Principles of records management Mushi

SUBJECT: Principles of Records Management I
CODE: RM 511
CLASS: TCRM
Semester: I
FACILITATOR: MUSHI, S. 0715 98 95 17
DURATION: Six Months
1/5/2015MUSHI SYLVANUS, L.

You are welcomeAttention
TCRM

HISTORICAL DEVELOPMENT OF
RECORDS MANAGEMENT

 Records management covers the management of
records regardless of age, form and medium to meet the
needs of private and public sector organization and the
wider society as well as the research community.
 This topic therefore seeks to make students understand
all terms related to records management and
development of records management from the
worldwide perspective to a narrow perspective of
records management in Tanzania.

 Records can be defined as information captured by
individual, organization or institution in whatever
media and form for carrying out business.
 Or Recorded information of any kind and in any
form, either originated or received by an
organization. Include papers, correspondence, forms,
books, photographs, films, sound recordings, maps,
drawings, and other documents.

Therefore records are recorded information
regardless of form or medium, created, received and
maintained by an institution or individual in the
transaction of business
 Records management
Is the systematic control cords in their entire lifecycle
i.e. from creation up to the disposition of records. It
ensures that records is available at the right time, in
proper way and in an authorized person

 Records Manager
A person assigned primary responsibility for the
records management program.
 Records keeping
A process of maintaining, distributing, indexing and
storing records for their proper use. The processes of
creating and maintaining complete and accurate
records of business activities

 Public records record created or received and
maintained in any public sector agency.
 Private records.
Records created or received and maintained in
any private or non-governmental organization
such as organizations, families, or individuals
relating to their private and public affairs.

 Information can be defined as the processed
data which have complete meaning for
decision making
 Data is incomplete information collected for
interpretation. Or refers to the collected facts
to be analyzed.

 File An organized physical assembly of documents
grouped together for current use. Or an organized
physical assembly (usually within a folder) for
current use because they relate to the same subject,
activity or transaction.
 Records Centre a low-cost facility for the controlled
maintenance, retrieval, and disposal of inactive
records. A commercial records centre, operated by a
private company, houses records of many
organizations on a fee basis.

A building or part of a building designed for the
low-cost storage, maintenance, and
communication of semi-current records pending
for their ultimate disposal.
 Active/current Records
Records regularly used in day to day operation of
an organization and are kept in the records office/
place of origin. Records providing current or most
recent information.

 Semi-current records
Records required infrequently in the
conduct of current organizational
activities, are kept to the records centre.
 Non-current records
Records no longer needed for current
business. Are destroyed or transferred to
the archive.

 Administrative Records
Records documenting the daily operation and
administration of an office.
 Archival Records
Records of enduring value, documenting the
history and the development of the
organization.

 Archives
Are records usually but not necessarily noncurrent
records, of enduring value selected for permanent
preservation.
Refers to place or building/ room/ storage area where
archival materials are kept.
It refers to the organization responsible for
appraising, acquiring, preserving and making
available archival material.

 Appraisal is the process of determining the
value of records for further use, for whatever
 Disposal
The final removal, whether for destruction or
formal transfer to another agency, e.g., records
storage centre or archives, of records that have
reached the end of their retention period.

 Disposition
Refers to the action that are associated with
implement decisions about the retention or
destruction of records.
Any means of changing the location or
physical format of the records. Includes
destruction by shredding or recycling,
digitizing, microfilming, duplication, or
transfer.

 Vital(Essential) Records
Records essential to resume or continue operations of
the organization, including records necessary to
recreate the organization’s legal and financial
position, and to fulfill obligations to the organization,
its students and employees, and to outside parties.
 Format
The physical form in which material appears – books,
slides, photographs, film, recordings, etc.

 Legal Value
The usefulness of records as evidence
supporting an organization’s transactions,
activities, claims, and obligations.
 Life Cycle of Records
the records management premise (argue) that
records pass through three stages: creation,
maintenance and use, and disposition.

 Medium(Media)
The physical form of recorded information. Includes
paper, film, magnetic tapes and disks, CDs, etc.
 Non-Record Material
Material that does not need to be filed or that can be
destroyed after a short retention. Includes drafts,
worksheets, routine replies, and extra copies of
documents created for convenience.

 Record Office
The office assigned responsibility for custody and
maintenance of specific records. Generally the
office in which they were originally created and
filed.
 Official Files
Original records, including official copies of
outgoing correspondence, that document policy,
operations and programs, property, financial
transactions, and legal obligations of the
organization.

 Records Retention Schedule
A comprehensive schedule of record series (by office or
department), indicating for each series the length of
time it is to be maintained in office areas, in a records
centre, and when and if such series may be digitized or
microfilmed, destroyed, or transferred to the Archives.
 Records Values
The usefulness of records for operating, administrative,
legal, fiscal, and historical purposes.

 Retention Period
The length of time records must be kept before
they are eligible (qualified) for destruction or
archival preservation. The retention period begins
at a cut-off date (e.g., the end of the fiscal,
calendar, or academic year) or is triggered by a
cut-off event, such as a termination of
employment, contract closure, etc.

 Subject File a file in which documents
are arranged by subject. Not to be
confused with a case file.
 Transfer, the change in physical custody
of records from one organization or unit
to another, e.g., from an office to a
records center.

 Records management is relatively a new
concept. Records management was
unheard until the mid twenty century. But
records management as function as
existed for some seven thousands years
7000BC.

 The first records was produced or created by
the people of Sumerian Civilization around
5000BC records produced in this were by only
who created them as the one who can use them
. Sumerian records were deal with business
matters such as taxes, loans and inventories
these records were managed by temple
present.

 During new empire in Egypt (1530-1030BC)
creating and managing Records was a
significant government operation. In
Babylonia Records Management become an
Government important function during the
regime of those Hammurabi and
Nebuchadnezzar (630-324)

 The records ancient Civilizations were housed/kept in
Libraries of rulers and such records were based on
different matters such as Science, Medicine, Business
and Religion.
 As centuries passed records media changed such
records (ancient) were written/ documented on:-
Clay, Animal skins, Papyrus and apartment and this
in turn slowly give a way to paper

 In 1200AD Case file system was established in Rome
(Italy). And started regarded record retention, Rome
also in the same year enacted/passed statuses/laws on
retention and Disposition of Records. Therefore Italy
established the Registry in 15thC, the two major
function of the Registry system were Recording all
incoming and outgoing mails.
 France established the “National Archives” in 1789

 In 1838 the British Public office act was
passed, establishing principles of centralize
public office (Registry) for all her office under
direction of Records administrator.
 In 1877 a British order cancel authorized
distraction of value materials and in 1889 the
first Records was disposed Act was passed by
the United States congress.

 In 1934 the National Archives of United States was
established and the life cycle concept was developed.
The achievement of the U.S National Archive was its
initiative to develop the “Lifecycle concept of
Records”, the development of the “lifecycle concept”
ended the idea that Records Management was a
function of sporadic and unrelated effort but instead it
became an organized and logical function of
Creating, Using, Maintaining and Disposition of
recorded information.

 During colonial administration Germans created a lot
of records many of them were destroyed during the
1st ww.
 After the overthrow of the Germans the British took
over from 1912-1961 and they established number of
offices which were known as BOMA.
 They introduced regulations regarding the
management and disposal of records e.g. Destruction
of old records

a) Administrative phase that created records
i) Colonial Administration
ii) National Administration
i. Colonial Administration involved
i) Germany Colonial Administration
ii) British Colonial Administration
ii. National Administration
i. After independent during the Arusha Declaration
ii. During the Public Service Reform Program

 Records management practices in Tanzania during
Germany Colonial Administration/era.
◦ Records Management in Tanzania can be traced
back from 1905-1912 whereby the first Colonialist
to rule Tanganyika were Germans between1905-
1912.
◦ Germany took hold of the whole Tanganyika and
established their colonial government offices all
over the country.

 During colonial administration Germans created a lot
of records, many of them were destroyed during the
1thww. Here the creation of records was based on the
Prussian Administration in Berlin.
 All file were classified by function being dealt with.
There was no orderly Registry System that is there
was no systematical control of records i.e. from
creation to disposition.

 After the overthrow of the Germans the British took
over from 1912-1961 and they established number of
offices which were known as BOMA.
 There was a Registry system centralized in the office
of the Chief Secretary, whereby creation of records
was based on Westminster Administration.
 Records files were classified by numbers.

 Dispatches were made in volumes.
 Regulations for records disposal were put in place.
 They introduced regulations regarding the management and
disposal of records e.g. Destruction of old records.
 In 1952 they introduced a new registry standard plan which
followed the colonial office management system of classifying
records by subject

 In 1961 Tanzania got her independence from British
rule.
 It inherited the governmental structure which
employed three levels of administration namely
Central Government, Regional and Local authority.
 Ministries, departments, Agencies and public
institutions at these levels of administration generated
huge amount of records which to maintain to transact
government business.

 The records/Registry system remained the
same, so many records were created as
Government activities increased.
 The Government ultimately failed to
effectively manage her Records.

 As dynamic government institution local
authorities the colonial and independent period
have also created a considerable amount of
records such as Administrative, Financial,
Agricultural and economic records which led
to increase mass of paper as a result
documents were regularly misplaced and
difficult to locate fills when require, financial
audit could not be carried out effectively to
loss of several public records.

 Due to those problems, soon after
independence the Tanzania government
realized that the creation of an institution
which will govern and improve the
management for the public records were
necessary. The institution was the Tanzania
National Archive (TNA) established in 1964.

 Records practices After Public Service Reforms (PSRP)
 After independence 1961 there was poor of records in
Tanzania. After 36 years of independence had broken down
with mass of paper records causing severe retrieval
problems.
 Records Management was in very bad state/ condition
which undermined public administration civil service
operation and Government efforts to make or bring change.

 A research was conducted which showed/displayed
the above anomalies in Tanzania, Uganda, Sierra
Leone, Ghana and Gambia.
 The Government decided to seek assistance of the
overseas Development Agency (ODA) in UK.
 The ODA advice the government agreed to follow the
efficient and effectiveness Records Management
system.

 The ODA secured the Service of the International
Records Management Trust (IRMT) to come and
overhand the old system.
 The government made the IRMT part of the PSRP and
thus, it became a project.
 The ODA undertook project to assess the severalty of
the problem and discovered that external assistance
would not be of any help unless the government took
step address a range of institutional issues.

 Misplacement of records
 Failure to locate records
 Loss of Government records
 Failure to evaluate Government project and
development programs
 Failure to carry out financial audits

 Records Management matters were consolidated into
one Department
 A Records Management Unit to provide for effective
Registry Service in 1997 was created and budgetary
provision for development and recurrent costs was set
aside.
 The government moved the Tanzania National Archives
to Public Service Management in the President’s office.
 It stabled the records management section within the
public service department.

 A new record management system was created
(Keyword system).
 Anew Registry procedure Manual came into
being.
 A backlog of closed files was cleared.
 Storage facilities for semi-current records
came into being and a central storage facility
in Dodoma for the purpose was being built.

 Technical Professional and managerial
capacity within the Records and Archives
Division has been strengthened. Or
strengthening of records management training
capacity within the Civil Service Training
Centre (CSTC) currently TPSC.
 Introduction of efficient and effective records
system procedures.

 Registry management unit/ Department to
provide effective Registry services was created
budgeting provision and cost was also set.
 It established the records management
ActNo.3/2002.
 A new Registry Procedure Manual was also
established in 2002.

GET THE ANSWER WHY YOU
ARE IN THIS WORL THEN STEP
FORWARD TOWADS YOUR
POSITION TO SOLVE OTHERS
PROBLEMS

MODELS FOR MANAGING
RECORDS

 Introduction
 The records a concept in common use. It
indicates that records are not static, but they
have a life similar to that of biological
organism and that records becomes less
important as time passes.. There for after the
end of this topic learners are expected to have
acquired knowledge on the lifecycle concept
of records with its advantages.

 The lifecycle concept of records is analogy from the
life of a biological organism, which is Born, Lives
and Dies. In the same way a record is created, used
for so long as it has continuing value and the
disposed of by destruction or transferring to an
archival institution.
 In the simplest version of the lifecycle concepts three
biological ages are seen as the equivalent of the three
phases of the life of records.

 Records lifecycle is the life span of records
from creation to disposition or from birth to
death. Records have a life similar to that of
biological organisms; they are born Creation
stage. This is when records are received or
created by an organization or individuals. They
live (active stage) this is when records are
always used to transact organization business.

 It grows old (semi active).This is when records
are maintained and kept for reference purpose.
Finally the records die (non active stage). This is
the last stage of records when the decision is
made whether to destroy the records or to keep
them for permanent preservation.
 Therefore after creation, records pass some stages
includes Active Stage, Semi-Active Stage, and
Non Active Stage.

1. Active stage.
 This is when records are readily available to
transact the daily business of an organization
and are stored in the records office or registry.
 Active / Current Records: are records
regularly used by the organization and
therefore maintained in their place of origin.

Features of active stage.
 Records received from outside from outside the
organization or created by the organization.
 Records are frequently used it and it gain highly
value.
 Stored in records office within the organization.
 Custodians are professional records staffs and
secretaries.
 Records are used to transact organizational
business.

 Records are kept as evidence of the transaction.
 Its management requires registry/records office
procedures.
 Should be correctly reflect what is being
communicated.
 Records Should be authentic.
 Records Should be usable.
 Records Should be reliable.
 Records Should be protected against unauthorized
alteration.

 This is when records become rarely used and used
for reference purpose, such records are stored in
Department record Centre or Archival institution.
 Semi –Active / semi Current Records
Are records required so infrequently in the
conduct of current organizational activities, thus
they should be transferred from the records centre.

 Reference, legal, financial value.
 Stored in records centers.
 Records received from records office
 Records are used as reference material by the
originating office.
 Records are kept as evidence of the transaction
 Its management requires records centre
procedures.

 Records Should be authentic.
 Records Should be usable.
 Appraisal decision/review should
take place at this stage.
 Records should one day be
transferred to archival institution or
destroyed.

 Non-Active Stage/ Final Disposition
This is when the time when records stop from
transacting daily business of an organization.
 Non Active Records
These Are records which are no longer needed
by current or day to day organizational
activities.

As most records destroyed (95-97%) therefore only
3-5% of the records are retained not used
regularly.
 Kept for reference, legal, evidential, historical,
artifact and research purpose.
 Records received from records offices and
records offices and records centers.
 Stored in archival repository

 Records can be accessed by the public if
required.
 Its management requires archival finding aid
which are user friendly instructions
 Its retrieval requires archival finding aids.
 Records should correctly reflect what was
communicated.
 Records should be authentic.
 Records should be usable.

 Primary/Initial Lifecycle
 Secondary/Archival Lifecycle
Storage of records during their lifecycle;-
 During creation and active Phase;-In the Registry
 During semi-active Phase;- In the Records Center
 During the Inactive/Non- current/Non active
Phase;- In the Archives.

 Creation
 Distribution and use
 Maintenance and Storage
 Transfer
 Disposition
 N: B. Disposition signals the end of the Primary
Lifecycle and the beginning of the Secondary
Lifecycle as it is for a human being, that when he
dies, he is believed to acquire eternal life.

 Collection and Acquisition
 Identification and Appraisal
 Arranging and Description (Documenting)
 Conservation and Restoration
(Maintenance)
 Access and Reference Services
 Outreaching Services/Activities

 Active Stage
 Semi-Active Sage
 Non-Active Stage

 Helps the records managers to have clear
perspective of managing records as a continuous
process whereby each stage compliment the other
 Helps the records managers to make a prior
decision whether to create a records or not by
making judgments of the value of records and
information that is present
 Helps the records managers to make retention
scheduling of the records at the right time and
appropriately

 Helps the records managers to understand in
advance in what media the records could be
created, e.g.; in paper forms or electronic
records, this also will help to determine
appropriate means of storage.
 Helps the records managers to recognize the
value of records at each stage.

 Records continuum model was developed
between 1980’s-1990 of respond of critin. In
continuum model there is no separated steps.
(Perspective of activities they document, records)
 In this model, the Records management is viewed
as a continuous process from the moment of
creation, in which archivists and records manager
are actively involved at all points in the
continuum (Bantin, 1998).

 This model was introduced as an alternative
model because of the emergence of electronic
records.
 The term continuum model sees as records
management as the whole extent of a records
existence.
 It refers to a consistent and coherence regime of
management process from time of the creation of
records and before creation in the design of
records keeping system through to the
preservation and use of records as archives.

 What records to be captured to provide
evidence of activities?
 What systems and rules are needed to ensure
those records are captured and maintained?
 How long the records should be kept to meet
business and other requirements?
 How they should be stored?
 Who should have access to them?

i) Create
ii) Capture
iii) Organize
iv) Pluralize (upward&Mckemish,2006)

 This is where transaction occurs between the
creator or author of a document and the systems
in which the document is created.
 It describes the relationship between the author
and the organization for which a record is created.
 The end result of the creation is piece of data
called a record with a representation of that
transaction come to life in the record.

 This involved the routine storage and linkage
of documents and/ or data in systems in way
that enable sharing and re-use in the
immediate business or social activities within
which the transactions are being recorded.
 Here is where metadata is created for purposes
of maintain the integrity of the document in
whatever from or forms it is captured.

 Relate to documents and records being organized.
 It is meant to allow others not directly involved in
specific oversight responsibilities, or stakeholder
interests, to have access and use what has been
created and captured.
 It takes documents to the point of access in
anticipation of being used for transactional,
evidentiary and memory purposes and other purpose.

 This involves taking information out to
points beyond organizational contexts
into forms of societal totalities, still more
distant from the organizations. In other
words, this dimension expands access to
the documents to the larger societal
functions. For the use by other people out
of the organization.

 Continuum model proved the records managers and
archivists with a way of thinking about the integrations
of record keeping and archival process.
 It brings records managers and archivists in order one
records keeping umbrella
 It focuses on unifying purposes shared by all records
professionals which is provide a framework for
accountable records keeping regime

 Continuum model encourages participation of the
organization future need for evidential documentation
as an integral part of both operational and strategic
management
 By placing disposal including the identification of
records of continuing values, as the last stage in the
records life cycle, a life cycle model does not
emphasize the need to design systems which ensure
the capture of those records of continuing value in the
first place

 The records continuum model is a conceptual
guide for the development of records keeping
policies and programs.

ALWAYS THINK GLOBALLY
THEN ACT LOCALLY

BUSINESS IMPACTS OF RECORDS
MANAGEMENT

 Each organization needs effective records
management to ensure consistency in decision
making, protection of the organization and individual
rights, accountability and evidence for any business
activity as records is a core part for the succefulness
of any organization.
 From the above facts, we need to understand the sign
impact of poor records management and the impact
of good records management.

 Who is a records manager?
Records manager is a person responsible for the
management of records in the organization from
when records are created to the disposition.
Roles of the Records Manager
 Responsible for the effective and appropriate
management of an organization’s records from
creation to disposition.
 Provide access to the records by ensuring that
security issues are maintained. E.g. confidentiality
and access of records only to those who authorized.

 To ensure that legal obligations are met for the
creation and retention of both paper and
electronic records.
 Storing, arranging and classifying records.
 Ensuring compliance with relevant legislations
and regulations.
 Protection of the holdings with appropriate
equipment and suitable environment of the
organization’s records.

 The following are various indicators that there are
records management problems in an organization
as follows:-
 Delay in filling Records
This a failure to the documents immediately at a
specific time and when required hence can led to
loss of the records or being accessed by
unauthorized people and bad arrangement of
paper on the working desks.

 Increase of customer complaints
This is the situation whereby customers are complaining
on the information they tend to receive as their records
are not be traced easily when required.
 Bulk log of Records
When the records are over duplicated appeared on time
then even the useless records can still be retained and
increase the amount of records in the records storage area,
such as in Registry, Records centre as well as Repository.

 Misfiling of documents
This is a failure to manage records properly lead to
inappropriate allocation of papers or incoming mails,
when records are kept on wrong files.
 Lack of ability to provide real information to the
general public
The public fail to get information on time or
sometimes they may completely fail to get
information when records are not properly controlled
by the organization.

 Lack of Retention or Disposal Schedule
This is the situation where organizations do not have
a formal written guideline for the retention period of
its records then it become impossible for those
generated records to be appraised on the right time.
 Noncurrent records are kept unnecessarily on the
storage location where active records are kept.
This also led to difficult in retrieving and accessing
current records especially when quick decision are
needed as well as space storage.

 Poor performance.
This is the situation of being difficult to monitor or
assess organizational performance because there are
no records as the bases to evaluate the past
performance of the organization and identify the
problems.
 Increase cost of the organization
Without proper management of records, organizations
can incur cost in money and time.

 Loss of trust to an organization.
The public can not trust the organization because
their records are not maintained well or due to poor
performance. Difficult to protect Rights of the
organization and individual.
 Breach of confidentiality or national security.
Also confidential information will be accessed by
unauthorized individuals as a result of poor records
management practices.

 Inconsistency in decision making.
Without proper management of records no any kind of
decision will be done consistently and with a stable
manner, always will be done in different way because
there are no records to refer.
 Loss of confidence
Records can hinder individual confidence, for instance
the head of department can lack sound decisions to
handle some matters as there is no proof on it. E.g.
punish the subordinate because of disciplinary matters.

 Lack of well established guidelines on Records
management.
An office can achieve the management of records when
there are well and implementable guidelines (e.g.
policy, standard, procedures and manuals) that indicate
how records should be well managed throughout their
life cycle and make available to the people responsible
for that process.
Failure to do that, the process of managing records
becomes a big challenge.

 Lack of profession and enough skills and
capacity to the records staff.
Most of the records staffs have little or no records
management skills concerning RM. In-service
records office training and staff development
ceased for some time due to financial difficulties
hence make people to work with experience
without being professional with work.

 Lack of enough space.
One of the major problems or challenges is
that of space. When the organization has little
space compared to the amount of records to be
kept, some records can be destroyed even
when their period is not over so as to utilize
the available space for all records required to
be stored.

 Low priority accredited to records keeping.
Records management function is given a low
priority by the top officials in the sense that
there is inadequate management attention. This
affects performance of staff working in records
office and all activities concerning records
management.

 Irresponsibility among records officers.
Some officers (entrusted people to manage
records) are not responsible on ensuring rules
and regulations guiding records management
are implemented.
 For instance, you find a records officer
allowing an unauthorized person to access
confidential records, hence the challenge in
managing confidential records.

 Inadequate storage facilities.
Records offices in ministries, independent
departments and regions administration
including local government authorities are still
having inadequate storage facilities,
accommodation and supplies. It is common to
find both active and semi active records are
kept in one and same storage area, poor
storage equipments and environment.

 Comprehensive records management
guidelines.
We need to have policies which will reflect the
current situation and simple to implement. For
instance, on the current needs like electronic
record management which is associated by
many challenges like lack of capturing
authenticity of records in electronic format.

 Provision of Training
Training must be done in order to increase
skill and professionalism among people
entrusted to keep and manage records they
lack while records management skills.

 Financial support.
As records management is a very crucial issue in
organizations the management must insure in
organization, the management must ensure that,
enough funds is provided on the issues concerning
records like staffing and general maintenance of
records management facilities
 Motivation
The most to put in consideration, in order to avoid
bad perception of down grading of the records
officers, these people must be more motivated as a
means of upgrading them.

 Help in maintaining records that are used for
evidence. We use records as evidence of the particular
transaction or activities. For instance in legal
proceedings those well managed records can be of great
help.
 Help to preserve records for historical purpose.
We get to know the history of the particular
organization or activities trough records available. For
instance, the origin of the organization can be traced
back by using the records created during that
organization creation period.

 In promoting transparency and accountability
Through the use of records public officials
become answerable on their actions taken when
conducting a certain activity. Example during
Audit.
 For various decisions making.
For the consistent decision making, we need to
have the complete record. For instance the
decision concerning employees records on the
work performance.

 For development planning.
For the future plans development, we need to have
records of the past performance as a starting point for
future planning.
 In investigation /research purposes.
Researchers and fact finders can use recorded
information available as a source of data on certain
matters.
 NOTE: The above analyzed importance of record
can be achieved only through good management of
records.

RECORDS AS STRATEGIC
RESOURCE

 No office could operate successfully if it had
to rely on memory alone to keep track of every
transaction. Without records, all organized
administration would quickly come to a halt as
well as government body or business could
not survive without making records of its
activities. No office could operate
successfully if it had to rely on memory alone
to keep track of every transaction.

 Types of Records:-
Records are of two major types, namely
i) Types of records based on media or format
Is the way where by record is designed or created,
arranged and presented include:-
a) Paper based records are those records created
received and kept on the paper medium ( in a hard
copy ) for stance paper file, paper report, letters
financial statements etc.

b)Electronic records are those records that
created, received, kept and accessed by using
electronic devices. Or are those records that
are held on digital form on a magnetic or
optical computer storage media. This include
things like Hard Disk, Video tape, Audio tape
and Compact Disks etc.

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

b)Personal records- records deals with
individual information.
c)Financial records-are those records that
resulting from the conduct of business and
activities relating to financial matters and its
management such as salary slip, Bank
statement Loans, Vouchers and cheque etc.

d) Medical record- is a history of the patient’s
treatment written by the doctor attending him
or her it may also include other notes on
patient’s diagnosis and treatment provided by
nursing and other allied/associated staff

e) Legal records- are records generated
specifically from the process of land
acquisition by an individual or an
organization.
f) Land records- are records generated
specifically from the legal process, from the
work of the court, police and the public
prosecutors.

 Is the state of owning recorded materials includes:-
a) Private or personal records refers to the records
relating to private matters or affairs that created,
received and maintained by non-governmental
Agencies institutions, families or individuals. Or are
records deal with individual information.
b) Public or general records- refers to records created,
received and maintained in any public sector or Agency
for stance Ministries Department. It is also a collection
of different records that found in a certain organization.

a) Top Secret- is a record or material required high
degree of protection because its un authorized
disclosure could cause exceptional grave damage to
the national security example major government
plans, vital strategic information for action pending
negotiations economic agreements, new
constitutional development.
b) Secret- is a record or material required a substantial
degree of protection since its disclosure could cause
serious damage or endanger national security.
Example defense ensues, emergency and security
system political intelligent reports

c) Confidential- it is record or material required
protection because its unauthorized disclosure
could cause damage or administrative
embarrassment or difficult or would be advantage
to a foreign nation. Example intelligent report
routine confidential report, technical information
for organization new materials.
d) Open record- is a record which does not
required high degree of protection.

 Records which are of their own distinct function
and content such as Land records, Legal/Judicial
records, Medical/Birth and death records and
financial records or are those records based on a
certain area of activity.
 Also specialized records are the division of
records accordance with its special functions. Are
financial records, medical records, land records,
and medical records.

a) Medical records; records that written by the
doctor who attended the patient showing the
history of the patient and the medication that
will be applied to such patient such as x-rays,
patient file, demographic data, diagnostic results
etc.
b) Land records; are those records that concerned
with land matters includes land use, land
reforms, land management, planning, land
disputes, title deeds etc.

c) Financial records; Records resulting from the
conduct of business and activities relating to
financial management such as salary slip, bank-
pay-slip, payment voucher, budget, audit report,
loans etc
d) Legal records; records that contains legal
matters, these kind of records are derived from
different sources such as police, court of law and
Public Prosecution Office (PSO). Legal records
include summons, subpoena, search warrant, case
file etc.

 They are used for evidence
 Used for historical purpose
 Used for answering questions
 Used for plans development
 Used for decisions making
 Answering questions/queries
 Cultural heritage purposes
 Investigation/research purpose

 They protect the rights of an organization, its
employees, citizens/ clients and the society at
large.
 They support good governance that is
accountability, transparency, and rule of law.
 They provide evidence of organization’s policies
and rights.
 They enable citizens to make informed
contributions to the governance process or claim,
organization and societies at large.

 The help quick and proper decision making.
 They serve as a benchmark by which future activities
and decisions are measured.
 They help to achieve greater efficiency, productivity
and consistency
 They help to reduce the risks associated with missing
evidence of decisions and actions
 They comprise of reliable source of information on past
decisions and activities of government and private
institutions.

As we have seen, records are the product of
administrative and business activity. They are created
either as a product of or to provide evidence for the
activity they document. Records supply the corporate
memory; they are a source of information about
decisions, events and transactions that happened in the
past.
However, records are not always used for the purpose
for which they were created. In both government
offices and archival institutions, records may be used
for a wide range of purposes, such as the following.

 Governments need well-managed records to
uphold the rule of law, to be accountable
for their actions and to ensure that the
interests of citizens are protected.
 Executives need records to enable them to
formulate policy and make decisions on the
basis of well-organized, accurate and
comprehensive information.

 Action officers and administrators need well-
structured, complete and accessible records so that
they have the information available to them to
implement policy, deliver services to citizens,
manage resources and carry out their work.
 Auditors and other regulators need access to the
information in records to ensure that resources have
been used fairly and honestly, that programmes and
procedures have been carried out and that standards
have been met.

 Ombudsmen, or official ‘watchdogs’, need
records to determine whether or not decisions
and actions have been taken fairly and equitably.
 People need access to the information in records
to ensure that their rights and interests are
protected and to enable them to make an informed
contribution to the government process.

 Historians and researchers need access to
records as evidence of what happened in the
past.
 The community at large needs certain records
to be permanently preserved as archives to
enable today’s society to connect with the past.

 Decision making: Is a model represents a way of
looking at the world, a shared set of assumptions that
enable us to understand or predict behavior. It has
powerful influence on individuals and on the society
because our view of the world is determined by our set
of assumptions about it.
 To put in another way, our vision is often affected by
what we believe about the world, our beliefs often
determine the information that we see.
 Decision making is about facing a question such as to
be, or not to be?

Accountability: In general terms, accountability
means responsibility for actions.
 It is the obligation of an individual or
organization to conduct for its activities, accept
responsibility for them, and to disclose the results
in a transparent manner. It also includes the
responsibility for money or other entrusted
property.

 Entitlement: Is a guarantee of access to benefits
based on established rights or by legislation. A right
is itself an entitlement associated with moral or social
principles, such that an entitlement is a provision
made in accordance with legal framework of a
society. Typically, entitlements are laws based on
concepts of principles (rights) which are themselves
based in concepts of social equality or
enfranchisement

Copyright: Copyright is a legal concept,
enacted by most governments, giving the
creator of original work exclusive rights to it.
Generally, it is the right to copy, but also gives
the copyright holder to be credited for the
work, to determine who may adapt the work to
other forms, who may perform the work who
may financially benefit from it and other
related rights.

 Transparency: Is the result of information being
available.
A government is transparent when the great majority
of the information that it holds about its activities,
policies and decisions is accessible for the general
public.
 Privacy: In general, the right to be free from secret
surveillance and to determine whether, when, how,
and to who one’s personal or organizational
information is to be revealed.

 The rule of law: Means that all people are
equal before the law, all must obey the law, the
governors and the governed all must obey the
law; no one is above the law.

 Providing evidence about a certain activity
 Providing reference about the past event
 Supporting decision making in different
matters
 Providing laws, policies and regulations
 Providing planning in different issues

SPECIALIZED RECORDS

 Records which are of their own distinct function and
content such as Land records, Legal/Judicial records,
Medical/Birth and death records and financial records
or are those records based on a certain area of
activity.
 Also specialized records are the division of records
accordance with its special functions. are financial
records, medical records, land records, and medical
records.

i) Medical records
ii) Financial records
iii) Land records
iv) Legal records

i) Medical records; records that written by the
doctor who attended the patient showing the
history of the patient and the medication that
will be applied to such patient such as x-rays,
patient file, demographic data, diagnostic
results etc.
ii)Land records; are those records that
concerned with land matters includes land use,
land reforms, land.

iii) Financial records; Records resulting from the
conduct of business and activities relating to
financial management such as salary slip, bank-
pay-slip, payment voucher, budget, audit report,
loans etc.
iv) Legal records; records that contains legal
matters, these kind of records are derived from
different sources such as police, court of law and
Public Prosecution Office (PSO). Legal records
include summons, subpoena, search warrant, case
file etc.

Introduction.
 Hospitals deal with the life and health of their patients.
Good medical care relies on well-trained doctors and
nurses and on high-quality facilities and equipment.
Good medical care also relies on good record keeping.
 Without accurate, comprehensive, up-to-date and
accessible patient case notes, medical personnel may
not offer the best treatment or may in fact misdiagnose
a condition Associated records, such as X-rays,
specimens, drug records and patient registers, must also
be well cared for if the patient is to be protected.

Medical records
A medical record is documentation of medical
and health care services provided to a patient at
the directions of a physician, nurse or other
caregiver.
 Is a legal document providing a chronicle (a
written account of important or historical events
in the order of their occurrence) of a patient's
medical history and care, (the Purdue University
Health Center)

 These records include documentation of
medical observations and opinions by
these professionals as well as the
treatment and diagnostic documentation,
such as X-rays, and laboratory work and
can be a paper record, electronic record
or both.

Medical records:
 Facilitate good care
 Allow a subsequent caregiver to understand
the patient's condition and the basis for the
current investigations or treatments

 Provide a method of communicating
with other team members satisfy legal
and ethical obligations: medical
regulatory authority (College), hospital,
and legislative requirements for clear and
legible records

 Act as evidence: if your career is later questioned,
it shows events as they happened. Clinical records
that contain sufficient information to secure
continuity of care will also contain the information
required for all other purposes. In the event of a
complaint, clinical negligence claim or disciplinary
proceedings, the doctor’s defense will in large part
depend upon the evidence available in the clinical
records. If essential information is missing, or found
to be inaccurate, cases may be lost when they could
otherwise have been won.

 Coordinate and Combine Information from
Multiple Providers: PHRs (personal health
records) can promote better health care by
helping your patients manage information.
 Help to Ensure Patient Information is
available: Online PHRs can ensure your
patients’ information is available in
emergencies and when your patients are
traveling

 Reduce Administrative Costs: Your
organization can reduce administrative costs
by using a PHR to provide patients with easy
access to electronic prescription refill and
appointment scheduling applications.1 With
PHRs, your staff can spend less time searching
for patient-requested information and
responding to patient questions.

 Enhance Provider – Patient Communication:
Many PHRs allow direct, secure communication
between patients and providers. PHRs can make
communicating with your patients faster and easier.
With open lines of communication, you can be
informed and intervene earlier if health problems
arise and improve the provider – patient relationship.
 Encourage Family Health Management: Having a
system for tracking and updating health care
information can help caregivers – such as those
caring for young children, elderly parents, or spouses
– manage your patients’ care and coordinate

1. Clinical department
 Clinical Services is composed of professionals
belonging to four clinical disciplines: Psychology,
Rehabilitation Services (return to a former condition or
position, repair or renovate),Social Work, Vocational
and Educational Services. Staff in each of these clinical
disciplines are involved in patient treatment from
admission to discharge.
 Staffs in all these disciplines generate medical records.

2. OPD (Out Patient Department)
 When a person attends and receives healthcare
services in the hospital without being admitted, he or
she is referred to as an OUTPATIENT
 outpatient visits are documented in the same medical
record as inpatient notes
 • Outpatient visits are documented in a separate
outpatient record/card; or are documented in a patient
held health record. The ideal situation is when both
are filed in the one folder under one number.

This system is of benefit to the patient, as all their
health information at that hospital is in one place
for their continuing care. It also benefits the
doctor, who is able to refer to previous notes
when treating the patient for a new episode of a
previous illness or for a new illness.
3. Pharmacy is a place where medicinal drugs are
prepared or sold. Or it is the science or practice of
preparing and dispensing medicinal drugs.

 Copies of order forms for stock, and all
delivery notes, should be kept for an agreed
number of years. Original orders are usually
passed to the finance department for payment.
From the moment that drug supplies are
received in the hospital, a full record should be
kept of each quantity that passes from one
custodian to another (for example, from bulk
stores to the hospital pharmacy, and from there
to wards or departments or to individual
patients).

• Full records need to be maintained of items received,
issued or dispensed, as well as details of the staff
involved in preparing, checking and dispensing
drugs, so that each stage of the process is documented
and can be traced if necessary
• At the final stage, when the recipient is an individual
patient, relevant documentation should be included in
his or her case notes.
• All drug records, both those maintained in the
pharmacy and those kept in the wards or other
departments, should be preserved for an agreed
length of time in case they are needed.

4. Mortuary
◦ Is a room or building in which dead bodies
are kept until burial or cremation.
◦ It keeps the records of the receipt, temporary
storage, body viewing and removal of
bodies; post-mortem examinations, and the
demonstration of Post Mortem findings in
cases of clinical interest and for teaching
purposes.

◦ The Mortuary operates 24 hours a day to
receive bodies from the hospital, police cases
and referrals from local and other health
institutions requiring storage or for medical
legal examinations.
◦ During all those activities, records are
generated and should be well maintained.
Other records generated are:-

 Investigations into the cause of death by performing a PM
examination of the Body
• the demonstration of PM findings in cases of clinical
interest or for teaching purposes;
• the viewing and/or identification of a body;
• accommodating visiting relatives .
 Post-mortems may be required on:
• deaths occurring in hospital,
• people brought to the department who are dead on
arrival; deaths occurring outside the hospital.

5. X-ray
• Whether the patient has been referred to the hospital
by an external medical practitioner, or whether the X-
ray has been requested from within the hospital, the
patient should be registered before the X-ray is made.
• Requests for X-rays should be made on a standard
form. The design of the form should include
designated spaces for the patient’s name and
unitary file number, as well as the date of the
request and the name, signature and department of
the requesting clinician.

• A day book or register should be maintained to record the
receipt of X-ray requests and,
• if applicable, the assignment of the next available X-ray
number which should then be written on the request form.
Following the production and examination of the X-ray film,
the radiologist’s comments are usually written on the request
form so that the form also serves as the report. Two signed
copies of the report are needed, one to be kept for reference in
the X-ray department, the other to be forwarded to the
clinician who made the request. This second copy will in due
course be placed on the patient’s file.

6. Maternity office
◦ Maternity notes carry records like:
◦ patient’s name, address and hospital number
◦ Past and present health..
◦ Medicines or drugs that you are taking.
◦ The health of close family members.
◦ Information about any previous pregnancies

 Information about this pregnancy (date of your first
antenatal (before birth; during or relating to
pregnancy) visit and the date your baby is expected).
 The results of blood tests, blood pressure readings,
urine test results, measurements of your bump and
the position in which your baby is lying later in
pregnancy.
 Any problems you've experienced during your
pregnancy.
 Details of your ultrasound scans.

 A customized growth chart for your baby (which is
added after your first ultrasound scan).
 Details of any reasons you had to go to the antenatal
ward or day assessment unit at your local hospital.
 Information regarding post-operative deaths, plus
obstetric information such as deliveries, maternal
deaths, multiple births, foetal deaths(an unborn
human more than eight weeks after conception)and
infant deaths(a very young child or baby) are
recorded hence a source of medical records.

7. Laboratory Is a room or building for scientific
experiments, research, or teaching, or for the
manufacture of drugs or chemicals.
• It carry testing ordered by physicians for patients
under their care.
• Laboratory Services collects testing samples from
patients in the hospital wards, performs testing,
analyzes results, and conducts research in the
reference laboratory. In that way a laboratory act as a
source of medical records too.

Introduction
 While all records can be used as evidence, and so have
value, some records are generated specially from the
legal process from the work of Court, the Police and
Public Prosecutors. By this module outline the good
ways on how to care records created by the institutions
of the judiciary, police as well as public prosecutor.
 Legal records are information that are generated from
the legal process undertaken by the court (judiciary),
the police and public prosecutors.

 Or are those records generated specifically from legal
process or matters. They provide proof of the
activities the organization or person with the country
at large.
 In legal context the term record has been rooted in the
medieval Latin word. “Recordum” which means the
testimony of witness.
 Hence a record comes to mean a text of evidential
weight.

There are various ways or means that helps to obtain
legal record in the organization that involves some of
activities as follows:-
1. Criminal court
 Decide if a person has committed a criminal
wrong ( civil wrong are handled in civil court).
 Decide the legal penalty if a person has
committed a wrong rules on matters of law in
relation to judicial process.

2.Police
◦ Investigate the reported crimes
◦ Arrest suspected offenders
◦ Gather evidence
◦ Conduct the prosecution of minor offence
3.Public Prosecutors
◦ Conduct the prosecution of major offences
◦ Advice law officers, police and government
departments about criminal law matters.

i) Summons - a document which call some before the
court of law or police
ii) Crime report- a document which shows a report on
a particular crime
iii) Arrest warrant- a document which arrest someone
to arrest an offender
iv) R.B- Register Book
v) PF3- Police Form no.3 it assist an injury person to
get treatment in the hospital

 Legal records are very sensitive to the core operation
of any organization or country . in this case therefore
they should be effectively cared for
 Document activities and so may serve as admissible
evidence in an court of law. And they serve as
evidence as evidence of rights and obligations of
individuals, organizations, and government.
 Legal records document the responsibilities of the
parliament, government, and ultimately the citizens
of the country.

 Legal records provide proof of the activities of
the organizations or persons within the
country. If legal records are not created,
maintained and made accessible government
and citizens may be unable to enforce their
rights.
 Legal records enforce and support the agency’s
laws or bindings rules example the court,
police or public prosecutor.

 Acts as reference to various cases. Example in
countries using common law system whereby
depending on precedent and continuity which
requires past decision to be understood and
applied in similar circumstances and in
government.
 They contribute to accountability in
organization and in government.

 Legal records are essential for protection of
human rights in the court of law (justice)
 Also they essential for continuation of
previous cases in case of appeal ( viewing how
the previously cases were judged.

Introduction
 Therefore Financial Records can be simply defined as
records or information resulting from the conduct of
business and other activities related to financial
management in an organization ( IRMT 1999).
 Finance- is a branch of economics concerned with
resource allocation as well as resource management
acquisition and investment. Simply finance deal with
matters related to money and the market.

 Accounts- A records of financial transaction
for an asset or individual such as at a Bank. Or
are the financial records of an organization
that register all financial transaction and must
be kept at its principal office of place of
business.

 Ensuring resources are matched to objectives.
Financial records management ensures that
money is allocated in accordance with the
government’s or organization strategic
priorities. This is achieved by controlling the
budget approved by legislature.
 Ensures efficiency in provision of service.

 Ensures transparency to the government and other
institutions in the course of undertaking financial
business functions.
 Financial records forms a base for making
evaluation of performance on financial matters in
the organization.
 Also enhance accountability of government
officials as well as private sectors on the basis of
undertaking financial management functions,

 Enhance economic stability through government
reforms such as economic reforms, social reforms
 Enables the accounting and auditing functions to
take place in a wise way for audit purpose to
check or evaluate how money was used or spent.
 Essential for preparation of budget example
government budget or institutions.
 Also financial play a great role on financial
control

 Financial decision making in an
organization.
 Helps in case of proper use of resources
 Reduce unnecessary costs.
 Helps in legal proceedings are all
documents which show continuation of a
case.

These sources are obtained on depending with
various activities that leads to such records to
be created are:-
 Bill payment
 Salary payment
 Good receive note
 Purchase order
 Audit report
 Budget report

Introduction
 The term land defined by various scholars
such as Lawyers, Economists, Layman and
Land Act No 4 of 1999. Whereby each
definition defined differently according to their
perspectives:-
 Lawyers, states that is anything which attached
on below and over the Earth’s surface such as
House, Trees, Mountain and Valleys.

 Economists states that Land is classified into three
group that is Land as a apace, Land as a factor of
production and Land as consumption good or capital
whereby Land as space refers as a room and surface
within which and upon life make place for stance
contain valleys.
 Layman also states that is a gift of nature from the
creator where life of living things takes place. For
example Human being, Wild animal and Plants

 Land Act No 4 of 1999 cap 113, this Act states that the Land
includes the surface of Earth, the Earth below the surface and
all substance other than Minerals and Petroleum forming
naturally growing on the land building and other structure
permanently affixed to Land.
 Land records; are those records that concerned with land
matters includes land use, land reforms, land management,
planning, land disputes, title deeds etc. or refers to
information, documents related to land matters such as
ownership, possession, Land use, plan and Land Management

i) Mortgage (Credit Security).
ii) Land register.
iii) Land Act and regulation e.g. Act No. 4of
1999.
iv) Title deeds.
v) Certificate of occupancy /lease.
vi) Offered letters.

 They help to solve conflicts. This can be between
land users and uses as well as harmonize peace
 It helps to provide good decision making for
example land reform, conveyance also help
provision of good decision without biasness this
is due to the use of recorded information hence
gives out right decision to both sides.

 They help also to increase accountability or
supporting. This is due to undertaking various
activities such as land village land reserved land and
general land also by so doing all workers perform
their duties by following rules and regulations.
 Also help in education matters such as research,
planning, and mapping activities. Land records play
great
 Help to know how land is used throughout the country
for various activities

 It helps in case of geographical expression this
is also a part of land records as the size, shape,
type of soil through the basic live hood.
 Legal status of a land is the most important
factor that needs to be considered so it helps to
confirm whether the owner has complete
authenticity over the land.

i) Land conflict
ii) Land registration
iii) Land registry
iv) Ministry of land
v) Land tribunals
vi) Title deeds
vii)Boundaries
viii)Lease

Thank you for Listening
End

Principles of records management Mushi

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