Principles of records management Mushi

SUBJECT: Principles of Records Management I

CODE: RM 511

CLASS: TCRM

Semester: I

FACILITATOR: MUSHI, S. 0715 98 95 17

DURATION: Six Months

1/5/2015MUSHI SYLVANUS, L.


You are welcomeAttention

TCRM

HISTORICAL DEVELOPMENT OF RECORDS MANAGEMENT


Records management covers the management of

records regardless of age, form and medium to meet the

needs of private and public sector organization and the

wider society as well as the research community.

This topic therefore seeks to make students understand

all terms related to records management and

development of records management from the

worldwide perspective to a narrow perspective of

records management in Tanzania.


Records can be defined as information captured by

individual, organization or institution in whatever

media and form for carrying out business.

Or Recorded information of any kind and in any

form, either originated or received by an

organization. Include papers, correspondence, forms,

books, photographs, films, sound recordings, maps,

drawings, and other documents.


Therefore records are recorded information

regardless of form or medium, created, received and

maintained by an institution or individual in the

transaction of business

Records management

Is the systematic control cords in their entire lifecycle

i.e. from creation up to the disposition of records. It

ensures that records is available at the right time, in

proper way and in an authorized person


Records Manager

A person assigned primary responsibility for the

records management program.

Records keeping

A process of maintaining, distributing, indexing and

storing records for their proper use. The processes of

creating and maintaining complete and accurate

records of business activities


Public records record created or received and

maintained in any public sector agency.

Private records.

Records created or received and maintained in

any private or non-governmental organization

such as organizations, families, or individuals

relating to their private and public affairs.


Information can be defined as the processed

data which have complete meaning for

decision making

Data is incomplete information collected for

interpretation. Or refers to the collected facts

to be analyzed.


File An organized physical assembly of documentsgrouped together for current use. Or an organizedphysical assembly (usually within a folder) forcurrent use because they relate to the same subject,activity or transaction.

Records Centre a low-cost facility for the controlledmaintenance, retrieval, and disposal of inactiverecords. A commercial records centre, operated by aprivate company, houses records of manyorganizations on a fee basis.


A building or part of a building designed for thelow-cost storage, maintenance, andcommunication of semi-current records pendingfor their ultimate disposal.

Active/current Records

Records regularly used in day to day operation ofan organization and are kept in the records office/place of origin. Records providing current or mostrecent information.


Semi-current recordsRecords required infrequently in theconduct of current organizationalactivities, are kept to the records centre.

Non-current recordsRecords no longer needed for currentbusiness. Are destroyed or transferred tothe archive.


Administrative Records

Records documenting the daily operation and

administration of an office.

Archival Records

Records of enduring value, documenting the

history and the development of the

organization.


Archives

Are records usually but not necessarily noncurrentrecords, of enduring value selected for permanentpreservation.

Refers to place or building/ room/ storage area wherearchival materials are kept.

It refers to the organization responsible forappraising, acquiring, preserving and makingavailable archival material.


Appraisal is the process of determining the

value of records for further use, for whatever

Disposal

The final removal, whether for destruction or

formal transfer to another agency, e.g., records

storage centre or archives, of records that have

reached the end of their retention period.


Disposition

Refers to the action that are associated withimplement decisions about the retention ordestruction of records.Any means of changing the location orphysical format of the records. Includesdestruction by shredding or recycling,digitizing, microfilming, duplication, ortransfer.


Vital(Essential) Records

Records essential to resume or continue operations of

the organization, including records necessary to

recreate the organization’s legal and financial

position, and to fulfill obligations to the organization,

its students and employees, and to outside parties.

Format

The physical form in which material appears – books,

slides, photographs, film, recordings, etc.


Legal Value

The usefulness of records as evidence

supporting an organization’s transactions,

activities, claims, and obligations.

Life Cycle of Records

the records management premise (argue) that

records pass through three stages: creation,

maintenance and use, and disposition.


Medium(Media)

The physical form of recorded information. Includes

paper, film, magnetic tapes and disks, CDs, etc.

Non-Record Material

Material that does not need to be filed or that can be

destroyed after a short retention. Includes drafts,

worksheets, routine replies, and extra copies of

documents created for convenience.


Record OfficeThe office assigned responsibility for custody and maintenance of specific records. Generally the office in which they were originally created and filed.

Official FilesOriginal records, including official copies of outgoing correspondence, that document policy, operations and programs, property, financial transactions, and legal obligations of the organization.


Records Retention ScheduleA comprehensive schedule of record series (by office or department), indicating for each series the length of time it is to be maintained in office areas, in a records centre, and when and if such series may be digitized or microfilmed, destroyed, or transferred to the Archives.

Records ValuesThe usefulness of records for operating, administrative, legal, fiscal, and historical purposes.


Retention Period

The length of time records must be kept before

they are eligible (qualified) for destruction or

archival preservation. The retention period begins

at a cut-off date (e.g., the end of the fiscal,

calendar, or academic year) or is triggered by a

cut-off event, such as a termination of

employment, contract closure, etc.


Subject File a file in which documentsare arranged by subject. Not to beconfused with a case file.

Transfer, the change in physical custodyof records from one organization or unitto another, e.g., from an office to arecords center.


Records management is relatively a new

concept. Records management was

unheard until the mid twenty century. But

records management as function as

existed for some seven thousands years

7000BC.


The first records was produced or created by

the people of Sumerian Civilization around

5000BC records produced in this were by only

who created them as the one who can use them

. Sumerian records were deal with business

matters such as taxes, loans and inventories

these records were managed by temple

present.


During new empire in Egypt (1530-1030BC)

creating and managing Records was a

significant government operation. In

Babylonia Records Management become an

Government important function during the

regime of those Hammurabi and

Nebuchadnezzar (630-324)


The records ancient Civilizations were housed/kept in

Libraries of rulers and such records were based on

different matters such as Science, Medicine, Business

and Religion.

As centuries passed records media changed such

records (ancient) were written/ documented on:-

Clay, Animal skins, Papyrus and apartment and this

in turn slowly give a way to paper


In 1200AD Case file system was established in Rome

(Italy). And started regarded record retention, Rome

also in the same year enacted/passed statuses/laws on

retention and Disposition of Records. Therefore Italy

established the Registry in 15thC, the two major

function of the Registry system were Recording all

incoming and outgoing mails.

France established the “National Archives” in 1789


In 1838 the British Public office act waspassed, establishing principles of centralizepublic office (Registry) for all her office underdirection of Records administrator.

In 1877 a British order cancel authorizeddistraction of value materials and in 1889 thefirst Records was disposed Act was passed bythe United States congress.


In 1934 the National Archives of United States was

established and the life cycle concept was developed.

The achievement of the U.S National Archive was its

initiative to develop the “Lifecycle concept of

Records”, the development of the “lifecycle concept”

ended the idea that Records Management was a

function of sporadic and unrelated effort but instead it

became an organized and logical function of

Creating, Using, Maintaining and Disposition of

recorded information.


During colonial administration Germans created a lot

of records many of them were destroyed during the

1st ww.

After the overthrow of the Germans the British took

over from 1912-1961 and they established number of

offices which were known as BOMA.

They introduced regulations regarding the

management and disposal of records e.g. Destruction

of old records


a) Administrative phase that created records

i) Colonial Administration

ii) National Administration

i. Colonial Administration involved

i) Germany Colonial Administration

ii) British Colonial Administration

ii. National Administration

i. After independent during the Arusha Declaration

ii. During the Public Service Reform Program


Records management practices in Tanzania during

Germany Colonial Administration/era.

◦ Records Management in Tanzania can be traced

back from 1905-1912 whereby the first Colonialist

to rule Tanganyika were Germans between1905-

1912.

◦ Germany took hold of the whole Tanganyika and

established their colonial government offices all

over the country.


During colonial administration Germans created a lot

of records, many of them were destroyed during the

1thww. Here the creation of records was based on the

Prussian Administration in Berlin.

All file were classified by function being dealt with.

There was no orderly Registry System that is there

was no systematical control of records i.e. from

creation to disposition.


After the overthrow of the Germans the British took

over from 1912-1961 and they established number of

offices which were known as BOMA.

There was a Registry system centralized in the office

of the Chief Secretary, whereby creation of records

was based on Westminster Administration.

Records files were classified by numbers.


Dispatches were made in volumes.

Regulations for records disposal were put in place.

They introduced regulations regarding the management and

disposal of records e.g. Destruction of old records.

In 1952 they introduced a new registry standard plan which

followed the colonial office management system of classifying

records by subject


In 1961 Tanzania got her independence from Britishrule.

It inherited the governmental structure whichemployed three levels of administration namelyCentral Government, Regional and Local authority.

Ministries, departments, Agencies and publicinstitutions at these levels of administration generatedhuge amount of records which to maintain to transactgovernment business.


The records/Registry system remained the

same, so many records were created as

Government activities increased.

The Government ultimately failed to

effectively manage her Records.


As dynamic government institution local

authorities the colonial and independent period

have also created a considerable amount of

records such as Administrative, Financial,

Agricultural and economic records which led

to increase mass of paper as a result

documents were regularly misplaced and

difficult to locate fills when require, financial

audit could not be carried out effectively to

loss of several public records.1/5/2015MUSHI SYLVANUS, L.

Due to those problems, soon after

independence the Tanzania government

realized that the creation of an institution

which will govern and improve the

management for the public records were

necessary. The institution was the Tanzania

National Archive (TNA) established in 1964.


Records practices After Public Service Reforms (PSRP)

After independence 1961 there was poor of records in

Tanzania. After 36 years of independence had broken down

with mass of paper records causing severe retrieval

problems.

Records Management was in very bad state/ condition

which undermined public administration civil service

operation and Government efforts to make or bring change.


A research was conducted which showed/displayedthe above anomalies in Tanzania, Uganda, SierraLeone, Ghana and Gambia.

The Government decided to seek assistance of theoverseas Development Agency (ODA) in UK.

The ODA advice the government agreed to follow theefficient and effectiveness Records Managementsystem.


The ODA secured the Service of the InternationalRecords Management Trust (IRMT) to come andoverhand the old system.

The government made the IRMT part of the PSRP andthus, it became a project.

The ODA undertook project to assess the severalty ofthe problem and discovered that external assistancewould not be of any help unless the government tookstep address a range of institutional issues.


Misplacement of records

Failure to locate records

Loss of Government records

Failure to evaluate Government project and

development programs

Failure to carry out financial audits


Records Management matters were consolidated into

one Department

A Records Management Unit to provide for effective

Registry Service in 1997 was created and budgetary

provision for development and recurrent costs was set

aside.

The government moved the Tanzania National Archives

to Public Service Management in the President’s office.

It stabled the records management section within the

public service department.


A new record management system was created

(Keyword system).

Anew Registry procedure Manual came into

being.

A backlog of closed files was cleared.

Storage facilities for semi-current records

came into being and a central storage facility

in Dodoma for the purpose was being built.


Technical Professional and managerialcapacity within the Records and ArchivesDivision has been strengthened. Orstrengthening of records management trainingcapacity within the Civil Service TrainingCentre (CSTC) currently TPSC.

Introduction of efficient and effective recordssystem procedures.


Registry management unit/ Department toprovide effective Registry services was createdbudgeting provision and cost was also set.

It established the records managementActNo.3/2002.

A new Registry Procedure Manual was alsoestablished in 2002.


GET THE ANSWER WHY YOU

ARE IN THIS WORL THEN STEP

FORWARD TOWADS YOUR

POSITION TO SOLVE OTHERS

PROBLEMS


MODELS FOR MANAGING

RECORDS


Introduction

The records a concept in common use. It

indicates that records are not static, but they

have a life similar to that of biological

organism and that records becomes less

important as time passes.. There for after the

end of this topic learners are expected to have

acquired knowledge on the lifecycle concept

of records with its advantages.


The lifecycle concept of records is analogy from the

life of a biological organism, which is Born, Lives

and Dies. In the same way a record is created, used

for so long as it has continuing value and the

disposed of by destruction or transferring to an

archival institution.

In the simplest version of the lifecycle concepts three

biological ages are seen as the equivalent of the three

phases of the life of records.


Records lifecycle is the life span of records

from creation to disposition or from birth to

death. Records have a life similar to that of

biological organisms; they are born Creation

stage. This is when records are received or

created by an organization or individuals. They

live (active stage) this is when records are

always used to transact organization business.


It grows old (semi active).This is when records

are maintained and kept for reference purpose.

Finally the records die (non active stage). This is

the last stage of records when the decision is

made whether to destroy the records or to keep

them for permanent preservation.

Therefore after creation, records pass some stages

includes Active Stage, Semi-Active Stage, and

Non Active Stage.


1. Active stage.

This is when records are readily available totransact the daily business of an organizationand are stored in the records office or registry.

Active / Current Records: are recordsregularly used by the organization andtherefore maintained in their place of origin.


Features of active stage.

Records received from outside from outside the organization or created by the organization.

Records are frequently used it and it gain highly value.

Stored in records office within the organization.

Custodians are professional records staffs and secretaries.

Records are used to transact organizational business.


Records are kept as evidence of the transaction.

Its management requires registry/records office procedures.

Should be correctly reflect what is being communicated.

Records Should be authentic.

Records Should be usable.

Records Should be reliable.

Records Should be protected against unauthorized alteration.


This is when records become rarely used and used

for reference purpose, such records are stored in

Department record Centre or Archival institution.

Semi –Active / semi Current Records

Are records required so infrequently in the

conduct of current organizational activities, thus

they should be transferred from the records centre.


Reference, legal, financial value.

Stored in records centers.

Records received from records office

Records are used as reference material by the

originating office.

Records are kept as evidence of the transaction

Its management requires records centre

procedures.


Records Should be authentic.

Records Should be usable.

Appraisal decision/review should

take place at this stage.

Records should one day be

transferred to archival institution or

destroyed.


Non-Active Stage/ Final Disposition

This is when the time when records stop from

transacting daily business of an organization.

Non Active Records

These Are records which are no longer needed

by current or day to day organizational

activities.


As most records destroyed (95-97%) therefore only3-5% of the records are retained not usedregularly.

Kept for reference, legal, evidential, historical, artifact and research purpose.

Records received from records offices and records offices and records centers.

Stored in archival repository


Records can be accessed by the public if

required.

Its management requires archival finding aid

which are user friendly instructions

Its retrieval requires archival finding aids.

Records should correctly reflect what was

communicated.

Records should be authentic.

Records should be usable.


Primary/Initial Lifecycle

Secondary/Archival Lifecycle

Storage of records during their lifecycle;-

During creation and active Phase;-In the Registry

During semi-active Phase;- In the Records Center

During the Inactive/Non- current/Non active

Phase;- In the Archives.


Creation

Distribution and use

Maintenance and Storage

Transfer

Disposition

N: B. Disposition signals the end of the Primary

Lifecycle and the beginning of the Secondary

Lifecycle as it is for a human being, that when he

dies, he is believed to acquire eternal life.


Collection and Acquisition

Identification and Appraisal

Arranging and Description (Documenting)

Conservation and Restoration

(Maintenance)

Access and Reference Services

Outreaching Services/Activities


Active Stage

Semi-Active Sage

Non-Active Stage



Helps the records managers to have clearperspective of managing records as a continuousprocess whereby each stage compliment the other

Helps the records managers to make a priordecision whether to create a records or not bymaking judgments of the value of records andinformation that is present

Helps the records managers to make retentionscheduling of the records at the right time andappropriately


Helps the records managers to understand in

advance in what media the records could be

created, e.g.; in paper forms or electronic

records, this also will help to determine

appropriate means of storage.

Helps the records managers to recognize the

value of records at each stage.


Records continuum model was developedbetween 1980’s-1990 of respond of critin. Incontinuum model there is no separated steps.(Perspective of activities they document, records)

In this model, the Records management is viewedas a continuous process from the moment ofcreation, in which archivists and records managerare actively involved at all points in thecontinuum (Bantin, 1998).


This model was introduced as an alternativemodel because of the emergence of electronicrecords.

The term continuum model sees as recordsmanagement as the whole extent of a recordsexistence.

It refers to a consistent and coherence regime ofmanagement process from time of the creation ofrecords and before creation in the design ofrecords keeping system through to thepreservation and use of records as archives.


What records to be captured to provide

evidence of activities?

What systems and rules are needed to ensure

those records are captured and maintained?

How long the records should be kept to meet

business and other requirements?

How they should be stored?

Who should have access to them?


i) Create

ii) Capture

iii) Organize

iv) Pluralize (upward&Mckemish,2006)


This is where transaction occurs between thecreator or author of a document and the systemsin which the document is created.

It describes the relationship between the authorand the organization for which a record is created.

The end result of the creation is piece of datacalled a record with a representation of thattransaction come to life in the record.


This involved the routine storage and linkageof documents and/ or data in systems in waythat enable sharing and re-use in theimmediate business or social activities withinwhich the transactions are being recorded.

Here is where metadata is created for purposesof maintain the integrity of the document inwhatever from or forms it is captured.


Relate to documents and records being organized.

It is meant to allow others not directly involved in

specific oversight responsibilities, or stakeholder

interests, to have access and use what has been

created and captured.

It takes documents to the point of access in

anticipation of being used for transactional,

evidentiary and memory purposes and other purpose.


This involves taking information out to

points beyond organizational contexts

into forms of societal totalities, still more

distant from the organizations. In other

words, this dimension expands access to

the documents to the larger societal

functions. For the use by other people out

of the organization.


Continuum model proved the records managers andarchivists with a way of thinking about the integrationsof record keeping and archival process.

It brings records managers and archivists in order onerecords keeping umbrella

It focuses on unifying purposes shared by all recordsprofessionals which is provide a framework foraccountable records keeping regime


Continuum model encourages participation of theorganization future need for evidential documentationas an integral part of both operational and strategicmanagement

By placing disposal including the identification ofrecords of continuing values, as the last stage in therecords life cycle, a life cycle model does notemphasize the need to design systems which ensurethe capture of those records of continuing value in thefirst place


The records continuum model is a conceptual

guide for the development of records keeping

policies and programs.


ALWAYS THINK GLOBALLY

THEN ACT LOCALLY


BUSINESS IMPACTS OF RECORDS

MANAGEMENT


Each organization needs effective records

management to ensure consistency in decision

making, protection of the organization and individual

rights, accountability and evidence for any business

activity as records is a core part for the succefulness

of any organization.

From the above facts, we need to understand the sign

impact of poor records management and the impact

of good records management.


Who is a records manager?Records manager is a person responsible for themanagement of records in the organization fromwhen records are created to the disposition.

Roles of the Records Manager Responsible for the effective and appropriate

management of an organization’s records fromcreation to disposition.

Provide access to the records by ensuring thatsecurity issues are maintained. E.g. confidentialityand access of records only to those who authorized.


To ensure that legal obligations are met for the

creation and retention of both paper and

electronic records.

Storing, arranging and classifying records.

Ensuring compliance with relevant legislations

and regulations.

Protection of the holdings with appropriate

equipment and suitable environment of the

organization’s records.


The following are various indicators that there arerecords management problems in an organizationas follows:-

Delay in filling Records

This a failure to the documents immediately at aspecific time and when required hence can led toloss of the records or being accessed byunauthorized people and bad arrangement ofpaper on the working desks.


Increase of customer complaints

This is the situation whereby customers are complainingon the information they tend to receive as their recordsare not be traced easily when required.

Bulk log of Records

When the records are over duplicated appeared on timethen even the useless records can still be retained andincrease the amount of records in the records storage area,such as in Registry, Records centre as well as Repository.


Misfiling of documents

This is a failure to manage records properly lead toinappropriate allocation of papers or incoming mails,when records are kept on wrong files.

Lack of ability to provide real information to thegeneral public

The public fail to get information on time orsometimes they may completely fail to getinformation when records are not properly controlledby the organization.


Lack of Retention or Disposal Schedule

This is the situation where organizations do not havea formal written guideline for the retention period ofits records then it become impossible for thosegenerated records to be appraised on the right time.

Noncurrent records are kept unnecessarily on thestorage location where active records are kept.

This also led to difficult in retrieving and accessingcurrent records especially when quick decision areneeded as well as space storage.


Poor performance.

This is the situation of being difficult to monitor or

assess organizational performance because there are

no records as the bases to evaluate the past

performance of the organization and identify the

problems.

Increase cost of the organization

Without proper management of records, organizations

can incur cost in money and time.


Loss of trust to an organization.

The public can not trust the organization because

their records are not maintained well or due to poor

performance. Difficult to protect Rights of the

organization and individual.

Breach of confidentiality or national security.

Also confidential information will be accessed by

unauthorized individuals as a result of poor records

management practices.


Inconsistency in decision making.

Without proper management of records no any kind ofdecision will be done consistently and with a stablemanner, always will be done in different way becausethere are no records to refer.

Loss of confidence

Records can hinder individual confidence, for instancethe head of department can lack sound decisions tohandle some matters as there is no proof on it. E.g.punish the subordinate because of disciplinary matters.


Lack of well established guidelines on Records

management.

An office can achieve the management of records when

there are well and implementable guidelines (e.g.

policy, standard, procedures and manuals) that indicate

how records should be well managed throughout their

life cycle and make available to the people responsible

for that process.

Failure to do that, the process of managing records

becomes a big challenge.


Lack of profession and enough skills and

capacity to the records staff.

Most of the records staffs have little or no records

management skills concerning RM. In-service

records office training and staff development

ceased for some time due to financial difficulties

hence make people to work with experience

without being professional with work.


Lack of enough space.

One of the major problems or challenges isthat of space. When the organization has littlespace compared to the amount of records to bekept, some records can be destroyed evenwhen their period is not over so as to utilizethe available space for all records required tobe stored.


Low priority accredited to records keeping.

Records management function is given a low

priority by the top officials in the sense that

there is inadequate management attention. This

affects performance of staff working in records

office and all activities concerning records

management.


Irresponsibility among records officers.

Some officers (entrusted people to manage

records) are not responsible on ensuring rules

and regulations guiding records management

are implemented.

For instance, you find a records officer

allowing an unauthorized person to access

confidential records, hence the challenge in

managing confidential records.


Inadequate storage facilities.

Records offices in ministries, independent

departments and regions administration

including local government authorities are still

having inadequate storage facilities,

accommodation and supplies. It is common to

find both active and semi active records are

kept in one and same storage area, poor

storage equipments and environment.


Comprehensive records management

guidelines.

We need to have policies which will reflect the

current situation and simple to implement. For

instance, on the current needs like electronic

record management which is associated by

many challenges like lack of capturing

authenticity of records in electronic format.


Provision of Training

Training must be done in order to increase

skill and professionalism among people

entrusted to keep and manage records they

lack while records management skills.


Financial support.As records management is a very crucial issue inorganizations the management must insure inorganization, the management must ensure that,enough funds is provided on the issues concerningrecords like staffing and general maintenance ofrecords management facilities

MotivationThe most to put in consideration, in order to avoidbad perception of down grading of the recordsofficers, these people must be more motivated as ameans of upgrading them.


Help in maintaining records that are used forevidence. We use records as evidence of the particulartransaction or activities. For instance in legalproceedings those well managed records can be of greathelp.

Help to preserve records for historical purpose.We get to know the history of the particularorganization or activities trough records available. Forinstance, the origin of the organization can be tracedback by using the records created during thatorganization creation period.


In promoting transparency and accountabilityThrough the use of records public officialsbecome answerable on their actions taken whenconducting a certain activity. Example duringAudit.

For various decisions making.For the consistent decision making, we need tohave the complete record. For instance thedecision concerning employees records on thework performance.


For development planning.

For the future plans development, we need to have records of the past performance as a starting point for future planning.

In investigation /research purposes.

Researchers and fact finders can use recorded information available as a source of data on certain matters.

NOTE: The above analyzed importance of record can be achieved only through good management of records.



THEN ACT LOCALLY


RECORDS AS STRATEGIC

RESOURCE


No office could operate successfully if it had

to rely on memory alone to keep track of every

transaction. Without records, all organized

administration would quickly come to a halt as

well as government body or business could

not survive without making records of its

activities. No office could operate

successfully if it had to rely on memory alone

to keep track of every transaction.


Records can be defined as information captured by

individual, organization or institution in whatever

media and form for carrying out business.

Or Recorded information of any kind and in any

form, either originated or received by an

organization. Include papers, correspondence, forms,

books, photographs, films, sound recordings, maps,

drawings, and other documents.


Types of Records:-Records are of two major types, namely

i) Types of records based on media or formatIs the way where by record is designed or created, arranged and presented include:-

a) Paper based records are those records created received and kept on the paper medium ( in a hard copy ) for stance paper file, paper report, letters financial statements etc.


b)Electronic records are those records that

created, received, kept and accessed by using

electronic devices. Or are those records that

are held on digital form on a magnetic or

optical computer storage media. This include

things like Hard Disk, Video tape, Audio tape

and Compact Disks etc.


ii) Types of records based on Use/Function

a) Administrative recordsare those records relating to general administrative activities common to all organization, such as maintenance of resources care of the fiscal plan or other routine office matters also some time known as housekeeping record. Or records that carries administrative matters such as recruitment, planning, promotion, demotion, transfer, personnel records.


b)Personal recordsrecords deals with

individual information.

c)Financial records-are those records that

resulting from the conduct of business and

activities relating to financial matters and its

management such as salary slip, Bank

statement Loans, Vouchers and cheque etc.


d) Medical record- is a history of the patient’s

treatment written by the doctor attending him

or her it may also include other notes on

patient’s diagnosis and treatment provided by

nursing and other allied/associated staff


e) Legal recordsare records generated

specifically from the process of land

acquisition by an individual or an

organization.

f) Land recordsare records generated

specifically from the legal process, from the

work of the court, police and the public

prosecutors.


Is the state of owning recorded materials includes:-

a) Private or personal records refers to the recordsrelating to private matters or affairs that created,received and maintained by non-governmentalAgencies institutions, families or individuals. Or arerecords deal with individual information.

b) Public or general records- refers to records created,received and maintained in any public sector or Agencyfor stance Ministries Department. It is also a collectionof different records that found in a certain organization.


a) Top Secret- is a record or material required highdegree of protection because its un authorizeddisclosure could cause exceptional grave damage tothe national security example major governmentplans, vital strategic information for action pendingnegotiations economic agreements, newconstitutional development.

b) Secret- is a record or material required a substantialdegree of protection since its disclosure could causeserious damage or endanger national security.Example defense ensues, emergency and securitysystem political intelligent reports


c) Confidential- it is record or material requiredprotection because its unauthorized disclosurecould cause damage or administrativeembarrassment or difficult or would be advantageto a foreign nation. Example intelligent reportroutine confidential report, technical informationfor organization new materials.

d) Open record- is a record which does notrequired high degree of protection.


Records which are of their own distinct function

and content such as Land records, Legal/Judicial

records, Medical/Birth and death records and

financial records or are those records based on a

certain area of activity.

Also specialized records are the division of

records accordance with its special functions. Are

financial records, medical records, land records,

and medical records.


a) Medical records; records that written by thedoctor who attended the patient showing thehistory of the patient and the medication thatwill be applied to such patient such as x-rays,patient file, demographic data, diagnostic resultsetc.

b) Land records; are those records that concernedwith land matters includes land use, landreforms, land management, planning, landdisputes, title deeds etc.


c) Financial records; Records resulting from theconduct of business and activities relating tofinancial management such as salary slip, bank-pay-slip, payment voucher, budget, audit report,loans etc

d) Legal records; records that contains legalmatters, these kind of records are derived fromdifferent sources such as police, court of law andPublic Prosecution Office (PSO). Legal recordsinclude summons, subpoena, search warrant, casefile etc.


They are used for evidence

Used for historical purpose

Used for answering questions

Used for plans development

Used for decisions making

Answering questions/queries

Cultural heritage purposes

Investigation/research purpose


They protect the rights of an organization, itsemployees, citizens/ clients and the society atlarge.

They support good governance that isaccountability, transparency, and rule of law.

They provide evidence of organization’s policiesand rights.

They enable citizens to make informedcontributions to the governance process or claim,organization and societies at large.


The help quick and proper decision making.

They serve as a benchmark by which future activities

and decisions are measured.

They help to achieve greater efficiency, productivity

and consistency

They help to reduce the risks associated with missing

evidence of decisions and actions

They comprise of reliable source of information on past

decisions and activities of government and private

institutions.


As we have seen, records are the product ofadministrative and business activity. They are createdeither as a product of or to provide evidence for theactivity they document. Records supply the corporatememory; they are a source of information aboutdecisions, events and transactions that happened in thepast.

However, records are not always used for the purposefor which they were created. In both governmentoffices and archival institutions, records may be usedfor a wide range of purposes, such as the following.


Governments need well-managed records to

uphold the rule of law, to be accountable

for their actions and to ensure that the

interests of citizens are protected.

Executives need records to enable them to

formulate policy and make decisions on the

basis of well-organized, accurate and

comprehensive information.


Action officers and administrators need well-

structured, complete and accessible records so that

they have the information available to them to

implement policy, deliver services to citizens,

manage resources and carry out their work.

Auditors and other regulators need access to the

information in records to ensure that resources have

been used fairly and honestly, that programmes and

procedures have been carried out and that standards

have been met.


Ombudsmen, or official ‘watchdogs’, needrecords to determine whether or not decisionsand actions have been taken fairly and equitably.

People need access to the information in recordsto ensure that their rights and interests areprotected and to enable them to make an informedcontribution to the government process.


Historians and researchers need access to

records as evidence of what happened in the

past.

The community at large needs certain records

to be permanently preserved as archives to

enable today’s society to connect with the past.


Decision making: Is a model represents a way oflooking at the world, a shared set of assumptions thatenable us to understand or predict behavior. It haspowerful influence on individuals and on the societybecause our view of the world is determined by our setof assumptions about it.

To put in another way, our vision is often affected bywhat we believe about the world, our beliefs oftendetermine the information that we see.

Decision making is about facing a question such as tobe, or not to be?


Accountability: In general terms, accountability

means responsibility for actions.

It is the obligation of an individual or

organization to conduct for its activities, accept

responsibility for them, and to disclose the results

in a transparent manner. It also includes the

responsibility for money or other entrusted

property.


Entitlement: Is a guarantee of access to benefits

based on established rights or by legislation. A right

is itself an entitlement associated with moral or social

principles, such that an entitlement is a provision

made in accordance with legal framework of a

society. Typically, entitlements are laws based on

concepts of principles (rights) which are themselves

based in concepts of social equality or

enfranchisement


Copyright: Copyright is a legal concept,enacted by most governments, giving thecreator of original work exclusive rights to it.

Generally, it is the right to copy, but also givesthe copyright holder to be credited for thework, to determine who may adapt the work toother forms, who may perform the work whomay financially benefit from it and otherrelated rights.


Transparency: Is the result of information being

available.

A government is transparent when the great majority

of the information that it holds about its activities,

policies and decisions is accessible for the general

public.

Privacy: In general, the right to be free from secret

surveillance and to determine whether, when, how,

and to who one’s personal or organizational

information is to be revealed.


The rule of law: Means that all people are

equal before the law, all must obey the law, the

governors and the governed all must obey the

law; no one is above the law.


Providing evidence about a certain activity

Providing reference about the past event

Supporting decision making in different

matters

Providing laws, policies and regulations

Providing planning in different issues



THEN ACT LOCALLY


SPECIALIZED RECORDS


Records which are of their own distinct function and

content such as Land records, Legal/Judicial records,

Medical/Birth and death records and financial records

or are those records based on a certain area of

activity.

Also specialized records are the division of records

accordance with its special functions. are financial

records, medical records, land records, and medical

records.


i) Medical records

ii) Financial records

iii) Land records

iv) Legal records


i) Medical records; records that written by the

doctor who attended the patient showing the

history of the patient and the medication that

will be applied to such patient such as x-rays,

patient file, demographic data, diagnostic

results etc.

ii)Land records; are those records that

concerned with land matters includes land use,

land reforms, land.


iii) Financial records; Records resulting from theconduct of business and activities relating tofinancial management such as salary slip, bank-pay-slip, payment voucher, budget, audit report,loans etc.

iv) Legal records; records that contains legalmatters, these kind of records are derived fromdifferent sources such as police, court of law andPublic Prosecution Office (PSO). Legal recordsinclude summons, subpoena, search warrant, casefile etc.


Introduction.

Hospitals deal with the life and health of their patients.Good medical care relies on well-trained doctors andnurses and on high-quality facilities and equipment.Good medical care also relies on good record keeping.

Without accurate, comprehensive, up-to-date andaccessible patient case notes, medical personnel maynot offer the best treatment or may in fact misdiagnosea condition Associated records, such as X-rays,specimens, drug records and patient registers, must alsobe well cared for if the patient is to be protected.


Medical records

A medical record is documentation of medicaland health care services provided to a patient atthe directions of a physician, nurse or othercaregiver.

Is a legal document providing a chronicle (awritten account of important or historical eventsin the order of their occurrence) of a patient'smedical history and care, (the Purdue UniversityHealth Center)


These records include documentation of

medical observations and opinions by

these professionals as well as the

treatment and diagnostic documentation,

such as X-rays, and laboratory work and

can be a paper record, electronic record

or both.


Medical records:

Facilitate good care

Allow a subsequent caregiver to understand

the patient's condition and the basis for the

current investigations or treatments


Provide a method of communicating

with other team members satisfy legal

and ethical obligations: medical

regulatory authority (College), hospital,

and legislative requirements for clear and

legible records


Act as evidence: if your career is later questioned,it shows events as they happened. Clinical recordsthat contain sufficient information to securecontinuity of care will also contain the informationrequired for all other purposes. In the event of acomplaint, clinical negligence claim or disciplinaryproceedings, the doctor’s defense will in large partdepend upon the evidence available in the clinicalrecords. If essential information is missing, or foundto be inaccurate, cases may be lost when they couldotherwise have been won.


Coordinate and Combine Information fromMultiple Providers: PHRs (personal healthrecords) can promote better health care byhelping your patients manage information.

Help to Ensure Patient Information isavailable: Online PHRs can ensure yourpatients’ information is available inemergencies and when your patients aretraveling


Reduce Administrative Costs: Your

organization can reduce administrative costs

by using a PHR to provide patients with easy

access to electronic prescription refill and

appointment scheduling applications.1 With

PHRs, your staff can spend less time searching

for patient-requested information and

responding to patient questions.


Enhance Provider – Patient Communication:Many PHRs allow direct, secure communicationbetween patients and providers. PHRs can makecommunicating with your patients faster and easier.With open lines of communication, you can beinformed and intervene earlier if health problemsarise and improve the provider – patient relationship.

Encourage Family Health Management: Having asystem for tracking and updating health careinformation can help caregivers – such as thosecaring for young children, elderly parents, or spouses– manage your patients’ care and coordinate


1. Clinical department

Clinical Services is composed of professionals

belonging to four clinical disciplines: Psychology,

Rehabilitation Services (return to a former condition or

position, repair or renovate),Social Work, Vocational

and Educational Services. Staff in each of these clinical

disciplines are involved in patient treatment from

admission to discharge.

Staffs in all these disciplines generate medical records.


2. OPD (Out Patient Department)

When a person attends and receives healthcare

services in the hospital without being admitted, he or

she is referred to as an OUTPATIENT

outpatient visits are documented in the same medical

record as inpatient notes

• Outpatient visits are documented in a separate

outpatient record/card; or are documented in a patient

held health record. The ideal situation is when both

are filed in the one folder under one number.


This system is of benefit to the patient, as all their

health information at that hospital is in one place

for their continuing care. It also benefits the

doctor, who is able to refer to previous notes

when treating the patient for a new episode of a

previous illness or for a new illness.

3. Pharmacy is a place where medicinal drugs are

prepared or sold. Or it is the science or practice of

preparing and dispensing medicinal drugs.


Copies of order forms for stock, and alldelivery notes, should be kept for an agreednumber of years. Original orders are usuallypassed to the finance department for payment.From the moment that drug supplies arereceived in the hospital, a full record should bekept of each quantity that passes from onecustodian to another (for example, from bulkstores to the hospital pharmacy, and from thereto wards or departments or to individualpatients).


• Full records need to be maintained of items received,issued or dispensed, as well as details of the staffinvolved in preparing, checking and dispensingdrugs, so that each stage of the process is documentedand can be traced if necessary

• At the final stage, when the recipient is an individualpatient, relevant documentation should be included inhis or her case notes.

• All drug records, both those maintained in thepharmacy and those kept in the wards or otherdepartments, should be preserved for an agreedlength of time in case they are needed.


4. Mortuary

◦ Is a room or building in which dead bodies

are kept until burial or cremation.

◦ It keeps the records of the receipt, temporary

storage, body viewing and removal of

bodies; post-mortem examinations, and the

demonstration of Post Mortem findings in

cases of clinical interest and for teaching

purposes.


◦ The Mortuary operates 24 hours a day to

receive bodies from the hospital, police cases

and referrals from local and other health

institutions requiring storage or for medical

legal examinations.

◦During all those activities, records are

generated and should be well maintained.

Other records generated are:-


Investigations into the cause of death by performing a PM examination of the Body

• the demonstration of PM findings in cases of clinical interest or for teaching purposes;

• the viewing and/or identification of a body;

• accommodating visiting relatives .

Post-mortems may be required on:

• deaths occurring in hospital,

• people brought to the department who are dead on arrival; deaths occurring outside the hospital.


5. X-ray

• Whether the patient has been referred to the hospital

by an external medical practitioner, or whether the X-

ray has been requested from within the hospital, the

patient should be registered before the X-ray is made.

• Requests for X-rays should be made on a standard

form. The design of the form should include

designated spaces for the patient’s name and

unitary file number, as well as the date of the

request and the name, signature and department of

the requesting clinician.


• A day book or register should be maintained to record the

receipt of X-ray requests and,

• if applicable, the assignment of the next available X-ray

number which should then be written on the request form.

Following the production and examination of the X-ray film,

the radiologist’s comments are usually written on the request

form so that the form also serves as the report. Two signed

copies of the report are needed, one to be kept for reference in

the X-ray department, the other to be forwarded to the

clinician who made the request. This second copy will in due

course be placed on the patient’s file.


6. Maternity office

◦Maternity notes carry records like:

◦ patient’s name, address and hospital number

◦ Past and present health..

◦Medicines or drugs that you are taking.

◦ The health of close family members.

◦ Information about any previous pregnancies


Information about this pregnancy (date of your first

antenatal (before birth; during or relating to

pregnancy) visit and the date your baby is expected).

The results of blood tests, blood pressure readings,

urine test results, measurements of your bump and

the position in which your baby is lying later in

pregnancy.

Any problems you've experienced during your

pregnancy.

Details of your ultrasound scans.


A customized growth chart for your baby (which is

added after your first ultrasound scan).

Details of any reasons you had to go to the antenatal

ward or day assessment unit at your local hospital.

Information regarding post-operative deaths, plus

obstetric information such as deliveries, maternal

deaths, multiple births, foetal deaths(an unborn

human more than eight weeks after conception)and

infant deaths(a very young child or baby) are

recorded hence a source of medical records.


7. Laboratory Is a room or building for scientific

experiments, research, or teaching, or for the

manufacture of drugs or chemicals.

• It carry testing ordered by physicians for patients

under their care.

• Laboratory Services collects testing samples from

patients in the hospital wards, performs testing,

analyzes results, and conducts research in the

reference laboratory. In that way a laboratory act as asource of medical records too.


Introduction

While all records can be used as evidence, and so have

value, some records are generated specially from the

legal process from the work of Court, the Police and

Public Prosecutors. By this module outline the good

ways on how to care records created by the institutions

of the judiciary, police as well as public prosecutor.

Legal records are information that are generated from

the legal process undertaken by the court (judiciary),

the police and public prosecutors.


Or are those records generated specifically from legal

process or matters. They provide proof of the

activities the organization or person with the country

at large.

In legal context the term record has been rooted in the

medieval Latin word. “Recordum” which means the

testimony of witness.

Hence a record comes to mean a text of evidential

weight.


There are various ways or means that helps to obtain

legal record in the organization that involves some of

activities as follows:-

1. Criminal court

Decide if a person has committed a criminal

wrong ( civil wrong are handled in civil court).

Decide the legal penalty if a person has

committed a wrong rules on matters of law in

relation to judicial process.


2.Police

◦ Investigate the reported crimes

◦Arrest suspected offenders

◦Gather evidence

◦ Conduct the prosecution of minor offence

3.Public Prosecutors

◦ Conduct the prosecution of major offences

◦Advice law officers, police and government

departments about criminal law matters.


i) Summons - a document which call some before the court of law or police

ii) Crime report- a document which shows a report on a particular crime

iii) Arrest warrant- a document which arrest someone to arrest an offender

iv) R.B- Register Book

v) PF3- Police Form no.3 it assist an injury person to get treatment in the hospital


Legal records are very sensitive to the core operation

of any organization or country . in this case therefore

they should be effectively cared for

Document activities and so may serve as admissible

evidence in an court of law. And they serve as

evidence as evidence of rights and obligations of

individuals, organizations, and government.

Legal records document the responsibilities of the

parliament, government, and ultimately the citizensof the country.


Legal records provide proof of the activities of

the organizations or persons within the

country. If legal records are not created,

maintained and made accessible government

and citizens may be unable to enforce their

rights.

Legal records enforce and support the agency’s

laws or bindings rules example the court,

police or public prosecutor.


Acts as reference to various cases. Example in

countries using common law system whereby

depending on precedent and continuity which

requires past decision to be understood and

applied in similar circumstances and in

government.

They contribute to accountability in

organization and in government.


Legal records are essential for protection of

human rights in the court of law (justice)

Also they essential for continuation of

previous cases in case of appeal ( viewing how

the previously cases were judged.


Introduction

Therefore Financial Records can be simply defined as

records or information resulting from the conduct of

business and other activities related to financial

management in an organization ( IRMT 1999).

Finance- is a branch of economics concerned with

resource allocation as well as resource management

acquisition and investment. Simply finance deal with

matters related to money and the market.


Accounts- A records of financial transaction

for an asset or individual such as at a Bank. Or

are the financial records of an organization

that register all financial transaction and must

be kept at its principal office of place of

business.


Ensuring resources are matched to objectives.

Financial records management ensures that

money is allocated in accordance with the

government’s or organization strategic

priorities. This is achieved by controlling the

budget approved by legislature.

Ensures efficiency in provision of service.


Ensures transparency to the government and other

institutions in the course of undertaking financial

business functions.

Financial records forms a base for making

evaluation of performance on financial matters in

the organization.

Also enhance accountability of government

officials as well as private sectors on the basis of

undertaking financial management functions,


Enhance economic stability through government

reforms such as economic reforms, social reforms

Enables the accounting and auditing functions to

take place in a wise way for audit purpose to

check or evaluate how money was used or spent.

Essential for preparation of budget example

government budget or institutions.

Also financial play a great role on financial

control


Financial decision making in an

organization.

Helps in case of proper use of resources

Reduce unnecessary costs.

Helps in legal proceedings are all

documents which show continuation of a

case.


These sources are obtained on depending with various activities that leads to such records to be created are:-

Bill payment

Salary payment

Good receive note

Purchase order

Audit report

Budget report


Introduction

The term land defined by various scholarssuch as Lawyers, Economists, Layman andLand Act No 4 of 1999. Whereby eachdefinition defined differently according to theirperspectives:-

Lawyers, states that is anything which attachedon below and over the Earth’s surface such asHouse, Trees, Mountain and Valleys.


Economists states that Land is classified into three

group that is Land as a apace, Land as a factor of

production and Land as consumption good or capital

whereby Land as space refers as a room and surface

within which and upon life make place for stance

contain valleys.

Layman also states that is a gift of nature from the

creator where life of living things takes place. For

example Human being, Wild animal and Plants


Land Act No 4 of 1999 cap 113, this Act states that the Land

includes the surface of Earth, the Earth below the surface and

all substance other than Minerals and Petroleum forming

naturally growing on the land building and other structure

permanently affixed to Land.

Land records; are those records that concerned with land

matters includes land use, land reforms, land management,

planning, land disputes, title deeds etc. or refers to

information, documents related to land matters such as

ownership, possession, Land use, plan and Land Management


i) Mortgage (Credit Security).

ii) Land register.

iii) Land Act and regulation e.g. Act No. 4of 1999.

iv) Title deeds.

v) Certificate of occupancy /lease.

vi) Offered letters.


They help to solve conflicts. This can be between

land users and uses as well as harmonize peace

It helps to provide good decision making for

example land reform, conveyance also help

provision of good decision without biasness this

is due to the use of recorded information hence

gives out right decision to both sides.


They help also to increase accountability or

supporting. This is due to undertaking various

activities such as land village land reserved land and

general land also by so doing all workers perform

their duties by following rules and regulations.

Also help in education matters such as research,

planning, and mapping activities. Land records play

great

Help to know how land is used throughout the country

for various activities


It helps in case of geographical expression this

is also a part of land records as the size, shape,

type of soil through the basic live hood.

Legal status of a land is the most important

factor that needs to be considered so it helps to

confirm whether the owner has complete

authenticity over the land.


i) Land conflictii) Land registration iii) Land registryiv) Ministry of landv) Land tribunalsvi) Title deedsvii)Boundariesviii)Lease


Thank you for Listening

End


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