General objective 10
1.3.2 Specific objectives 11
1.4 Research Questions 11
1.5 Significance of the study 12
2 CHAPTER TWO: LITERATURE REVIEW 13
2.1 Introduction 13
2.2 DATA, INFORMATION, KNOWLEDGE AND RECORDS MANAGEMENT 13
2.2.1 An overview of data, information, knowledge and records 13
2.2.2 Role of data, information, knowledge and records in organizations 14
2.2.3 Information and knowledge as critical resources in development 15
2.3 Meaning of Record 17
2.3.1 Records Management 17
2.3.2 Record keeping principles 18
2.3.3 Management of Public Records 27
2.3.4 Functions and responsibilities of a records office 28
2.4 Record management policies 29
2.5 Managing electronic records 30
2.6 THEORETICAL FRAMEWORK OF THE STUDY 31
2.6.1 Records life-cycle 31
2.6.2 Records continuum 33
2.6.3 Hybrid records life-cycle theory 36
2.6.4 Linking the theoretical framework to the research problem 37
3 CHAPTER THREE: RESEARCH METHODOLOGY 39
3.1 Introduction 39
3.2 Research area 39
3.3 Research design 39
3.4 Population and sampling procedure 39
3.5 Data collection tools 40
3.5.1 Questionnaire 40
3.5.2 Observation 41
3.5.3 Documentation 41
3.5.4 Interviews 41
3.6 Data analysis 41
4 BIBLIOGRAPHY 42

CHAPTER ONE

INTRODUCTION

According to the Federal Records Act (1950), a record is, “recorded information, regardless of medium or characteristics, made or received by an organization that is evidence of its operations and has value requiring its retention for a specific period of time.”

The second half of the twentieth century has been termed as the era of “Information Revolution”. Information and Communication Technology (ICT) touches almost every aspect of life and has become the backbone of telecommunications, businesses, finance, governments, health care, and education. Advancement in ICT such as the internet, have effectively economic borders and further strengthened the concept of “Global community”.

Laura, M (2003). The rapid development and use of information and communication technologies has transformed the way that organizations look at transparency and openness. Access to information, legislation and related privacy laws have emerged in part because citizens and governments are concerned to protect their rights and document their responsibilities in an age of continual change in the process of communication and data gathering.

Information and communications technologies have also increased the speed with which records are created and used. Citizens now want access not just to records that are more thirty years old but, more often, to records that may only be thirty days old.

Technological advances have also made it possible for records and information to be readily available to the public in digital form, challenging the process of managing those records even more. The ability with which governments can change computer systems, for example, means that computer-generated records may become obsolete, or the systems needed to open computer files and access information may be replaced without regard for protecting the electronic information created. The development of web-based information resources and the move to electronic government (‘e-government’) around the world are signs of the growing importance of computers in the conduct of government business.

1 Overview of business records management in Tanzania

The historical background of business records management in Tanzania can be traced to before AD 1000 in the coastal areas of Tanzania. Trade in the coastal areas of Tanzania had traceable business contacts with Egypt, India, China, Assyria, Phoenicia, Arabia, Greece and Rome (Mwango 2000). Some records were created during their trading encounters. When missionaries, hunters and explorers came, after the fifteenth century, they, 'recorded whatever they saw and experienced in respect to social-cultural life of indigenous people as well as their economic activities' (Mwango 2000:11).

Although the history of business records keeping in Tanzania is a long one, it was the Germans and Britons who formalized procedures for records management during the colonial period. By 1891 some formal records keeping systems were functioning properly with formal subject filing systems in the then Tanganyika (Mwango 2000:13). However, in the current government information infrastructure the management of private business records is not properly addressed. The Records and Archives Management Act (United Republic of Tanzania 2002) pays little attention to business records at a time when the majority of government enterprises are being privatized. In section 26(1), for instance, the Act indicates an interest in only acquiring private records of national importance and public interest. The question is: How would the National Archives identify private records of national interest if there is no law regarding their management and a clear mandate for National Archives to identify and manage them?

A content analysis of national archival legislation in east and southern Africa showed that the framework to deal with records of private organizations was inadequate. It is in this context that Abbot (2001:64–65) complains about the absence of legislation for implementing formal records management programmes in private institutions in South Africa, for instance. However, in South Africa, the Promotion of Access to Information Act, No 2 of 2000, which requires private institutions to present a manual with the narration of records holdings, raises some hope for formal private records management programmes in South Africa.

2 Statement of the Problem

Local government authorities are public organizations that have been charged with the responsibility of planning and coordinating socio economic activities in their areas of jurisdiction. Among the activities of the local government as spelt out in the Act are among others taking care of infrastructure development, education, health, agriculture, trade etc. All these activities generate data, records and information that need to be well managed.

Operational Frameworks for management of data, records, information and knowledge are derived from policy and legal instruments and can be developed in house for the purposes of directing staff on how to handle data, information and knowledge that come into their knowledge and offices as part of executing public service activities. Some standard procedures and regulations that govern operations are embedded in the relevant acts. For instance the National Records and Archives Act, 2002 clearly provides regulations on the procedures to be followed in preserving and disposing public records. Operational frameworks include among other things standard procedures for conducting records management manuals, data management guidelines, information and knowledge cataloguing and classification manuals.

1 Legal requirements:

Local Government Authority Act 1982, (Subsidiary legislation) 2002

The Local Government Authorities Act of 1982 creates district based local government authorities in Tanzania. The Act provides for the establishment, composition, functions and legislative powers of districts, township councils and village authorities. These local government authorities at various levels from the village to the District levels are provided with the mandate of planning and coordinating activities related to socio economic development.

Part 111 sections 29 of the Local Government District Authorities Act and Part VIII of The Local Government (Urban Authorities) Act stipulates issues related to disclosure of information as prohibited under the provisions of the National Security Act and subsidiary legislation made thereof. These sections inter alia prohibit disclosure of information that becomes available to the officers in the course of discharging their duties and responsibilities. It stipulates that any information that has been determined to be confidential is classified information and shall not be disclosed or used by the officer for gaining personal benefit or benefit of another person.

The National Security Act, 1970

The National Security Act’s main objective is to provide provision for state security and all issues related to espionage, sabotage and other activities which are classified as prejudicial to the interests of the country. Sections, 4, 5 and 15 of the act are relevant to those involved in data collection, records keeping and information management in the Public sector and therefore directly relevant to those involved in governance of local government.

National Records and Archives Act 2002,

The National Records and Archives Act of 2002 stipulate procedures for Access, Preservation and Disposal of Public Records. Part I of the Act provides regulations for access to the public archives held in the National Archives, Part II provides regulations for access to public archives held in places of deposit including the Local Government Authorities. Part III provides for miscellaneous provisions, which include offences related to the use of public archives, fees payments and producing copies of archival records.

2 Policy instruments:

National Information and Communication Technologies Policy, 2003

The National ICT policy was formulated in recognition of the rapid developments and convergence of information and communication technologies (ICT). ICT developments coupled with development of global computer networks have led to a major revolution in areas of generation, storage, access and use of information. These developments have implications in various areas of socio economic development specifically in the area of data, records, information and knowledge management, which is central to all sectors of the economy. ICT plays a significant role in national development if it is effectively implemented.

The National ICT policy provides the framework upon which ICT could be effectively used in Tanzania in order to enable Tanzanians participate effectively in the knowledge economy. It spells out priority goals and objectives, which will facilitate the integration of ICT in national development by improving people’s livelihoods and creating an informed society which will participate in the emerging information society.

The policy vision statement is that “…Tanzania becomes a regional hub of ICT infrastructure providing ICT based solutions to enhance sustainable socio economic development which addresses national and regional poverty reduction concerns” and its mission is “…. To coordinate ICT activities in the public and private sectors and to provide a conducive legal and regulatory framework for public and private infrastructure investments in e-commerce capacity building (infrastructure and human resources) software and hardware development and production and promoting regional and international cooperation”

Policy instruments include the National Information and Communication Technologies (ICT) Policy, 2003, which stipulates access and use of ICT in the management of information and knowledge in Tanzania.

3 The current situation

Esther N. (2011) on the research paper titled “The role of records management in the implementation of public service reform programme in Tanzania”, the findings of the study established that current records management practices in the government ministries were accorded low priority, registry personnel were not adequately trained and the absence of specific budgets allocated to registry sections hindered the effective operations of the registries. The records surveys were conducted irregularly and the majority of government registries lacked records retention and disposition schedules which lead to the congestion of records which were also disorganized and poorly managed.

It is Tanzania’s vision by 2025 for the Government to be will be a model user of ICT by deploying ICT systems within the public administration itself to improve efficiency, reduce wastage of resources, enhance planning, raise the quality of services and access global resources[1]

Following the current situation and the vision that the Government wish to achieve by 2025, this research will focus on record management practices in ICT environment.

3 Objectives of the study

At the end of this study the researcher needs to attain the following:

1 General objective

The purpose of this study is to enlighten the gap between record management and ICT and to propose measures to bridge the gap to enable effective record management.

2 Specific objectives

This study has the following objectives

i. To examine and evaluate the extent to which Tanzania laws comply with electronic record management

ii. To investigate the extent to which PMO-RALG has adopted ICT in record management.

iii. To analyze and evaluate different challenges brought about by advancement of ICT in record management.

4 Research Questions

The research questions which will guide this research are as follows:

a) How much support does top management give to records management activities?

b) Are there established policies for the electronic management of records?

c) How are electronic records managed?

d) To what extent does the ministry comply with standards and regulatory frameworks?

e) What are the highest educational levels and records management training of heads of records management systems?

f) What are the appraisal procedures and retention schedules for ministry records?

g) How is access to corporate records managed?

5 Significance of the study

The study will be a revelation and vehicle for the government to respond to ICT developments. It will provide real picture on various aspects brought by this modern technology. It will also collect different ideas within and outside the ministry in order to propose improvement of record management regulations to enable them responds to global challenges brought about by developments in ICT.

The information from this research will assist the employees to update their knowledge of changes brought by ICT technology and give them possibility to deal accordingly with ICT challenges.

Understanding the problems outlined in this research will provide better understanding of the problems and will create opportunities for problem-solving in a broad perspective in which the solution in one area can also provide guidance for solution in others.

CHAPTER TWO: LITERATURE REVIEW

1 Introduction

In an academic research project the data used in arriving at a conclusion, according to Jankowicz (1995), fall into two types: primary, being the material gathered by the researcher in the empirical stages of the project work and secondary, the material gathered by other people before the project was carried out, made available in a variety of locations. Secondary data collection is where the literature is critically reviewed and a theoretical basis of the research is established. Saunders (2003) words “your critical review will form the foundation on which your research is built”. Two major reasons exist for reviewing the literature (Saunders et al, 2003). First, it is the preliminary search that helps to generate and refine the research ideas. The second is to develop the awareness of the current state of knowledge in the topic, its limitations, and how the study fits in this wider context.

Different authors from different countries around the world have discussed the prospects and challenges of ICT revolution. However, the aim of this study is to digest the impact brought by ICT revolution by looking at the effectiveness and accuracy of record management.

2 DATA, INFORMATION, KNOWLEDGE AND RECORDS MANAGEMENT

1 An overview of data, information, knowledge and records

Data is generated in the course of various functions that people undertake. Data on its own cannot be useful unless it is collated, analyzed and presented in a useful manner. When this is done the data becomes a piece of useful information that can be communicated and used for specific purposes. There is a tendency to use data and information synonymously, it is important that participants understand that these are two distinct concepts, data are raw materials from which information can be deduced. In other words “data are the building blocks and information is the finished house” (http://www.gwu.educ/-alemi/introrole.htm). Data goes through a series of steps before it becomes information. Data has to be collected or generated, classified, stored, retrieved, verified, tested and presented

2 Role of data, information, knowledge and records in organizations

Data, information, knowledge and records play a significant role in organization. All these are generated as actors in organizations undertake their sectoral activities. Thus data when analyzed can provide information which can later be used for planning and decision making. For instance, the data on school enrolment when analyzed would provide information which assists the public sector to have an indication of how many teachers and number of teaching and learning materials that would be required. Without data and information it would be difficult to take appropriate action to solve a problem.

On the other hand, records are important because they assist organizations in the performance of their duties. It is from records that data can be retrieved and also data can be organized to produce a record.

Knowledge is used to accomplish a task, a strategic objective or solve a problem in organizations or communities. Organizations and communities need people with knowledge who would use the data and information generated to accomplish various societal responsibilities.

3 Information and knowledge as critical resources in development

During the last century the critical resources for development included capital, labour and natural resources. In the new millennium information has become the driving force which gives nations the competitive edge. This means that nations need to go beyond the traditional development elements to ensure access to information and knowledge in order to create an informed and knowledgeable citizenry that can participate effectively in the nation’s development processes.

In the 21st century, information and knowledge are recognized as critical resources in the development process. Other resources required are labour, finance and land. You may have all the human capital, land and funds but if you lack information on the most productive seeds, appropriate fertilizers to apply, modern farming techniques and potential markets for your produce you may not be able engage in agricultural activity in a productive way. In the emerging global society, sectoral activities are guided by what information and knowledge actors possess to make headway in their activities. Societies are required to move towards knowledge based societies where information on socio economic development activities is acquired, generated, shared and used for solving societal problems.

It is important at this stage to reiterate the critical role of information as a strategic resource especially in the current era characterized with globalization and rapid developments in Information and Communication Technologies (ICTs). Dae Jung (2003) correctly argues that we are living in the age of information and knowledge which is characterized with both opportunities and dangers. There are opportunities to improve access to information and knowledge to marginalized communities and thus empower them to make right choices and thus opening doors for development. On the other hand there are dangers that lie in the fact that if purposeful actions are not taken to ensure equitable access to information and knowledge then the gap between the rich and the poor nations will continue to widen among nations and among populations in the same nation.

Given the critical importance of information for development Africa cannot ignore the role of information and communication technologies in enhancing and facilitating development. ICT provides new ways of sharing and exchanging information as noted “the world is rapidly moving towards knowledge based economic structures and information societies which comprise of network of individuals, firms, countries linked electronically in an interactive relationship” (http://www.uneca.orga/adf99.htm). In this way Information Technology (IT) will increasingly determine the pace of economic growth and the level of human welfare. The World Bank (1996) believes that information can be strategically harnessed to facilitate development in developing countries. Hudson (1995) argues that information is critical to the social and economic activities that comprise the development process. The World Bank (1996) goes on to identify areas where access to information and information technologies could create new opportunities for old challenges. These opportunities include; educating more people and supporting life long learning, promoting good governance, accountability and transparency, protecting the environment, reducing information and income inequalities, diversifying into information intensive industries, promoting medium and small scale enterprises and enabling developing countries to participate in global trade.

Development challenges facing African countries could be addressed if Africa’s people are accorded access to information and knowledge on issues of environment, agriculture, markets for produce, climate changes, health and diseases, industry, education but also to access information and gain knowledge on the various national and local initiatives developed to address these challenges.

3 Meaning of Record

According to the Federal Records Act (1950), a record is, “recorded information, regardless of medium or characteristics, made or received by an organization that is evidence of its operations and has value requiring its retention for a specific period of time.”

1 Records Management

There are many different definitions of records management, Priscilla Emery (2005), define it as “A professional discipline that is primarily concerned with the management of document-based information systems. The application of systematic and scientific controls to recorded information required in the operation of an organization’s business. The systematic control of all organizational records during the various stages of their life cycle: from their creation or receipt, through their processing, distribution, maintenance and use, to their ultimate disposition. The purpose of records management is to promote economies and efficiencies in recordkeeping, to assure that useless records are systematically destroyed while valuable information is protected and maintained in a manner that facilitates its access and use.”

There is some mistaken impression that records management is about hoarding everything that comes across one’s desk in the course of doing business. In some highly regulated industries it may seem that is the case. But in most cases it’s not only making sure that what needs to be kept as a record is retained but also prescribing how long it should be kept, where it should be stored, who has access to it and when it should be destroyed (if ever).

However, even though records retention practices are considered systematic and scientific, deciding what is a record and how long it should be retained is a combination of both prescribed practice and a certain amount of subjectivity depending on the actual documents in question. Just defining what is a record can get somewhat confusing to people.

2 Record keeping principles

ARMA international (2009) provides general accepted recordkeeping principles which may ensure effective record keeping. Records and recordkeeping are inextricably linked with any organized activity. It is only through the information an organization records in the normal course of business that it can know what it has done and effectively plan what it will do in the future. As a key resource in the operation of any organization, records must be created, organized, secured, maintained, and used in a way that effectively supports the activity of that organization, including:

• Facilitating and sustaining day-to-day operations

• Supporting predictive activities such as budgeting and planning

• Assisting in answering questions about past decisions and activities

• Demonstrating and documenting compliance with applicable laws, regulations, and standards

These needs can be fulfilled only if recordkeeping is an objective activity, fully insulated from individual and organizational influence or bias. To achieve this transparency, organizations must adhere to objective records and information management standards and principles, regardless of the type of organization, type of activity, or the type, format, or media of the records themselves. Without adherence to these standards and principles, organizations will have poorly run operations, legal compliance failures, and - potentially - a mask for improper or illegal activities.

The principles of recordkeeping have been well developed by those who are fully involved in records and information management. They form the basis upon which every effective records program is built and are the yardstick by which any recordkeeping program is measured. Regardless of whether an organization or its personnel are aware of them, they form the basis upon which that organization’s recordkeeping will one day be judged.

It is in the general interest of all organizations, and of society itself, to be fully aware of these principles and to manage records and information assets in accordance with them. ARMA International (2009) published these eight Generally Accepted Recordkeeping Principles to foster general awareness of recordkeeping standards and principles and to assist organizations in developing records systems that comply with them.

These principles are comprehensive in scope, but general in nature. They are not addressed to a specific situation, industry, country, or organization, nor are they intended to set forth a legal rule for compliance that must be strictly adhered to by every organization in every circumstance. They are intended to set forth the characteristics of an effective recordkeeping program, while allowing flexibility based upon the unique circumstances of an organization’s size, sophistication, legal environment, or resources.

The objectivity of the principles, combined with a reasonable approach to applying them, will yield sound results for any organization: a responsive, effective, and legally compliant recordkeeping system.

1 Principle of accountability

An organization shall assign a senior executive who will oversee a recordkeeping program and delegate responsibility to appropriate individuals, adopt policies and procedures to guide personnel, and ensure auditability.

• The senior executive in charge should establish a method to design and implement a structure to support the recordkeeping program.

• Governance structure should be established for program development and implementation.

• Necessary components include an accountable person and a developed program.

• A recordkeeping program should have documented and approved policies and procedures to guide its implementation.

• Auditability enables the program to validate its mission and be updated as appropriate.

A basic premise to sound recordkeeping is that within each organization, someone is designated as responsible for the overall program. This does not have to be a full-time responsibility, but it does need to be formally designated to someone in a senior-level position who has access to other senior executives and can ensure program implementation across the organization. The accountable senior executive will oversee the overall recordkeeping program, although this executive often will assign or designate other personnel to roles and tasks involved in different parts of the recordkeeping program.

2 Principle of integrity

A recordkeeping program shall be constructed so the records and information generated or managed by or for the organization have a reasonable and suitable guarantee of authenticity and reliability.

Integrity of a record is directly related to the ability to prove that a record is authentic and unaltered. Authenticity requires proof that a document comes from the person, organization, or other legal entity claiming to be its author or authorizing authority.

An organization’s executives are ultimately responsible for business records, as they are strategic and operational assets. Proper corporate governance and integrity of the information are important, and it is necessary to maintain the authenticity of records in all media over time. Investors and government regulators alike should expect the integrity of an organization’s records and information.

Integrity of records in a recordkeeping environment should include the following:

• Correctness of and adherence to the policies and procedures of the organization

• Reliability of the information management training and direction given to the employees who interact with all systems

• Reliability of the records created

• An acceptable audit trail

• Reliability of the systems that control the recordkeeping including hardware, network infrastructure, and software

3 Principle of protection

A recordkeeping program shall be constructed to ensure a reasonable level of protection to records and information that are private, confidential, privileged, secret, or essential to business continuity.

Information generated by an organization in the course of business requires various degrees of protection. Such protection is mandated by laws, regulations, or corporate governance, and it is necessary to ensure that information critical to an organization’s continued operation during or after a crisis is available. A recordkeeping program must ensure that appropriate protection controls are applied to information from the moment it is created to the moment it undergoes final disposition. Therefore, every system that generates, stores, and uses information should be examined with the protection principle in mind .to ensure that appropriate controls are applied to such systems.

4 Principle of compliance

The recordkeeping program shall be constructed to comply with applicable laws and other binding authorities, as well as the organization’s policies.

It is the duty of every organization to comply with applicable laws, including those for maintaining records. An organization’s credibility and legal standing rest upon its ability to demonstrate that it conducts its activities in a lawful manner. The absence or poor quality of the records required to demonstrate this damages an organization’s credibility and may impair its standing in legal matters or jeopardize its right to conduct business.

5 Principle of availability

An organization shall maintain records in a manner that ensures timely, efficient, and accurate retrieval of needed information.

Successful and responsible organizations must have the ability to identify, locate, and retrieve the records and related information required to support its ongoing business activities. These records are used by:

• Individuals and groups to reference, share, and support their work

• Legal and compliance for discovery and regulatory review purposes

• Numerous corporate functions to validate management decisions and account for the resources of the organization.

Having the right information available at the right time depends upon an organization’s ability to nimbly search through enormous volumes of information.

As more routine business transactions are being conducted exclusively in electronic environments like e-mail, shared local area network drives, collaboration spaces, and websites, this is becoming increasingly difficult to sustain. These electronic environments offer a high degree of individual flexibility in how employees organize the materials they collect on a daily basis. However, this same flexibility results in expensive, time-consuming, and labor-intensive difficulties when specific pieces of electronic information are needed for business or regulatory purposes, months and years after they were originally created.

These difficulties are further complicated if the records required are those of employees who have left the organization or of vendors who previously provided records custody for the organization.

Pinpointing complete and accurate information depends on 1) having an efficient and intuitive set of methods and tools to organize the records of the organization and 2) providing employees and agents with sufficient training to utilize these tools successfully. Information must be described during the capture, maintenance, and storage processes in such a way as to make retrieval effective and efficient. A routine approach to capturing descriptive information about the records (known as “metadata”) must be documented and utilized in all records systems.

6 Principle of retention

An organization shall maintain its records and information for an appropriate time, taking into account legal, regulatory, fiscal, operational, and historical requirements.

Business and government create enormous quantities of records each business day. To control the growth of these records, an organization needs a program to help maintain and destroy records that are no longer needed. Records retention programs specify the length of time business records must be retained. The retention program is based on the concept that information has a life cycle, which is the time period from the creation of a record to its final disposition.

Records document an organization’s business operations and are essential to effectively managing that business. The ability to properly and consistently retain records is especially important today, as most records being created and stored are in electronic form.

Organizations make retention decisions based on the content and purpose of records. Retention periods are determined by following these requirements:

• Legal and regulatory – Federal, state, local, and even international laws mandate the retention of records and information for a specific period of time. To comply with these extensive laws and regulations, an organization must conduct legal research in consultation with legal counsel to determine all records retention requirements. Laws and regulations establish the minimum retention period for those records to which they pertain. Failure to comply with laws and regulations may result in costly penalties and loss of legal rights.

• Fiscal – Records that have financial or tax value must be retained to ensure the timely payment of obligations and the proper receipt of receivables, as well as to support the organization’s financial audits and tax returns. Legal research and consultation with legal counsel must be completed to satisfy fiscal retention requirements.

• Operational – Once legal, regulatory, and fiscal requirements have been established, an organization must determine how long records are needed to satisfy its business needs. This is usually determined by interviewing the person(s) most knowledgeable about the operational value of each record type.

• Historical – Records that depict the history of an organization should be preserved for the life of that organization. Examples of historical records include articles of incorporation, bylaws, charters, and board of directors’ minutes. Historical records normally constitute a very small percentage of an organization’s total records volume.

Once its records retention requirements are determined, an organization must conduct a risk assessment to determine the appropriate retention period for each type of record. Retention decision makers must be aware that the presence or absence of records can be either helpful or harmful to the organization. Therefore, to minimize risks and costs associated with records retention, it is essential to immediately dispose of records after their retention period expires.

7 Principle of disposition

An organization shall provide secure and appropriate disposition for records that are no longer required to be maintained by applicable laws and the organization’s policies.

At the completion of the retention period for an organization’s records, the records must be designated for disposition. In many cases, the disposition for records will be destruction. In other cases, the records may be returned to clients, transferred to another organization in connection with a divestiture, or transferred for ongoing preservation to an historical archives, library, or museum. In all instances, the organization must make a reasonable effort to ensure that all versions and copies of the records are included in the disposition. The organization must also document its disposition process.

Disposition of relevant records must be suspended in the event of pending or ongoing litigation or audit. The organization should designate records that are to be held pending resolution of the litigation or audit and notify all affected personnel when the hold is issued and when the hold is released. Destruction of records must be performed in a secure manner, ensuring that records to be destroyed are transported securely and destroyed completely.

8 Principle of transparency

The processes and activities of an organization’s recordkeeping program shall be documented in an understandable manner and be available to all personnel and appropriate interested parties.

Many parties have a legitimate interest in understanding the processes that govern the management of a recordkeeping program and the activities undertaken within it. In addition to the organization itself and its personnel, those parties include but are not limited to government authorities, auditors and investigators, litigants, and, for some organizations, the general public.

It is in the best interest of every organization, and of society in general, that all parties clearly understand:

• The organization conducts its activities in a lawful and appropriate manner.

• The recordkeeping system accurately and completely records the activities of the organization.

• The recordkeeping system is itself structured in a lawful and appropriate manner.

• Activities conducted to implement the recordkeeping program are conducted in a lawful and appropriate manner.

3 Management of Public Records

Managing public records

The way to ensure that records are useful both to government and to citizens and researchers is to manage those records so that they are available and useful from their creation to their ultimate disposition.

Improperly managed records can be determined by difficulty in locating records, high storage costs, loss of valuable records and information and loss of much needed time in taking action. For the organization, properly managed records lead to the following benefits:

• Efficiency in information retrieval.

• Security/safeguard of vital information/records.

• Control of the creation and growth of records.

• Compliance with legal obligations.

• Reduction in operating costs and facilitation of monetary savings.

• Facilitation of assimilation of new records management technologies.

When developing a record-keeping system, local government’s authorities must consider not only the short-term challenges of creating records in response to daily activities but also the long-term requirement to protect evidence that (1) supports the decision-making process, (2) ensures the continued operation of public services, and (3) renders the government accountable to the public for its actions.

Records can be updated depending on the type and nature of records. Some records can be updated while others cannot. For example, updating permanent records such as names of residents, business records depends on the nature of that particular records. Business records can be updated by destroying those records which have become obsolete and adding the new one. In local government authorities, a person responsible needs to update those records so as to make them useful and provide the current information to the citizens.

4 Functions and responsibilities of a records office

The primary goal of all records office operations is 100% accuracy in maintaining control over the records entrusted to the records center. Penn, (2001).

As noted earlier, records management is a consistent and coherent process of managing records from the time of their creation to the preservation and use of records for operational purposes and as publicly accessible archives. All local government authorities must keep the active management of those records, as an important information sources and as assets of the government.

The office, which transfers records to inactive storage, has the authority to designate the time of transfer to storage and the destruction of records at the appropriate time. The office has the authority to withdraw its records from the center either on a permanent or a temporary basis at any time and to rearrange the contents of the container. (Penn, et al 2001).

Under these circumstances, the records office is simply the custodian of the records, responsible for protecting them, tracking their movement within and without the office and ensuring their proper destruction.

4 Record management policies

Scholars have been arguing for comprehensive and coordinated information policies to cater for information generated by public and private institutions in various countries, and Tanzania in not an exception. In the case of Tanzania, scholars such as Sekimang'a (1992) and Mukangara (2000) indicate the need for an overall coordinated policy to direct information activities in the country. As part of the response to proposals of various stakeholders, the government of Tanzania promulgated the Records Management Act (United Republic of Tanzania 2002). However, the Act does not adequately address the management of private business records. In additional to that, many records management studies conducted in Tanzania only dealt with public records (Kalumuna 2000; Kitalu 2001; Ndibalema 2001; Nyirenda 1993). Neglecting the management of business records is not peculiar to Tanzania; it is also prevalent in countries in southern and eastern Africa (Eastwood 2006; ESARBICA 2005).

Although Eastwood (2006) points out that the management of records of private organizations has not been fully incorporated into archival theory and practice worldwide, scholars in the developed world are gradually recognizing the importance of managing business records. For instance, the Records Management Journal volume 13 issue 3 of 2003 was devoted to managing business records from an international perspective, although there were no contributions, particularly from Africa.

5 Managing electronic records

The business environment is rapidly changing due to the growing volumes of electronic information that is generated on a daily basis. Managing electronic records poses the greatest management challenge for records keepers. They face many impediments in trying to maintain authentic, reliable, usable and trustworthy records as envisaged in the ISO 15489 guidelines.

There are legal, technological and organizational matters that records managers have to contend with to effectively manage electronic records. Technologically speaking, electronic records are machine readable, the storage medium is fragile and transient, and the longevity of the hardware and software is not guaranteed. Organizational matters in the management of electronic records include processes such as staffing, accessioning, indexing, retention scheduling and preservation of records and related policies. The legal side of managing electronic records may include providing evidence of the integrity of an electronic document through the use of metadata and managing records for compliance with laws (Chachage, B. and Ngulube, P. 2006).

Studies have shown that electronic information is vulnerable because many organizations in Sub - Sahara Africa do not have adequate plans for migrating records to ensure continued access and authenticity in the face of changing hardware and software platforms (Ngulube 2004:37).

6 THEORETICAL FRAMEWORK OF THE STUDY

The records life-cycle and records continuum models are the dominant theories in the archival and records management field. However, the study reported in this research was built on the 'modified' records life-cycle theory that blended the records life-cycle concept and continuum model. In addition to the two dominant records management theories, there is the less popular records entity life history theory (Shepherd and Yeo 2003:8). The limited information on this theory hinders its further discussion in this article. The discussion of the life-cycle concept and records continuum follows.

1 Records life-cycle

Records life-cycle is the core concept in the field of records management. According to Akussah (1996:101), 'It is … universally acceptable among archivist and records management professionals that the cycle concept is the most integrated and comprehensive approach to records management'. Probably, that partly explains why it is popularly used as a framework for managing public sector records in eastern and southern Africa (Ngulube and Tafor 2006).

Historically, Theodore Schellenberg invented the records life-cycle concept while working in the National Archives of the USA in the 1930s (Shepherd and Yeo 2003:5). According to the life-cycle records management framework, records pass through various conceptual stages during their life. Different scholars present these stages differently. For instance, Charman (1984), Hardcastle (1989), Hare and McLeod (1997), and Penn, Pennix and Coulson (1994) share the view that records pass through an active or current phase to a semi-active or semi-current state and then to a non-active or non-current stage. The evolving nature of the records life-cycle concept and the advent of information technologies made scholars visualize more stages in the life-cycle concept. For instance, Goodman (1994) lists ten stages of the records life-cycle concept, namely:

• Design and creation of records

• Identification

• Authorization

• Verification

• Validation and auditing

• Circulation

• Access

• Loan and use

• Backup procedures and disaster recovery plans

• Retention schedules and destruction.

From these differences in the interpretations of the life-cycle model's stages, it is evident that the records life-cycle theory is a conceptual visualization and not a compartmentalization of the records' life into distinct spaces and times. Contrary to the widely held view of the proponents of the continuum model, the records life-cycle framework neither fixes stages in the management of records nor assigns any particular professional group to their management. The records life-cycle concept only provides a structure for effective and efficient records management (Penn, Pennix and Coulson 1994:12).

Furthermore, in light of the systems thinking theory where everything is connected to everything else, one may argue that the stages of the records life-cycle are subsystems that constitute the model as opposed to compartments perceived by those opposed to the model. Senge (1990) points out that one of the fundamentals of systemic thinking is to view the system as a whole and realizing that the whole is greater than the sum of its parts. In that regard, the focus should be on the system – records life-cycle model – instead of the individual conceptual stages.

2 Records continuum

The proliferation of information and communication technologies (ICTs) and the perceived shortcomings of the records life-cycle motivated scholars to suggest a records continuum model in the field of records management (Flynn 2001; Upward 2000; 2005). Theorists such as Frank Upward, Sue McKemmish, Barbara Reed and Don Schauder adopted the records continuum model as an alternative to the records life-cycle to cater for electronic records (Chachage 2005; Flynn 2001). Furthermore, some scholars favoured the records continuum theory as opposed to the life-cycle model because they argued that it combined records management and archival activities in the management of recorded information. For instance McKemmish, Reed and Piggott (2005:193) assert that:

'Our traditional theory and practice has been derived from a physical world where archiving processes tended to apply only in custodial archival keeping-places. Australian archival practice in the "series" system broke that physical nexus, and subsequent evolution of practice within the records continuum framework has extended the boundaries of archival systems...'

Historically, Ian Maclean is credited for having started the records continuum debate (Upward 2000:118). As national archivist of Australia, he held the notion that the work of archivists and records managers were interrelated and that there was continuity between records management and archives. Accordingly, the concern to manage recorded information connected the two professions. The Canadian archivist Jay Atherton proposed the term 'continuum' to describe Maclean's concept. Atherton was the first person to show the difference between the records continuum and records life-cycle (Upward 2000). The Standards Association of Australia (1996) defines records continuum as:

'A consistent and coherent regime of management processes from the time of the creation of records (and before creation, in the design of records keeping systems), through to the preservation and use of records as archives'.

Thus in the continuum model the records management process is regarded as a continuous activity that focuses on the operations that produce records (Bantin 2002:69).

Specifically, the records continuum model was developed in the 1980s and 1990s (Shepherd and Yeo 2003:9). Based on the continuum model, archivists and records managers need to be involved together with information systems designers in the creation of records keeping systems. Flynn (2001) refers to this design stage as the pre-natal phase. Records managers and archivists appraise records and decide on what records would support the functions of an organization during the records keeping system design. Scholars such as Kennedy and Schauder (1999), Myburgh (2005) and Shepherd and Yeo (2003) emphasize the need for collaboration between records professionals and information systems experts during systems design.

Put differently, the main emphasis in the records continuum model is the participatory nature of the design phase whereby archivists or records managers and systems designers participating the designing of the system and the involvement of both the archivists and records managers in the continuum of records keeping. The model is also based on the realization that records continue to live after the non-current phase of the records life-cycle. In support of the participatory approach, one could also argue that without the participation of archivists and records managers in the system design stage, records may disappear in the subsystems due to a lack of records management and archival knowledge on the part of corporate information systems designers. Furthermore, if records management professionals are not involved in the design phase, some records might not be captured in the system.

Important as it is, the records continuum theory must be used with caution. According to Upward (2000:116), 'for other practitioners and educators, however, its relevance is not immediately perceived. In face-to-face discussion with those who have been perplexed all I have ever been able to do is shrug my shoulders.' Shrugging shoulders may mean different things to different people. Perhaps, Upward's shrugging of shoulders may be indicative of his recognition of the nebulous nature of the records continuum theory.

Furthermore, Upward (2000) concedes that the records continuum framework is culturally oriented. In his own words: 'We fit our detailed knowledge into ways that are agreeable to our communities of practice. There is certainly a cultural component to Australian use of the word continuum' (Upward 2000:127). In that light, the continuum model should not be perceived as a paradigm shift in the management of records in the sense used by Kuhn (1962). Rather, it should be regarded as a cultural shift in the management of records driven by postmodernism. However, the model is important because it underscores the fact that records management activities are usually conducted in a certain cultural context to the extent that one size does not fit all. In that regard, records management cultures should strive to meet the needs of the environment in which records are generated and used.

As the records life-cycle, the continuum theory is concerned with managing records from creation to disposal from current systems either by destruction or long-term preservation in some form of archive. However, the major difference between the two theories is that the latter deconstructs the custodial mentality (in the postmodernist sense), which is perceived to be unattainable in the digital world, and further advocates the involvement of both records managers and archivists in the continuum of managing records.

3 Hybrid records life-cycle theory

Chachage, B. and Ngulube, P. (2006) appreciates, both the continuum model and the records life-cycle theory that had a lot to contribute to records management practices. In that regard, this study blended the prenatal stage of the records continuum with the records life-cycle conceptual stages in order to come up with the hybrid model that is suitable for managing records in the African business context as described below. In this context, the traditional records life-cycle was used as the backbone of the proposed hybrid conceptual model because studies have shown that the theory is popular in many countries in sub-Saharan Africa (SSA) (Ngulube and Tafor 2006).

It is evident from a participatory design viewpoint that the prenatal stage of the records continuum model is an important aspect in records management systems designs. Therefore, this research will blend the prenatal stage of the records continuum and all stages of records life-cycle theory as the foundation of the research. The blended theory that will guide this study is called a modified records life-cycle theory or hybrid records life-cycle model.

The attributes of the hybrid model are as follows:

• Prenatal phase. In this stage a participatory design approach is considered. Records managers and archivist, management and other stakeholders participate in the records keeping system design.

• Current phase. Records creation or receipt, storage and maintenance for administrative use. Activities are the creation and capture of records and accessibility of records.

• Semi-current phase. In this phase records are rarely used, the phase involves on site or offsite storage of records in records centres. The major activities are transferring records to the records centres or intermediate storage for efficient accessibility and space management purposes.

• Non-active phase. At this stage records have finished their active life and are not needed for immediate use in the current records systems. At this phase records are disposed of either by destruction or transfer to some archive depending on their enduring value.

4 Linking the theoretical framework to the research problem

The records management theories and principles described in the preceding text may be adapted to the management of public records. In fact, Bilotto and Guercio (2003:136) point out that archival and records management theories and principles are increasingly becoming relevant at a corporate level. In that regard, this study will use the hybrid records life-cycle model to investigate the management of records in the Prime Minister office – Regional Administration and Local Government Authorities.

CHAPTER THREE: RESEARCH METHODOLOGY

1 Introduction

This research report focuses on management’s views and responses to changes in record management environment in public sector resulting from influences placed upon it by advancement in information technology. The researcher will select number of ministry registry staff, managers, ICT staff, and other employees within Prime Minister Office – Regional Administration and Local Government to see how they perceive and respond to the changes that affect their working method, the expectations, aspirations, and perceptions.

2 Research area

The researcher proposes the area of research to be Prime Minister Office – Regional Administration and Local Government. The choice of this population is due to the possibility of such sector having registry functions that use Information and Communication Technology (ICT).

3 Research design

With regard to the nature of the study, case study design will be considered to be the most appropriate one. This approach will enable the researcher to collect rich and comprehensive opinions and attitudes about the study.

4 Population and sampling procedure

The targeted population of this study will include the managers of the ministry, head of departments for registry and ICT department, and other employees of the respective departments.
The sampling will be drawn as follows: 1. Convenience Sampling of three sectors namely Registry, Information and Communication Technology, and the management of Prime Minister Office – Regional Administration and Local Governmen. Convenience sampling is a non-probability method used in exploratory studies when the researcher is interested in getting an inexpensive approximation of the truth. As the name implies the sample is selected because they are convenient. The choice of this method is due to the fact that this is an academic research, which needed to be worked within a very limited time frame. 2. Judgmental sampling the respondents will then be sampled according to the researcher’s judgments in respect of where the right information can be obtained.

5 Data collection tools

As pointed out earlier, this study will apply a case study approach. It can be agreed that case study studies are based most often on a questionnaire, structured observations, documentary and interviews.

1 Questionnaire

However, a questionnaire makes the data collected to be of a more standardized nature, hence allowing easy comparison (Saunders, 2000; Cornford and Smithson, 1996; and Vaus, 1996). Questionnaires are so familiar to most people that nearly everyone has had some experience of completing questionnaires and they generally do not make people apprehensive. They reduce bias due to their uniformity in question presentation. A researcher's own opinions will not influence the respondent to answer questions in a certain manner because there are no verbal or visual clues to influence the respondent. In this work, therefore, a questionnaire will be the major instrument of empirical data collection, which will be supplemented by (major instruments in exploratory approach) interviews and documentary.

2 Observation

The researcher will gather information through observing the day to day activities of various departments off the job and on the job. By observing the day to day activities the researcher gathers enough information because of being a participant observer.

3 Documentation

The researcher will obtain some of the important data from both primary and secondary data (documents) such as board meeting reports, management meeting, files, policies, regulation notes and other relevant materials.

4 Interviews

Interview is a tow way systematic conversation between the researcher and a respondent initiated for obtaining information relevant to a specific study (Krishnaswami, 2002). It involves to only conversation but also learning from the respondent’s gestures, facial expression and pauses and his environment. In this study interview questions will be un-structured but addresses specific issues that the researcher will discovered during the literature search.

6 Data analysis

The transformation, of raw data from returned questionnaires, will be accomplished by a descriptive analysis. This put data into an understandable form so that the interpretation of it would not be difficult. Zikmund. W (1984) points out that describing responses or observations typically is the first form of analysis. The calculation of averages, frequency distributions, and percentages distributions is the most common form of summarizing data.

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[1] National ICT Policy, Section 3.8.4, bullets 1 (page 32)