A presentation of internship works and programs

1. RECORDS MANAGEMENT
A Paper Presented to Internship Students
BY
Yusifu Muhangi
Senior Records Officer
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2. Learning Objectives
Participants should be able to:
i. Conceptualise records management;
ii. Appreciate good practices of records keeping;
iii. Appreciate the provisions of different laws
iv. Ensure their actions in regard to records management
comply with the law.
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3. Introduction
 Records management is an important function on which
principles and practices of modern management depend.
 A record means any information in any format that is a result of
a transaction and forms evidence of that transaction. .
 The level of efficiency and accountability in an organization is
dependent on how well it manages its information resources-
both manual and electronic records.
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4. The Records Management Life Cycle
 Scholars Penn, Pennix and Coulson (1994:11) stated that the
life cycle of records can be divided into five major phases:
creation, distribution, use, maintenance and disposal or
archival.
 Life Cycle model by Schellenberg of the National Archives of
USA states that records have a life similar to that of a biological
organism which is born (creation phase), it lives (maintenance
phase) and dies (disposition phase).
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5. Records Management Life Cycle
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Create;
Receive
Use;
Modify
Maintain;
Protect
Dispose;
Destroy
Archive;
Preserve

6. The Legal Framework
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Legal Framework Provisions
The Constitution of the Republic
of Uganda, 1995 Article 189 Sixth
Schedule (10)
Article 189 of the Constitution refers broadly to functions
and services that are a responsibility of Government and
are stated under the Sixth Schedule of the 1995
Constitution.
The Sixth Schedule of the Constitution, Subsection 10
lists national monuments, antiquities, archives and public
records as a responsibility of Government.
The Constitution of the Republic
of Uganda, Article 41
This Article emphasizes the rights of Citizenry access to
information in custody of the State and further defines
parameters under which such information can be availed.

7. The Legal Framework Cont’d
Legal Framework Provisions
The Access to
Information Act, 2005
The Act provides for the right of access to information pursuant to
article 41 of the Constitution; to prescribe the classes of information
referred to in that article; the procedure for obtaining access to that
information and for related matters.
The National Records
and Archives Act, 2001
The Act provides for the rationalized management of all
Government and other public records and archives under one single
single authority, for preservation, utilization and disposal of such
records and archives.
The Official Secrets Act
(Cap. 302)
The Act has provisions against abuse of public records or official
information under one’s possession or control that is of restricted
nature while owing allegiance to the Republic of Uganda. Such
abuse would constitute an offense under the Act.
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8. The Legal Framework Cont’d
Legal Framework Provisions
The Evidence Act (Cap
6)
The Act provides that information as evidence can be oral or
documentary (Sections 58, 60 – 72)
The Electronic
Signatures Act, 2011
The Act provides for the use of electronic signatures in secure
transactions. It makes provisions for the establishment of the Public
Key Infrastructure for authenticity and security of documents.
The Computer Misuse
Act, 2011
The Act provides for the safety and security of electronic
transactions and information systems; to prevent unlawful access,
abuse or misuse of information systems including computers and to
make provision for securing the conduct of electronic transactions in
a trustworthy electronic environment.
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9. The Legal Framework Cont’d
Legal Framework Provisions
The Electronic Transactions
Act, 2011
The Act provides for the use, security, facilitation and
regulation of electronic communication and transactions;
to encourage the use of e-Government services and to
provide for related matters.
The Data Protection and
Privacy Act, 2019
The Act protects the privacy of the individual and of
personal data by regulating the collection and processing
of personal information. It provides for the rights of the
persons whose data is collected and obligation of data
collectors, data processers and data controllers. The Act
also regulates the use or disclosure of personal
information.
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10. Regulatory Framework
Regulation Provisions
Statutory Instrument No. 17 of
2011: The Access to
Information Regulations
It stipulates the procedures and conditions governing grant or
denial of access to a record in custody of a public body.
Statutory Instrument No. 42 of
2013: The Electronic
Transactions Regulations
It prescribes the criteria to be used in determining the authenticity
and integrity of data messages and provides for conditions under
which data messages can be transacted by a public body.
Statutory Instrument No. 21 of
2021: The Data Protection and
Privacy Regulations
It sets the ground rules and imposes restrictions for the
acquisition, processing, dissemination and disposal of personal
data. It also prescribes the rights of natural persons on information
information that is of a private nature.
Retention and Disposal
Schedule: Administration,
Personnel, Financial, Medical
and Judicial Records, 2007
It lists all the records according to series and provides for the
period records should be kept, disposal method and custodial
arrangements. The Schedule guides the Public Service to assess
the content of records and sort them according to their values.
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11. Operational Guidelines and Regulations
 The Uganda Public Service Standing Orders, 2021.
 The Uganda Government Security Instructions, 1964.
 The Code of Conduct and Ethics.
 The Retention and Disposal Schedule, 2007(Under Review).
 Records Centre Procedures Manual, 2014.
 The Basic Registry Procedures Manual, 2000 (Under Review).
 The Records and Information Management Manual for Districts.
and Municipal Councils, 1999 (Under Review).
 Circular Standing Instructions and Establishment Notices.
 The Scheme of Service for Records and Archives cadre.
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12. Significance of Records
 Enable organizations to conduct business in an orderly, efficient and
accountable manner.
 Support effective service delivery.
 Support policy formation and managerial decision making.
 Enable organizations to meet legislative and regulatory requirements.
 Protect the interest of the organizations and the rights of employees,
clients and citizens in view of financial, legal and administrative
challenges.
 Provide protection and support in litigation.
 Enable organizations to document their activities, developments and
achievements.
 Support research and development activities.
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13. 13
Makerere University Main Building Gutted by Fire

14.  Registry (open and security)
 Confidentiality
 Color coding
 Records (paper based and Electronic)
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Key to note

15. Records Management Procedures Cont’d
 Managing Mail (incoming and outgoing)
 Processing records
 Managing personnel records
 Tracking Records
 Storing records
 Accessing records
 Retiring records
 Appraising records
 Managing the Records Centre and archives
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16. Principles of Records Management
 Authenticity – Credibility and integrity of records.
 Accuracy – Records should accurately reflect the transactions that they
document.
 Comprehensiveness – Document the complete range of the organizations
business.
 Compliance – Comply with any record keeping requirements resulting from
legislation and other relevant regulations.
 Effectiveness – Maintained for specific purposes and they should be linked
to the business process to which they are related.
 Security – Prevent unauthorized access, alteration, damage or removal.
 Accessibility – Available of records when required.
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17. Key Stakeholders in Records Mgt
 Ministry of Public Service.
 Technical Ministry for Records and Archives Cadre
 Through the Department of Records and Information Management – oversees
the records function management in the Public Service and preservation of
the documented heritage
 Ministry of ICT&National Guidance
 NITA-U
 Ministries, Departments, Agencies and Local Governments.
 Development Partners.
 Responsible Officers.
 Records Managers, Archivists, Librarians, ICT Staff.
 Action Officers.
 Secretaries.
 Office Attendants. 17

18. Your Responsibility as an Intern.
 Appreciate the provisions of the law and regulations.
 Keep confidentiality.
 No unauthorized access.
 Avoid intended or accidental destruction.
 Avoid practices like information leakage.
 Appreciate records management procedures in the Ministry.
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19. Good Practices Cont’d
Complying with standards and procedures for records management such as:
a) Centralized management of records and mail in the Registry.
b) Compilation of flimsy file on monthly basis for information purposes.
c) Use of standard file folders and archival boxes.
d) Taking action on file for informed decisions.
e) Proper handling of files during use and transfer to other offices.
f) Use of Transit Ladder, Black Minutes and Red Minutes.
g) Use of Bring Up System.
h) Proper referencing of documents.
i) Controlling file movements.
j) Ensuring confidentiality of the records.
k) Proper management of Registers.
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20. 20
A Central Registry in one of the Local Governments

21. 21
Records Centre at the National Records Centre and Archives

22. 22
National Records Centre And Archives
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23. Conclusion
Given that records facilitate the operations of
government and other organizations, preserve the
documented heritage of a nation and support
accountability, transparency and good
governance, they must be properly managed at all
levels by every stakeholder without fear or favour.
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24. THANK YOU FOR LISTENING
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