EXAMINING THE STORAGE AND PRESERVATION OF RECORDS AT MINISTRY OF LOCAL GOVERNMENT

ABSTRACT

The topic of study was examining the storage and preservation of records at ministry of local government; the study was guided by the following objectives; to identify different types of records kept at ministry of local government; to identify the importance of the records management Practices at ministry of local government, to examine the challenges faced with management records at ministry of local government and to propose solutions for effective records management Practices at ministry of local government.

The Ministry of local government Records Management Service Department should appoint a person with a Records Management qualification to revive the records departmental office for effective utilization. Also, other officials from different departments should be trained on the need to know the importance of records management so that they become aware of the value of records to an organization and learn different forms of records in different media.

The Ministry of local government Records Management Service departments ‘should appraise and create retention schedules or disposal schedules regularly so that the disposal of records becomes a routine which is systematic and not an ad-hoc procedure. The creation of records disposal schedules would help to solve the unnecessary keeping of continued values (Archives) and obsolete records in offices creating room for current records for storage safety and security. Ministry of local government Records Management Service office should be operationalized so as to make all records of the department to be centralized in the records office for purpose of proper organization, classification and arrangement by the trained records professionals.

The Ministry of local government Records Management Service department has been working to streamline records management procedures to avert unnecessary lose, access, misplacements, misuse and inadequate security measure which is challenging to personnel in-charge of records at the Ministry of local government records management service department which may lead to possible violations of privacy and confidentiality of individual records among others.  This research also discovered that there were numerous instances where important documents were not secure and safe, this was because some records were not properly managed a concern that threatened Ministry of local government records management service work .

CHAPTER ONE

INTRODUCTION AND BACK GROUND

1.0 Introduction

The study examines the storage and preservation of records at local government in Uganda a case study ministry of local government.

1.1 Background of the study

The preservation of records to aid in key areas management of organization are probably as old as the practice (Ayodele, 2011). As early as the 17th century records was considered to play an important role in the planning, management and decision-making, in 1662 John Graunt published a landmark analysis of mortality data, this publication was the first to quantify patterns of birth, death, and disease occurrence, noting disparities between males and females, high infant mortality, urban/rural differences, and seasonal variations. More to that Hippocrates in 400BC attempted to explain disease occurrence from a rational rather than a supernatural viewpoint basing on the records to study patterns, (Sekitoleko, 2017).

Organizations are faced with the danger of losing information when it is not properly preserved, yet it happens all the times. It makes sense for organizations and those involved in research to ensure that data is well managed. However, literature is replete with evidence of lack of preserved records and incapability to manage records which could otherwise contribute towards reduction in mishandling of data needed by organizations (Bishop & Borden, (2020).

Storage of records is a growing concern of researchers and institutions because of; policy shift of funding agencies, advances in digital technology and data driven science which emphasize research excellence (Choi & Lee, 2020; Tayler, Ripp, Jafary, 2020). Excellence in management and efficiency in records management require ethical performance across the research life cycle, making good use of public funds, in addition to making experiments and studies replicable, and research results to be as accessible as possible. Although, funding agencies and institutions are spending colossal sums of money in production, management and preservation of records (Whyte & Pryor, 2011; Scott, 2014; Wiley & Burnette, 2019).

Anane- Sarpong et al. (2017) about records preservation practices observes that preservation of records is slow and unsatisfactory compounded by financial constraints. Other challenges confronting preservation of records in Africa include lack of data sharing skills, poor or absence of data sharing policies, and poor data infrastructure (Chigwada, Chiparausha, & Kasiroori, 2017).

In Africa, it is only South Africa which has increased awareness about preservation of records in various sectors and the country is making significant and sustained strides towards inclusion of preservation of records. A number of initiatives are already in place to ensure that records from different fields is systematically managed and preserved for researchers for both the present and future use. In Kenya and Malawi two studies have so far been carried out to examine preservation of records (Ng’eno, 2018; Chawinga, 2019).

Uganda as a country is yet to institute in a coordinated manner practices and services dedicated to storage and preservation (Nakanjako et al., 2017; Ministry of local government, 2017; Nnamuchi, 2016; UNCST, 2014). The continued absence of a comprehensive plan to preserve records may hinder many organization in Uganda in achieving their objectives (Mladovsky, Mossialos, & McKee, 2015; Simons, 2016; Vasilevsky, et al., 2017).

Despite the challenges and limitations, organizations continue to establish databases, biobanks and repositories as part of the way of preserving records, globally emphasizing availability of records for long term preservation, access and reuse (Nnamuchi, 2016). Unfortunately, most of these initiatives are standalone, haphazardly implemented with long term effect on preservation of records practices (Buwule, 2019).

1.2 Problem statement

The Beijing CODATA, (2019), declaration called for adoption of new policies and principles of preservation of records using associated infrastructures, tools, services and practices to contribute towards open science. However, Uganda is yet to institute in a coordinated way preservation of records (Nakanjako et al., 2017; Ministry of local government, 2017; Nnamuchi, 2016; UNCST, 2014). Like elsewhere in low developing countries, researchers and research institutions largely operate independent of each other, creating siloes of incompatible practices and data sets that are not interoperable (Mwelwa, et al., 2020; Schouppe and Burgelman, 2018). Preservation of records continues to be used only once, privately kept or shipped to collaborating institutions in the developed countries or discarded and or abandoned to obscurity (Mladovsky et al., 2015; Tenopir et al., 2015). The preservation of records practice models were developed based on developed countries research intensive institutions and totally different infrastructure which is not readily applicable in low developing countries due to existing unique challenges. Most organizations in Uganda are faced with the challenge of managing complex and diverse records with inadequate resources, experience wasteful duplication, disorganized records and generally lack understanding of required record preservation practices across disciplines.

Academicians inadvertently continue to loss records or have trouble finding of records that already exists. In much of the sponsored studies, collected is usually shipped to advanced storage facilities where it becomes inaccessible to local participating academic institutions (Kamya, 2017). Locally, lost, misplaced, and difficult to understand records represents a growing volume of records ( Spallek, et al., 2018; Stover, et al., 2019; Uganda National Council of Science and Technology, 2014). Record storage Practices are commended for cost reduction, elimination of duplication of effort and mitigating non-use, un-utilization or under-utilization and risk reduction of data losses (Ball, & Emekcioglu, 2008; Qin, 2013; Vasilevsky, et al., 2017; Vines et al., 2014).However due to poor records preservation and storage this study is prompted to investigate into examining the storage and preservation of records at local government in Uganda a case study ministry of local government.

1.3 Purpose of the Study

The purpose of the study is to examining the storage and preservation of records at local government in Uganda a case study ministry of local government.

1.4 Objectives

To identify different types of records kept at ministry of local government

1. To identify the importance of the records management Practices at ministry of local government.
2. To examine the challenges faced with management records at ministry of local government.

• To propose solutions for effective records management Practices at ministry of local government.

1.5 Research Questions

1. What are different types of records kept at ministry of local government?
2. What is the importance of the records management Practices at ministry of local government?

• What are the challenges faced with management records at ministry of local government?

1. What are solutions for effective records management Practices at ministry of local government.

1.6       Scope of the Study

The scope of the study defines the; context, geographical and the time frame.

1.6.1 Contextual: The study examines; different types of records kept at ministry of local government, the importance of the records management Practices,  the challenges faced with management records and the solutions for effective records management ministry of local government

1.6.2 Geographical: The study shall be carried out at ministry of local government offices Kampala.

1.6.3 Time: The study shall focus on the last five years, based on the for the literature review.

1.7 Significant of the study

1. Contribution to Knowledge; storage and preservation of records lack generic theories and most of the study are based on models, whereas models are currently being tested for their validity, applying the three key models in the single study shall provide a rich analytical framework to comprehensively explain records preservation in organizations. In addition, existing models were designed based on research intensive institutions in developed countries and therefore are not generic to low developing countries context. Thus their application locally is faced with challenges, the current research intend to shed light on application of these models to examine research data, assess the researchers’ perceptions about Records management practices in resource constrained environments and develop a model for Records management practices for low developing countries research institutions that is applicable to their unique challenges experienced within the research environment

1. Researchers and research institutions: Records Management practices are acknowledged as critical and best practices in research highly commended by funders, publishers and a growing number of scholars due to their contribution to records. Assessing researchers’ perceptions, knowledge and skills required to cope in the globally driven competitive health research enterprise shall help in identifying perceptions and knowledge gaps that should be bridged for effective response to Records management demands within research institutions. In addition, building up cross-institutional data that shall be used to identify common patterns for benchmarking.

Policy makers: The study intends to analyze the legal and policy framework for Records management and its implication on open science and in records. Identified knowledge gaps shall require recommendations which are based on empirical findings of the study. By understanding how far the local practices and attitudes are typical, would contribute to making policy decisions. Thus a legal/ethical framework shall be derived that address key findings of the study for purposes of mainstreaming Records management for open science and records management in organizations.

CHAPTER TWO

LITERATURE REVIEW

2.0 Introduction

This section will discuss the research objectives which include; the different types of records kept at Ministry of local government,  the importance of the records management Practices , the challenges faced with management records and solutions for effective records management Practices.

2.2 Different types of Records kept

According to Gama (2010) the nature of organization and its activities determines the types of Records it generates and receives from other sources. Music dance and drama being a department in Makerere University, it performs various activities that result in to the accumulation of a vast amount of Records. The various Records generated may be of less value warranting their disposition immediately after they are used whereas some are vital to the organization for purposes of tracking what is happening what has happened and for efficient planning purposes.

Therefore the Records created and received in the course of organization activities should be properly managed to allow easy access and retrieval whenever they are needed Gama, (2010). According Federal Office, (2013) Records are classified into the following categories;

Legal Records

It explains that legal Records are those Records created to evidence business transactions or legal decisions for example; contracts, agreements, leases, policy records, case files and correspondences.

Shephard (2004) writes that legal records are generated specifically from the work of courts, the police, and public prosecution. Within legal context, records serve legal functions. Legal records support legal rights and obligations with the legal system, also provide proof that a particular activity took place. Legal records contribute to accountability in an organization and in government.

Shephard (2004), adds that such records includes: sub-poenia, which is a court order requiring the giving of evidence or the production of document, ―order of discovery‖, documents to one or both parties to produce documents on order for discovery. Discovery may also be made to produce a body who is not a party to the proceedings.

Administration Records

They are created for documentary policies, procedure and guidelines like directives manuals and reports Saleem (2000), staff in this section manages records and information systems related to personnel transactions such as employment, seniority, leaves of absence, terminations and changes of status. Records staff also maintain the official employee files. Saleemi (2000) classifies records to the line of life cycle as active and archive records.

Research Records

These are created to determine trends, recent developments or new information related to an organization‘s product. Research records refer to any type of records or materials that document your research effort. These can be electronic or hard copy as in various forms of logs, notebooks, correspondence, videos, computer databases, audio or digital records, or even the actual products of experiments (Saffady, and William, 2009).

In addition, research records helps to maintain accurate and complete research records for data analysis, all records relating to the conduct of the project are important includingthose that document the management of the research funds and the intellectual property (palmer.m, 2000).

Although not an inclusive list, research records typically include: laboratory research, lab notes, computer databases, microscopic slides, gels, images, photos, videos, laboratory equipment printouts, and records of records of statistical and other data analysis.

Financial Records

These are created for accounting and fiscal use. Examples include financial statement and tax forms. Formal documents representing the transactions of a business, individual or other organization. Financial records maintained by most businesses include a statement of retained earnings and cash flow, income statements and the company‘s balance sheet and tax returns. Keeping financial records organized is a key element in a successful business (Mackie 2007).

However other scholars have also come up with different types of Records depending on their currency and functions and these include;

According to Sennabulya, (2013) he stresses that there are three types of Records based on currency and these include:

Active or current Records

He defined active Records as open files that are in use for conducting the current business of the organization. He emphasizes that Current Records and documents those Records that are constantly in use and should therefore be maintained close to the users.

Semi-Active or Semi-Current Records

These are records that consist of the recently closed files. They are only infrequently used. They should be entered in a closed Records register and systematically transferred and organized in a departmental or organizational Records center. The register acts as a retrieval tool.

Non-Active or Non-Current Records

These are documents that are scarcely ever referred to for the conduct of business operations. Non-current or Non -active Records should b reviewed and appraised in order to make judgment on their further retention and those that are selected as valuable Records should be preserved in the Records Centre or with prior arrangements transferred to the National Archives for long term preservation as archival Records. Therefore it‘s very important to note that also records can also be classified according to their currency basing on Sennabulya views.

2.3 The Importance of Records Management in an Organization

According to Sanderson & Ward (2013), the importance of records management is increasingly being recognized in organizations. It is therefore the responsibility of records managers to ensure that they gain the attention of decision-makers in their organizations. Gaining recognition is all about convincing management of the role of records management as enabling unit in an organization.

Improved decision making

Employees require information in order to carry out their official duties and responsibilities efficiently and effectively in a transparent manner. Records represent major sources of information and are almost the only reliable and legally verifiable source of data that can serve as evidence of decisions, actions and transactions in an organization (Wamukoya, 2016). According to Northwest Territories (2012), the role of records management is to ensure that members of staff involved in different operations have the information they need, when necessary.

Information resource for strategic planning purposes

Among their other purpose, records also act as raw materials for research in various disciplines, including science research, which is an important ingredient of socio-economic development. Furthermore, records can be used as an information resource for strategic planning purposes. The service provided by records management is therefore of vital importance to both employees (end users) and organizational success. As outlined earlier, the primary function of records management is to facilitate the free flow of records throughout the entire organization. Most importantly, it remains the function of records management to ensure that an organization‘s records are safe for future reference (De Wet & Du Toit, 2016).

According to Palmer (2016), the role of records management Practices is that it acts as a control Practices that reinforces other control Practices s such as internal and external auditing. The record environment that allows opportunities to commit fraud, once fraud, once fraud is detected; records can provide a trail for investigators to track the root of corruption. However, for records to be useful in this capacity, they must be accessible. According to Hare & McLeod (2016), organization kept records for information retrieval, evidence of organization‘s activities and compliance with regulations. In support of Hare, McLeod & Cowling (2013), they further identified four main reasons for motivating organizations to preserve records permanently as discussed below

Administrative value

In the conduct of their business activity, organizations and individuals often need to consult records of their previous activities and decisions, for example to provide background information, establish the existence of a precedent or to substantiate or refute a claim or allegation. Records in this case are of utmost importance for an organization‘s administrative function (Hounsome, 2011).

Financial value

According to Hare & McLeod (2016), an organization needs long-term documentary evidence of the way in which funds were obtained, allocated, controlled and expended (budget). This includes budget records, which provide evidence of how income and expenditure were planned, and various accounting records documenting financial transactions.

Legal value

Legal records provide evidence of contractual obligations, duties and privileges agreed upon by governments ‘organizations or individuals. They provide record of matters such as property titles, charitable status and other legal and civil rights. They may be preserved as evidence of the decisions of governments, courts and other bodies or as the source of the authority for action taken by organizations or individuals (De Wet & Du Toit, 2016).

Information value

Archives and records management departments are generally recognized as the primary source of materials for information and research into the history of society. They form a unique and indispensable record for researchers such as historians, scientists, geographers, sociologists, statisticians etc (Sanderson & Ward, 2013).

The records are the corporate memory of the organization, evidence of what was done and why it was done. They provide information for different organizational purposes, such as decision making, financial accountability, performance measurement, strategic planning and research. Without divorcing themselves from the above scholars, (Sanderson and Ward, 2013) further explored the role of records management in an organization as follows:

To avoid the cost of litigation or failure to comply with regulatory bodies, to prevent the loss of intellectual property or loss of corporate learning/ corporate memory, to prevent loss of information from disasters or theft and ensuring business continuity, to maximize the efficiency of operation and usage of information, to respond in a timely and effective way to requirements of customers, to promote executives and their organizations from loss of reputation and credibility with the general public, customers etc. by demonstrating good practice and providing accountability for their actions.

Acts as a vital and reusable asset in an organization

Records need to be recognized as a vital and reusable asset, a source of content of content, context and knowledge (Sutcliffe, 2013). Organizations are currently involved in knowledge management. Records management should be seen as an enabling/support function towards knowledge management. The argument should be that without records, an organization would lose a wealth of knowledge produced by its employees during daily operation.

Financial management support

Good records management Practices are essential to support financial management and accountability. Records management therefore ensures an organization‘s ability to function effectively and to provide evidence for accountability and transparency (Palmer, 2016). Corruption has become a significant driver in the demand for accountability in organizations. There is a direct relationship between internal regulation and the more complete and accurate recording of decisions and actions. Records provide evidence of compliance with regulations; records management rules provide the guarantees that the evidence is captured in a Practices and is readily available (Palmer, 2016).

Acts as corporate memory for an organization

Records management has long been seen as the graveyard of information i.e. a place to store documents and records that have passed their sell by date. New technology has changed the picture.

The corporate record becomes the corporate memory, capable of informing and influencing everything that is done. Records need to be recognized as a vital and reusableasset, a source of content, context and knowledge, hence knowledge management, information management and information technology (Sutcliffe, 2013). Corporate memory is about how organizations learn from what they have done before, how they avoid re-inventing wheels, and how they build upon best practices. It is quite simply concerned with how organizations organize their most vital asset, which is information, and how they harness the skills and expertise of their most vital resource, which is their people (Sutcliffe, 2013).

2.4 Challenges of faced when managing records

Inaccessibility of the records

The sensitivity of medical records has brought several challenges to managing institutions. The commonest relates to storage, access, safety and security. Organizations which use primarily manual based records Practices s experience storage problems. Access to records is another challenge that users and custodians face. Sometimes there is conflict on the ownership and the right of access to a critical record.

Insecurity of the system

The safety and security of records is a challenge to personnel in-charge of records. Nicholson (1996) revealed that there were numerous instances where important documents and notes were not kept in secure conditions. When records are not properly managed, without proper security measures, they can be misused, which can lead to possible violations of privacy and confidentiality of records. (Berg, 2012), among others, is concerned about the misuse of records and state that: the confidentiality of records is threatened in many different ways. Most news worthy is the misappropriation and disclosure of records for financial gain or to cause harm or embarrassment.

Technical in nature of Records Management Practices

Gartee (2007), points out that a disadvantage of electronic records is that they are technical in nature; and demand training before they can be used. In addition, they lack standardized terminology and Practices architecture which render it hard to implement.

Some of the challenges of using electronic records are security related. Security lapses might compromise the privacy and confidentiality of records. Gartee (2007), further states that Practices designers must consider how individually identifiable information will be protected and also meet regulatory requirements before using electronic records.

The most essential qualities of a record are that it is authentic and that its content is fixed over time. In other words, people must have confidence that a record is what it says it is. Electronic records, unfortunately, do not intrinsically inspire this confidence in the same way that paper records do. The ease with which electronic documents can be created, altered, accessed, duplicated, and shared jeopardizes their value as records. Ironically, the most appealing aspects of creating electronic documents are what weaken our confidence in electronic records.

2.5 The Solutions to Records Management Challenges

Technological compliance solutions

Technological compliance solutions are some of the measures that have been adopted to safeguard electronic records. One such technological compliance solution is data encryption, whereby Internet Transfer Protocols are managed, in order to limit access to records. In this case, the activities concerning electronic records are tracked to identify who received disclosed data. Another way of safeguarding electronic records is through the use of biometrics (e.g. fingerprint ID recognition) to secure access to computers on networks and information storage devices (McClanahan, 2013).

Digitalization of automatic records

A viable solution is use of a computer based records management Practices, which comprises an information filter for assuring that record data units offered to the Practices for storage are complete and not redundant. These record data units may be electronic in nature, scanned from paper, digitally formed from audio, video or otherwise formed as digital data information media, an objective of the disclosed Practices being to eliminate paper or microform record keeping (Jobs, 2016). For records management to be effective and successful it should be based on certain principles and fundamentals such as data retrievals and data safety.

Adopting and complying with the regulations

According to Hare and McLeod (2012), it is explored that a legal and regulatory framework is a key to strengthening records management practices. Where by authorization should normally be obtained through a formal approval process and derived from a law, ordinance, regulation or policy. Hare Catherine and McLeod Julie, furthersay that environment has resulted from the development of ICTs. They further suggest that across all organizations, managing records effectively is not only a way of doing business effectively, but also a means of doing business more that their competitors. In addition, they emphasize that there is need to understand and identify the role of each record in relation to the business process which it documents and its value. Thus ensuring there management appropriately (Hare & McLeod, 2006).

Establishing ongoing programmes for training in managing records

According to ISO (2001), as explained by Kalusopa and Ngulube, organizations should establish ongoing programmes for training in managing records and that the effective management of records requires that there are procedures for the timely disposal of records that organizations no longer need to support current business or those that they do not need to retain for legacy purposes (Kalusopa&Ngulube, 2012). In addition, it was highlighted that the world over, sound management of records, whether electronic or paper, has increasingly become a topical issue (Moloi&Mutula, 2007).

Recognizing this multi-format reality of paper and electronic records

This is the key first step to properly managing the hybrid environment since a record is a record regardless of the format it takes. In the hybrid world, every file may exist in both paper and electronic formats (Chell, R. 2016). Establish universal controls over the entire lifecycle of a record, regardless of format. These controls include a records classification scheme, a retention schedule, indexing structures, and centralized storage (including both physical storage and electronic). Universal controls help you avoid the trap of having one approach for paper records and another for electronic records. (Wallace, P. E. 2017).

Eliminating non records

This is seen as knowing which document constitutes the official record also makes it much easier to reduce overall document volumes (Stewart, and Melesco, 2002). The reality of the hybrid environment is that document volumes are on the rise, so it is essential to take regular steps to remove convenience copies and other unneeded records (Cowling, 2013).

Considering the conversion options carefully

Cowling, (2013) further argues that, in many jurisdictions, the law allows for imaged records to take the place of the original paper record. Many organizations are taking advantage of this to reduce paper volumes through document imaging programs. However, the law also provides very specific criteria under which imaged documents can become the official record. Therefore, before committing

More so, Mnjama, (2007) further asserts that, there are a number of standards that have been developed which make specific reference to Records management requirements to overcome the challenges of Records Management and these include ISO 15489/1, (2001), which provides the basic requirements for the management of Records regardless of the format, analyses Records management procedures in terms of the life cycle and many others. Other standards include the National Archives of Canada information capacity check model (IMCC) and the European commission model for the management of E-records, observing these standards can be a step to improved records management.

CHAPTER THREE

METHODOLOGY

3.1 Introduction

The study aimed at investigating the effect of Information systems on performance of government agencies in Uganda. This chapter presents the research methods that were used to carry out the study. It covered the research design, Area of study, target population, sample design, sample size, research instrument, measurement of variables, Data Collection Procedure, data analysis and Ethical considerations of the study.

3.2 Research Design

The study adopted a descriptive research design because of the nature of the variables that at hand; to produce data required for quantitative and qualitative analysis and to allow simultaneous description of views, perceptions and opinions at any single point in time (White, 2000). The study also use qualitative and quantitative methodologies for data analysis. Quantitative and qualitative methodologies was used in examining the storage and preservation of records at local government in Uganda a case study ministry of local government.

3.3 Study Population

Out of the 15 study population, only 14 was used as the sample size according to Krejcie and Morgan (1970). A simple random sampling technique was used to select the respondents in the organization where the study was conducted because of the proximity of the researcher‘s views of time and funds constraints. The sample frame is tabulated as below

Table 1: Showing the composition of the sample frame

Source: Primary Data

3.4 Determination of the sample size

It is impossible to study the whole targeted population of the study and therefore the researcher Human resource, secretaries and Heads of Department a sample of the population this is also further supported by Mugenda and Mugenda (2003) who notes that a research should choose a sample out of the whole targeted population. A sample is a subset of the population that comprises members selected from the population. Using Krejcie and Morgan’s (1970) table for sample size determination approach, a sample size of 14 respondents will be selected from the total population of 14 employees.

3.5 Sampling techniques and procedure

Purposive sampling, also known as judgmental, selective or subjective sampling, is a type of non-probability sampling technique where the researcher chooses a sample based on what they think in other words they use their personal judgement (Palys, 2008). The study used Purposive sampling technique because it saves time and also enables the researcher to get information from the right people who have knowledge and skills regarding the subject topic. This technique used in selecting, Principal Records Officer , Records Officer , Messengers, the researcher used this technique because these respondents hold enough knowledge and skills regarding the study topic.

3.6 Data collection methods

The section presents data collection methods which include questionnaire survey, interview and documentary review.

3.6.1Questionnaire Survey

Questionnaire Survey method used used to obtain the opinion of the respondents regarding the topic under study, according to (Onen & onen, 2013) states that questionnaires are important in research because the respondents are given time to think and they don’t feel intimidated. Questionnaire gives the respondents ample time to respond to the questions when ready and they can be kept for future references. This method deployed to capture information from secretaries.

3.6.2    Interview

Face-to-face interview is a data collection method when the interviewer directly communicates with the respondent in accordance with the prepared questionnaire (Polak  & Green, 2015).

3.6.3    Documentary review

This used documentary review to supplement the data that is acquired from the interviews and questionnaires. The researcher analyzed the documents and publications related to the study topic. Documents that are expected to be reviewed include ministry reports, Journals, and Newspapers.

3.7 Data collection instruments

For each deployed data collection method, there is a corresponding data collection instrument that used. The study used Questionnaire Guides, Interview Guide and Document review checklist as described in the sub-sections below.

3.7.1    Self-administered Questionnaire

The questionnaire designed in a manner that motivates respondents with simple structured questions with the option of providing any addition information to the structured questionnaire as an option to obtain relevant data from them. The questionnaire is structured with both close-ended and open-ended questions. It has a Likert scale 1-5 indicating the level of a respondents’ agreement or disagreement, where 1 represents Strongly Disagree and 5 stronglyAgree. Thequestionnaire is attached.

3.7.2    Interview Guide

The researcher used an interview guide to collect data in order to find out the vivid picture of the participants’ perspective of the topic. Interviews are an effective qualitative method for getting people to talk about their feelings, opinions and experiences. They are also an opportunity for us to gain insight into how people interpret effect of examining the storage and preservation of records at local government.

3.8 Data quality control of instruments

The data collection tools pre-tested on a smaller number of respondents from each category of the population to ensure that the questions are accurate.

3.8.1 Validity

Validity is defined as the extent to which results can be accurately interpreted and generalized to other populations (Oso & Onen, 2008). While Borg & Gall, 1989 as cited in Onyinkwa, (2013) validity is defined as the degree to which results obtained by the research instrument correctly represented to the phenomenon understudy and Mugenda & Mugenda, (1999) as the accuracy and meaningfulness of inferences which are based on the research results.

3.8.2 Reliability

According to Mugenda and Mugenda, (2003) reliability is the measure of the extent to which research instruments are able to provide the same results upon being tested repeatedly. Crobach’s coefficient alpha (a) as recommended by Amin, (2005, P.302) was used to test the reliability of the research instrument. The instrument is deemed reliable if reliable of 0.7 and above is obtained and therefore, adopted for use in the data collection.

3.9 Procedure of data collection

The researcher will obtain an introductory letter from MTAC to seek permission and enable easy access of information by the researcher from Ministry of Local government, after the permission is granted from the Ministry of Local government.

3.10 Data analysis

Mugenda and Mugenda (1999) and Mbaaga (2000) both defined data analysis as a process of bringing order, structure and meaning to the data gathered to create information out of it. Data analysis was therefore, done with quantitative and qualitative methods. The quantitative (Questionnaires) and qualitative (interviews) were analyzed separately and then combined during discussion of the findings.

3.10.1  Quantitative Data Analysis

Data processing was done by entering the data into a statistics package for social sciences (SPSS) version 24.0 in line with the research questions. Data analysis was done by also using this statistics package for social sciences (SPSS) to formulate frequency tables where the percentages, frequency, mean, variance and standard deviation are obtained.

Under quantitative analysis, process included editing, classification, coding and presentation. Data was summarized in frequency tables, percentage; data was analyzed with the use of statistical package for social scientist (SPSS). Quantitative data was collected through structured questionnaires and it was cantered into a computer, tabulated and analyzed.

3.10.2 Qualitative Analysis

Qualitative data was analyzed using content analysis.it involved gathering and analyzing data based on the content, where by the raw data collected from the field was read through to enable the researcher to get familiar with the data. At this process the study noted cards to organize the available data to accelerate further analysis. Data was then evaluated and analyzed to determine its accuracy, credibility, usefulness and consistency which aided acceptance or rejection of the research hypothesis.

CHAPTER FOUR

PRESENTATION, INTERPRETATION AND ANALYSIS OF FINDINGS

4.0 Introduction

This chapter provides the presentation, interpretation and analysis of findings. The objectives of the study were to, identify different types of records, the importance of the records management Practices, to examine the challenges faced with management records and to propose solutions for effective records management.

4.1 Description of the Respondents

The respondents’ demographic characteristics in terms of local government, level of education, length of service in the organization and titles held in an organization.

4.1.1 Age Bracket of the Respondents

The respondents were asked to indicate their local government. The results are summarized in the table 2 below,

Table 1: Age Bracket of the Respondents

Source: Primary Data

According to Table 2: majority of respondents that participated in the study were 35.7% (30-39 years), 35.7% (40-49yrs), 20-29 (28.6%) considered respectively. The results consequently imply that majority of the respondents were between 30-39ycars (35.7%) and 40-49 years (35.7%) which was a suitable age bracket to provide basic information about the challenges and factors for records management Practices at the ministry of local government..

Figure 1: Showing Age Bracket of the Respondents

Source: Primary Data

Table 3: Showing the Educational Level of Respondents

Source: Primary data

 4.1.2 Education Level

According to Table 3 respondents that had other qualification constituted of the highest percentage with 35,7% of the total respondents involved the study of factors and challenge that in records management ministry of local government in Kampala. While degree holder formed up 28.6 %, 21, 4% for the master’s holders and 14.3% constituted of respondents with diploma. This implies that at least majority of the respondents in this study were educated enough and informed about the Ministry of local government.

Figure 2: Showing Education Level of the respondents

Source: Primary data

4.1.3 Length of time you have been working in this Organization

Table 2: Showing the Length of time you have been working in this Organization

Source: Primary data

The results indicated in table, 4, revealed that most of the respondents (92.9%) had worked with ministry of Health for at least five years. The study therefore implied that the Ministry of local government in Uganda is comprised of employees who have enough experience in records management.

Figure 3: Showing the length of period at Ministry of local government

Source: Primary data

4.2.4 Title Held in at Ministry of local government.

Figure 3: Showing Title held at Ministry of local government by the respondents

Source: Primary data

Figure 4 Indicated that majority of the people employed in ministry of local government were interns and office assistant dispatch drivers each representing 42.9% of the total response rate respectively. These results signify that majority of the employees in these positions were informed enough about the records management Practices at the ministry of local government.

4.3 Types of Records Maintained at Ministry of local government there are quite a number of records maintained by the Ministry of local government as identified by the researcher.

Table 3: Showing the types of records generated at Ministry of local government.

Source: Field Data, (2018)

From a several dialogues held with the respondents at Ministry of local government Records Management Service it was realized that financial records are those records that document financial transactions businesses that have been carried out in the department relating to department activities. It was further stressed that these were specially generated by the accounts department and they include cashbooks, payment vouchers, pool voucher, petty cashbook, cash flow statements and many more.

The interviewees also indicated that these were records created and received in the organization as a result of administrative functions and they include Programmes organized by the ministry of local government board meetings, seminars/ workshops or conferences organized by the ministry of local government, visits and tours done by the organization members.

The respondents further indicated that there are personnel records that mainly document all employees at the ministry of local government. These records deal with the job descriptions of the workers, staff performance, recruitment of-the workers, work plans of the ministry of local government, postings and transfers of the workers, promotions amongst workers, pensions to the workers and termination of employment.

 Financial records

Financial records kept within the ministry of local government Records Management Services have to do with the estimates of expenditure of the ministry of local government at large, salaries of the workers, their allowances, the revenues. The creditors and debtors to the ministry of local government, assets and tenders mad to the ministry of local government. The financial records are given class number 100 as appended

Personnel records

The personnel records mainly concern all employees at the ministry of local government. These records have to do with the job descriptions of the workers, staff performance, recruitment of the workers, work plans of the ministry of local government, postings and transfers of the workers, promotions amongst workers, pensions Lo the workers and termination of employment.

Administrative records

Mainly the administrative records include all records that concern the activities of the ministry of local government records that are generated by the ministry of local government internally a those that come from external partners organization but concern the ministry of local government business. Such records include: programmes organized by the ministry of local government, board meetings, seminars/workshops or conferences organized by the ministry of local government, visits and tours done by the ministry of local government staff.

Legal Records

The interviewees indicated that legal records were those records generated when a case arises against or within the department for example; documents on investigations on forgeries against the department and the members of ministry of local governments and others, documents on theft of the lecture’s notes and the members of ministry of local governments and others through forgeries, manipulation of documents to claim cash from the department and many others.

Research Records

The interviewees indicated that research records these are created to determine trends, recent developments or new information related to an organization’s product. Research records refer to any type of records or materials that document the organization’s work. These can be electronic or hard copy as in various forms of logs, notebooks, correspondence, videos, computer databases, audio or digital records, or even the actual products of experiments.

4.3 Records Management Activities in Ministry of local government records management service

Table 4: Showing the records management activities in Ministry of local government records management service

Source: field data, (2018)

4.3.1 Creation/receipt of records

From a dialogue held with the respondents, it was realized that a variety of records such as financial records, legal records and many more are created by the head of department at all levels ranging from the secretary, registry, records assistant depending on the head of department’s order and lectures also create records pertaining student results. They create members of ministry of local government and others database to manage the performance of different student in different course units.

 4.3.2 Maintenance and use of records

This was also another activity undertaken by the records assistant in ministry of local government records management service and it involved; file arrangement, classification of records, record storage equipment and supplies, file requisition and return, file census, file movement control and using of finding aids used. The activities under maintenance and use are explained below as follows basing on the information gathered from the respondents;

4.3.3 File arrangement of records

On the other hand, the interviewees indicated that files on the shelves, filing cabinets and wooden drawers were arranged Alpha numerically on shelves where a letter relating to a particular type of record would have a specific portion on the shelves together with and running numbers which would be used to store the files on the shelves ;

4.4 The Importance of Records Management in the Organization Improved decision making

Employees require information in order to carry out their official duties and responsibilities efficiently and effectively in a transparent manner. Records represent major sources of information and are almost the only reliable and legally verifiable source of data that can serve as evidence of decisions, actions and transactions in an organization (Wamukoya, 2016). According to Northwest Territories (2012), the role of records management is to ensure that members of staff involved in different operations have the information they need, when necessary.

Information resource for strategic planning purposes

Among their other purpose, records also act as raw materials for research in various disciplines, including science research, which is an important ingredient of socio-economic development. Furthermore, records can be used as an information resource for strategic planning purposes. The service provided by records management is therefore of vital importance to both employees (end users) and organizational success. As outlined earlier, the primary function of records management is to facilitate the Tree How of records throughout the entire organization

Administrative value

In the conduct of their business activity, organizations and individuals often need to consult records of their previous activities and decisions, for example to provide background information, establish the existence of a precedent or to substantiate or refute a claim or allegation. Records in this case are of utmost importance for an organization’s administrative function (Hounsomc. 2011).

Financial value

According to Hare & McLeod (2016), An organization needs long-term documentary evidence of the way in which funds were obtained, allocated, controlled and expended (budget). This includes budget records, which provide evidence of how income and expenditure were planned, and various accounting records documenting financial transactions.

Legal value

Legal records provide evidence of contractual obligations, duties and privileges agreed upon by governments’ organizations or individuals. They provide record of mailers such as property titles, charitable status and other legal and civil rights. They may be preserved as evidence of the decisions of governments, courts and other bodies or as the source of the authority for action taken by organizations or individuals (De Wet & Du Toil, 2016).

Information value

Archives and records management departments are generally recognized as the primary source of materials for information and research into the history of society. They form a unique and indispensable record for researchers such as historians, scientists, geographers, sociologists, statisticians etc (Sanderson & Ward, 2013).

Table 5: Importance of the Records Management Practices

Source: Field Data, (2018)                                                                                                                 

Respondents were asked whether employees require information in order to carry out their official duties regarding records management at the Ministry of local government section of Uganda, 11 of the total respondents strongly agreed representing 78.6% response rate, 3of them simply agreed representing 21.4% response rate, while none of the respondents indicated either whether they strongly disagree, not sure or disagree with the notion that employees require information in order to carry out their official duties.

When asked whether records also act as raw materials for research in various disciplines, 9 of the respondents strongly agreed with 64.3% rate, 4 of them simply agreed representing28.6%, while one respondent indicated that indeed is not sure (1.7%) about the statement with none indicating about strongly disagreeing or disagreeing with the above notion. This means that majority of the respondent agreed with the notion which implies that when records are fully availed, they act as raw materials for research in various disciplines in Uganda.

In addition, when respondents were asked whether records can be used as an information resource, 11 of the respondents strongly agreed (78.6%), 2 agreed with 14.3%. only ‗one disagreed (7.1) while none (0 %) neither disagreed nor were sure about the notion of response rate.

Therefore, the records when well-managed, they are major sources of organizational information. On whether records management facilitates the free flow of records, 9 of the respondents strongly agreed with 64.3%, 4 of them merely agreed representing with 28.6%, one of them was not sure (7.1%) while none revealed whether they strongly disagree or disagree with the notion.

While asked whether records are important for an organization’s administrative function, majority strongly agreed with 85.7 % response rate, 2 respondents simply agreed with 14,3% while amongst all, none disagreed, strongly disagreed or indicated that they were not sure with the statement.

Additionally, when asked whether records act as long-term documentary, 8 of them agreed with the statement (57.1%), 5 strongly agreed representing a response rate of 35,7%, only one respondent revealed that he/she disagreed with the notion constituting 7.1%}, while none of them indicated whether they disagreed or strongly disagreed with the statement that records act as long-term documentary.

On whether records provide evidence of business transactions, 8 of the respondents strongly agreed with 57.2%, 6 agreed representing 42.9%, while none of the respondents strongly disagreed or disagreed with the statement representing 0% of the response and as well none of them revealed that they were not sure with the notion.

This signifies that high maintenance of records provides clear evidence of business transactions. When asked whether records act as the primary source of materials for information, majority strongly agreed with 85.7% response rate, only 2 simply agreed representing 14.3% response rate, and among all respondents, none indicated whether they strongly disagree, disagree or even indicating that not to be sure with the statement.

In addition, when asked whether records help to remind organizations of their previous activities, majority respondents indicated that they were not sure representing a response rate of 35.7%, the same number of the respondents who agreed matched with those who strongly disagreed with the statement representing 21 .4% response rates respectively, and only one strongly agreed constituting 7.1% rate. This therefore implies that records hardly remind organizations of their previous activities during the record management Practices.

When respondents were asked whether records need to be recognized as vital assets, same number of respondents agreed as a similar number disagreed representing 35.7% response rate, 3 strongly agreed constituting 21.4%, and only one respondent was not sure (7.1%) while none of them disagreed with the notion. This implies that a similar number of employees agree that records need to be recognized as vital assets as of those who disagree with the statement.

4.5 Challenges of Records Management Practices at the ministry of local government

Inaccessibility of the records

The sensitivity of records such as, medical records has brought several challenges to managing institutions. The commonest relates to safety and security, access and storage. Organizations which use primarily manual based practices experience challenges as safety and security of records access and storage problems. Access challenges may be experienced by both users and custodians that sometimes cause conflict of ownership and right of access to such sensitive records.

Insecurity of the system

The safety and security of records management system is a challenge to the personnel in-charge of records. Nicholson (1996) revealed that there were numerous instances where important documents and notes were not kept in secure conditions. When records arc not properly managed, without proper security measures, they can be misused, misplaced and misfiled which may lead to possible violations of privacy and confidentiality of records.

Table 6: Challenges of Records Management Practices

Source: Field Data, (2018)

Respondents were asked whether accessing to records is another challenge that users and custodians face on daily basis the response was on strongly agreed, agreed, disagree and strongly disagree. The result in the above table indicates that 64.3% and 28.6% respondents strongly agreed and agreed that access to records is a challenge to records management practices respectively. While 42.9% and 21.4% strongly disagreed and disagreed with the statement. This means that access to records is a challenge to records management practices in PRMS.

When asked whether safety and security of records is a challenge to personnel in-charge of records, majority of them agreed a response rate of 85.7% of respondents agreed that indeed security is a challenge in PRMS. This implies that safety and security of records is a challenge to personnel in-charge of records at ministry of local government section in Uganda.

4.6 Solutions for Effective Records Management Practices at ministry of local government

Technological Compliance Solutions

Technological compliance solutions are some of the measures that have been adopted to safeguard electronic records. One such technological compliance solution is data encryption, whereby Internet Transfer Protocols are managed, in order to limit access to records. In this case, the activities concerning electronic records are tracked to identify who received disclosed data. Another way of safeguarding electronic records is through the use of biometrics (e.g. fingerprint ID recognition) to secure access to computers on networks and information storage devices (McClanahan, 2013).

Use of a computer based records management Practices

A viable solution is use of a computer based records management Practices, which comprises an information filter for assuring that record data units offered to the Practices for storage are complete and not redundant. These record data units may be electronic in nature, scanned from paper, digitally formed from audio, video or otherwise formed as digital data information media, an objective of the disclosed Practices being to eliminate paper or microform record keeping (Jobs, 2016). For records management to be effective and successful it should be based on certain principles and fundamentals such as data retrievals and data safety.

Exploring legal and regulatory framework

According to Hare and McLeod (2012), it is explored that a legal and regulatory framework is a key to strengthening records management practices. Where by authorization should normally be obtained through a formal approval process and derived from a law, ordinance, regulation or policy. Hare Catherine and McLeod Julie, further say that environment has resulted from the development of ICTs.

They further suggest that across all organizations, managing records effectively is not only a way of doing business effectively, but also a means of doing business more that their competitors. In addition, they emphasize that there is need to understand and identify the role of each record m relation to the business process which it documents and its value. Thus ensuring there management appropriately (Hare & McLeod, 2006).

Establishing ongoing programmes for training in managing records

According to ISO (2001), as explained by Kalusopa and Ngulube. Organizations should establish ongoing programmes for training in managing records and that the effective management of records requires that there are procedures for the timely disposal of records that organizations no longer need to support current business or those that they do not need to retain for legacy purposes (Kalusopa&Ngulube, 2012). In addition, it was highlighted that the world over, sound management of records, whether electronic or paper, has increasingly become a topical issue (Moloi&Mutula, 2007).

Recognizing this multi-format reality of paper and electronic records

This is the key first step to properly managing the hybrid environment since a record is a record regardless of the format it takes. In the hybrid world, every file may exist in both paper and electronic formats (Chell, 2016).

Establish universal controls over the entire lifecycle of a record, regardless of format. These controls include a records classification scheme, a retention schedule, indexing structures, and centralized storage (including both physical storage and electronic). Universal controls help you avoid the trap of having one approach for paper records and another for electronic records (Wallace, 2017).

Identifying the official record

In the hybrid environment, it is expected that multiple copies of a record may be circulating in multiple formats at any given time. In this situation it is critical that your records management program prescribes which document, in which format, will count as the official record Wamukoya, (2012). Thus laying the groundwork for the timely application of retention schedules and other management activities (Wamukoya, 2012).

Eliminating non records

This is seen as knowing which document constitutes the official record also makes it much easier to reduce overall document volumes (Stewart, and Melesco 2002)). The reality of the hybrid environment is that document volumes are on the rise, so it is essential to take regular steps to remove convenience copies and other unneeded records (Cowling, 2013).

Considering the conversion options carefully

Cowling, (2013) further argues that, in many jurisdictions, the law allows for imaged records to take the place of the original paper record. Many organizations are taking advantage of this to reduce paper volumes through document imaging programs. However, the law also provides very specific criteria under which imaged documents can become the official record. Therefore, before committing.

Table 7: The Solutions for effective records management Practices at ministry of local government

Source; primary data, (2018)                                                                                                  Respondents were asked whether ministry of local government should try to use computer based records management Practices like encryption, the same number disagreed as well as those who were not sure representing 35.7%, 4 of them strongly disagreed (28.6%), while none of them either agreed or strongly agreed with the statement.

When asked whether another way of safeguarding records is through the use of biometrics. 5 respondents strongly agreed (35.7%), 4 of them were not sure about it representing 28.6%>, 3 agreed (21.4%), while none of them strongly disagreed with the above statement. This implies that safeguarding records could be enhanced through the use of biometrics.

On whether, ministry of local government should try to use computer based records management Practices like encryption, 5 of them wore not sure representing 35.7% as those who disagreed, 4 respondents indicated that it is one way of increasing records management (28.6%), while none strongly agreed with the above statement.

Respondents were asked whether for records management to be effective and successful it should be based on best training principles and fundamentals, majority strongly agreed with 35.7 % response rate, 4 of them were not sure about it (28.6%), while 3 simply agreed that for records management to be effective and successful it should be based on

CHAPTER FIVE

SUMMARY, CONCLUSION AND RECOMMENDATION OF THE STUDY

5.0 Introduction

This chapter presents the summary, conclusion and recommendations basing on the findings from literature reviewed with the view of examining the storage and preservation of records at ministry of local government.

5.1 Discussion of Findings

The finding revealed that majority of respondents that participated in the study were 35.7% (3039 years), 35.7% (40-49yrs), 20-29 (28.6%) and 0 % consisted of those of 50 yrs and above respectively. The results consequently imply that majority of the respondents were between 33039 years (35.7%) and 40-49 years (35.7%) was a suitable age bracket to provide basic information about the challenges and factors for effective records management Practices at the Ministry of local government Records Management Service in Uganda.

The studies observed that had other qualification constituted of the highest percentage with 35.7% of the total respondents involved the study of factors and challenge that in records management Practices at the Ministry of local government Records Management Service in Uganda. While degree holder formed up 28.6 %, 21.4% for the master‘s holders and 14.3% constituted of respondents with diploma. This implies that at least majority of the respondents in this study were educated enough and informed about the ministry of local government records management services in Uganda.

In the study findings it was revealed that most of the respondents (92.9%) had worked with the ministry of local government records management services in Uganda for at least five years. The study therefore implied that the ministry of local government records management service in Uganda is comprised of employees who have enough experience in records management.

Finally the study revealed that majority of the people employed in the ministry of local government records management services in Uganda were interns and office assistant dispatch drivers each representing 42.9% of the total response rate respectively. These results signify that majority of the employees in these positions were informed enough about the records management Practices at the ministry of local government records management service in Uganda.

5.2 Summary of findings

5.2.1 Finding on the types of records at Ministry of local government Records Management Service

From a several dialogues held with the respondents at Ministry of local government Records Management Service it was realized that financial records are those records that document financial transactions that have been carried out in the department relating to department activities. They further stressed that these were specially generated by the accounts department and they include cashbooks, payment vouchers, pool voucher, petty cashbook, cash flow statements and many more.

The interviewees indicated that administrative records these were records/received in the company as a result of administrative functions and these included: Programmes organized by the ministry of local government, board meetings, seminars/ workshops or conferences organised by the ministry of local government, visits and tours done by the ministry of local government members.

The interviewees indicated that the personnel records mainly concern all employees at the ministry of local government. These records have to do with the job descriptions of the workers, staff performance, recruitment of the workers, work plans of the ministry of local government, postings and transfers of the workers, promotions amongst workers, pensions to the workers and termination of employment.

5.2.2 Findings on the importance of the Records Management Practices

The respondents were asked whether employees require information in order to carry out their official duties regarding records management at the Ministry of local governmentary section of Uganda, 11 of the total respondents strongly agreed representing 78.6% response rate, 3 of them simply agreed representing 21.4% response rate, while none of the respondents indicated either whether they strongly disagree, not sure or disagree with the notion that employees require information in order to carry out their official duties. When asked whether records also act as raw materials for research in various disciplines, 9 of the respondents strongly agreed with 64.3% rate, 4 of them simply agreed representing28.6%, while one respondent indicated that indeed is not sure (1.7%) about the statement with none indicating about strongly disagreeing or disagreeing with the above notion.

The study noted that this means that majority of the respondent agreed with the notion which implies that when records are fully availed, they act as raw materials for research in various disciplines in Uganda.

The study revealed that records can be used as an information resource, 11 of the respondents strongly agreed (78.6%), 2 agreed with 14.3%, only one disagreed (7.1) while none indicated whether they disagreed or not sure with the notion representing 0 % response rate. Therefore, the records when well-managed, they are major sources of organizational information. On whether records management facilitates the free flow of records, 9 of the respondents strongly agreed with 64.3%, 4 of them merely agreed representing with 28.6%, one of them was not sure (7.1%) while none revealed whether they strongly disagree or disagree with the notion.

The study observed that they were not sure with the statement. Additionally, when asked whether records act as long-term documentary, 8 of them agreed with the statement (57.1%), 5 strongly agreed representing a response rate of 35.7%, only one respondent revealed that he/she disagreed with the notion constituting 7.1%, while none of them indicated whether they disagreed or strongly disagreed with the statement that records act as long-term documentary.

The study further observed that high maintenance of records provides clear evidence of business transactions. When asked whether records act as the primary source of materials for information, majority strongly agreed with 85.7% response rate, only 2 simply agreed representing 14.3% response rate, and among all respondents, none indicated whether they strongly disagree, disagree or even indicating that not to be sure with the statement. In addition, when asked whether records help to remind organizations of their previous activities, majority respondents indicated that they were not sure representing a response rate of 35.7%, the same number of the respondents who agreed matched with those who strongly disagreed with the statement representing 21.4% response rate respectively, and only one strongly agreed constituting 7.1% rate.

Finally the findings revealed that records hardly remind organizations of their previous activities during the record management Practices. When respondents were asked whether records need to be recognized as vital assets, same number of respondents agreed as a similar number disagreed representing 35.7% response rate, 3 strongly agreed constituting 21.4%, and only one respondent was not sure (7.1%) while none of them disagreed with the notion. This implies that a similar number of employees agree that records need to be recognized as vital assets as of those who disagree with the statement.

5.2.3 Findings on challenges of Records Management Practices

The findings revealed that accessing to records is another challenge that users and custodians face, according to findings shows that 9 respondents strongly agreed representing 64.3%, 4 of them simply agreed were in line with the statement (28.6%), one disagreed (7.1%) while none of them strongly disagreed with the statement. When asked whether the safety and security of records is a challenge to personnel in-charge of records, majority of them agreed a response rate of 42.9%, 3 respondents were not sure (21.4%), only 2 strongly agreed with 14.3%, and none strongly disagreed with the statement. This implies that safety and security of records is a challenge to personnel in-charge of records at ministry of local government section in Uganda. On whether, records without proper security measures, they can be misused, 12 respondents strongly agreed constituting 85.7% response rate, same number of respondents indicated agree and not sure responses representing 7.1 %, while none of them strongly disagreed or agreed with the statement. In other words, without proper security measures, records can be misused at the ministry of local government section in Uganda, the study noted that the confidentiality of the Ministry of local government Records in Uganda are threatened in different ways, the finding s observed that 7 of the respondent strongly agreed with 50.0%, 6 agreed contributing 42.9%, one respondent disagreed with the statement while one of the respondents indicated whether they seriously disagree or totally not sure with the statement. In other words, the confidentiality of records at the Ministry of local government section of Uganda is highly at a high risk. When asked whether the handling of electronic records necessitates one having technical knowledge at the Ministry of local government section in Uganda, same figures matched among the respondents who strongly agreed with those who simply agreed representing 35.7% (5 respondents), 4 of them were not sure, while none of the respondents indicated whether they strongly disagreed or merely disagree with the statement. Therefore, handling of records is seriously challenged by lack of technical knowledge among people employed in the records management Practices.

Finally it was revealed that security lapses might compromise the privacy and confidentiality of records during records management, the same number of respondents disagreed as those who were not sure constituting 35.7% response rate, while 4 of them strongly disagreed (28.6%), strongly agreed representing 57.1%, 6 agreed contributing 42.9%, while none of the respondents indicated whether they disagreed, not sure or strongly disagreed with the notion, while none of them either agreed or strongly agreed with the notion. When asked whether authenticated records and its content is fixed over time, 5 of the respondents strongly agreed representing 35.7%, 4 indicated that they are not sure whether authenticated records and its content is fixed over time, 3 simply agreed with the notion contributing 21.4%, only 2 disagreed (14.3%), while none of them revealed whether they strongly disagreed with the above statement. Thus implying that majority contend that authenticated records and its content is fixed over time at the ministry of local government Records Management Services in Uganda.

5.2.3 Solution for Effective Records Management Practices at Ministry of Local government

Respondents were asked whether ministry of local government should try to use computer based records management Practices like encryption, the same number disagreed as well as those who were not sure representing 35.7%, 4 of them strongly disagreed (28.6%), while none of them either agreed or strongly agreed with the statement. When asked whether another way of safeguarding records is through the use of biometrics, 5 respondents strongly agreed (35.7%), 4 of them were not sure about it representing 28.6%, 3 agreed (21.4%), while none of them strongly disagreed with the above statement. This implies that safeguarding records could be enhanced through the use of biometrics. On whether, ministry of local government should try to use computer based records management Practices like encryption, 5 of them were not sure representing 35.7% as those who disagreed, 4respondents indicated that it is one way of increasing records management (28.6%), while none strongly agreed with the above statement.

Respondents were asked whether for records management to be effective and successful it should be based on best training principles and fundamentals, majority strongly agreed with 35.7 % response rate, 4 of them were not sure about it (28.6%), while 3 simply agreed that for records management to be effective and successful it should be based on best training principles and fundamentals constituting 21.4%, and none of them either strongly disagreed or disagreed with the statement presented. This implies that best training principles and fundamentals should be made to effectively manage records. When asked whether the information desired should be available when needed in the shortest possible period of time, 13 of the respondents strongly agreed with a 92.9%response rate, only one agreed constituting 7.1% response rate, while none of them strongly disagreed, disagreed or indicated not to be sure with the notion. Therefore, this implies that information should be available when needed in the shortest possible period of time in the ministry of local government services in Uganda.

5.3 Managerial and Policy Recommendations

The researcher recommends the following to the department of Works: The Ministry of local government Records Management Services department must come up with a departmental records management policy or a records management procedural manual or some sort of standards to manage records so as to ensure uniformity in the management of records within the department.

The Ministry of local government Records Management Service Department should appoint a person with a Records Management qualification to revive the records departmental office for effective utilization. Also, other officials from different departments should be trained on the need to know the importance of records management so that they become aware of the value of records to an organization and learn different forms of records in different media.

The Ministry of local government Records Management Service department should have a records preservation plan, a vital records protection plan and a disaster preparedness plan.

The Ministry of local government Records Management Service departments ‘should appraise and create retention schedules or disposal schedules regularly so that the disposal of records becomes a routine which is systematic and not an ad-hoc procedure. The creation of records disposal schedules would help to solve the unnecessary keeping of continued values (Archives) and obsolete records in offices creating room for current records for storage safety and security.

Ministry of local government Records Management Service office should be operationalized so as to make all records of the department to be centralized in the records office for purpose of proper organization, classification and arrangement by the trained records professionals.

5.4 Conclusion

The Ministry of local government Records Management Service department has been working to streamline records management procedures to avert unnecessary lose, access, misplacements, misuse and inadequate security measure which is challenging to personnel in-charge of records at the Ministry of local government records management service department which may lead to possible violations of privacy and confidentiality of individual records among others.  This research also discovered that there were numerous instances where important documents were not secure and safe, this was because some records were not properly managed a concern that threatened Ministry of local government records management service work

5.5 Areas of further research

The effect of contribution of records management towards an organization competitive performance

The effect of records management on service delivery in public institutions Analysis of records management and organizational performance

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APPENDICES

 APPENDIX I: Work plan

APPENDIX II: BUDGET

APPENDIX: III: QUESTIONNAIRE

EXAMINING THE STORAGE AND PRESERVATION OF RECORDS AT MINISTRY OF LOCAL GOVERNMENT

INTRODUCTION

Dear respondent,

I am a MTAC student conducting an academic research on Assessment of Records Management Practices at Ministry of local. I kindly request you to respond to this questionnaire. The responses you provide will be of great importance and maximum confidentiality will be observed.

SECTION A: BACKGROUND INFORMATION (Please tick the appropriate box) a) Age of respondent

1. b) Level of education attained

1. c) Length of time you have been working in this organization

1. d) Title held in an organization

SECTION B: Importance of the records management practices at ministry of local government records management service

This section deals with the importance of the records management Practices at Ministry of local government Records Management Service. Please indicate the level of agreement with the statements. Kindly tick the appropriate box to indicate the level of agreement with the statement. 1=strongly disagree, 2=disagree, 3=Not Sure, 4=agree, 5= strongly agree.

SECTION C: CHALLENGES OF RECORDS MANAGEMENT PRACTICESES

This section deals with the challenges faced with management records at Ministry of local government Records Management Service. Please indicate the level of agreement with the statements as they relate to the subject. Kindly tick the appropriate box to indicate the level of agreement with the statement. 1=strongly disagree, 2=disagree, 3=Not Sure, 4=agree, 5= strongly agree.

SECTION D: SOLUTIONS FOR EFFECTIVE RECORDS MANAGEMENT PRACTICES AT MINISTRY OF LOCAL GOVERNMENTARY RECORDS MANAGEMENT SERVICE

This section deals with proposing solutions for effective records management practices at Ministry of local government Records Management Service. Kindly tick the appropriate box to indicate the level of agreement with the statement. 1=strongly disagree, 2=disagree, 3=Not Sure, 4=agree, 5= strongly agree. needed in the shortest possible period of time.