NATIONAL INSTITUTE OF PUBLIC ADMINISTRATION (NIPA) By MWAKA CHEWE {COMPUTER #:28024653} PROGRAMME : DIPLOMA IN RECORDS MANAGEMENT III SUBMISSION DATE : 20THJUNE, 2018 A Research Study Submitted to the National Institute of Public Administration in Partial Fulfilment for the award of a Diploma in Records Management. TABLE OF CONTENTS TABLE OF CONTENTS PAGE TABLE OF CONTENTS………………………………………………………………………………………. DECLARATION…………………………………………………………..……………………………….…….i APPROVAL………………………………………………………………………………………………….……ii DEDICATION…………………………………………………………………………………………………..iii ACKNOWLEDGEMENTS……………………………………………………………………………….……iv LIST OF ACRONYMS……………………………………………………………………………………….…v LIST OF TABLES……………………………………………………………………………………….…vi-vii OPERATIONAL DEFINITIONS OF KEY TERMS………………………………………….………..viii ABSTRACT……………….……………………………………………………………………………………..ix CHAPTER ONE…………………………………………………………………………….1 1.0 INTRODUCTION……………………………………………………………………….……..….…..1 1.1 BACKGROUND……..……………………………………………………………………………….….1 1.1.1 ELEMENTS OF THE A RECORDS MANAGEMENT PROGRAM…………………….…….2 1.1.2 SYMPTOMS OF A POOR RECORDS MANAGEMENT PROGRAM……………………2-3 1.2 PROBLEM STATEMENT…………………………………………………………………………….3 1.3 STUDY OBJECTIVES…………………………………………………………………..……………4 1.4 RESEARCH QUESTIONS…….…………………………………………………………………..4-5 1.5 STUDY SCOPE…………….………………………………………………………………………….5 CHAPTER TWO……………………………………….……………………………….…..6 2.0 LITERATURE REVIEW……………………………….………………………………………………6 2.1 DEFINITIONS…………………………………………………………………………………………..6 2.2 KNOWLEDGE LEVELS OF THE RECORDS MANAGEMENT STAFF…………..…..…6-8 2.3 THE RECORD MANAGEMENT PROGRAMME…………………………………..………….8-9 2.3.1 RECORDS MANAGEMENT POLICY……………………………………………………….…9-10 2.3.2 REGISTRY PROCEDURE MANUAL………………………………………………………..……10 2.3.3 VITAL RECORDS MANAGEMENT PROGRAMME……………………………….…….10-11 2.3.4 RECORDS RETENTION AND DISPOSAL SCHEDULE……………………………….11-12 2.3.5 RECORDS CENTRES…………………………………………………………………………..12-13 2.3.6 STAFF DEVELOPMENT PROGRAMME……………………………………………………13-14 2.3.7 ELECTRONIC RECORDS………………………………………………………………………14-15 2.4 CHALLENGES AND PROBLEMS IN RECORDS MANAGEMENT……………………..15-16 2.5 RECORD KEEPING SYSTEMS………………………………………………………………………16 2.5.1 RECORDS LIFE CYCLE MODEL…………………………………………………………….16-18 2.6 EFFECTIVE RECORDS MANAGEMENT PROGRAMME………………………………….….19 CHAPTER THREE…………………………………………………………………………20 3.0 METHODOLOGY……………………………………………………………………………….…..20 3.1 RESEARCH METHODOLOGY……………………..……………………………………………20 3.1 RESEARCH DESIGN……………………………………………………………………………….20 3.2 SOURCES OF DATA……………………………………………………………………………….21 3.3 TARGET POPULATION…………………………………………………………..………………21 3.4 SAMPLE SIZE…………………………………………………………………………………..……21 3.5 SAMPLING METHODOLOGY……………………………………………………………………21 3.6 RESEARCH INSTRUMENTS…………………………………………………………………….22 3.7 DATA ANALYSIS………………………………………………………………………………..….22 3.8 LIMITATIONS OF THE STUDY………………………………………………………………..22 CHAPTER FOUR………………………………………………………………………….23 4.0 DATA PRESENTATION AND INTERPRETATIONS………………………………….……….23 CHAPTER FIVE……………………………………………………………………………37 5.0 DISCUSSION OF FINDINGS AND ANALYSIS…………………………………………………37 5.2 KNOWLEDGE LEVELS OF RECORDS MANAGEMENT STAFF……………………….37-39 5.3.1 RECORDS MANAGEMENT POLICY………………………………………………………..39-41 5.3.2 REGISTRY PROCEDURE MANUAL…………………………………………..……………42-44 5.3.3 RECORDS SURVEY………………………………………………………………….…………44-45 4.3.4 ELECTRONIC RECORDS………………………………………………………………………….46 5.4 CHALLENGES AFFECT THE EXECUTION OF AN EFFECTIVE RECORDS MANAGEMENT PROGRAM…………………………………………………………………………..46-49 5.5 RECORD KEEPING SYSTEMS IN PLACE…………………………………………..…………..50 5.5.1 VITAL RECORDS………………………………………………………………………………..50-52 5.5.2 RECORDS CREATION AND GENERATION CONTROL PLAN……………………..52-53 5.5.3 METHODS OF ORGANIZING RECORDS…………………………………………………53-55 5.5.4 RECORDS RETENTION AND DISPOSAL SCHEDULE……………………………….55-58 5.6 RECORD KEEPING SYSTEMS………………………………….………………..……………..58-6 CHAPTER SIX……………………………………………………………………………61 6.0 CONCLUSIONS AND RECOMMENDATIONS…………………………………………………61 6.1 CONCLUSIONS……………………………………………………………………………………61-63 6.2 RECOMMENDATIONS………………….……………………………………………….…….…63-64 REFERENCE……………………………………………………………………………………………..65-66 APPENDIX QUESTIONNAIRE……………………………………………………………………….67 DECLARATION I declare that this research report is an original outcome of my own effort using my best knowledge and understanding and its content has never been presented elsewhere. I also declare that the explanations and table contained in this research report were generated by me except for those whose origin has been expressly acknowledged.
Opinions contained in this report do not in any way represent those of the National Institute of Public Administration (NIPA), but my own. NAME OF STUDENT SIGNATURE DATE ……………………………. .……………….. …………………
APPROVAL On behalf of the National Institute of Public Administration (NIPA), I wish to confirm that I supervised Mwaka Chewe research report. I further wish to state that to the best of my knowledge, I believe that the said student actually conducted this research work. I therefore approve that this research report by Mwaka Chewe be submitted in partial fulfillment for the award of the Diploma in Records Management. NAME OF SUPERVISOR SIGNATURE DATE ……………………………………… ……………………… ………………… DEDICATION I dedicate this work to God who gave me the knowledge to write this research report and my beautiful dear sister mwenya chewe for her moral and financial support during my research period. ACKNOWLEDGEMENT I would like to express my exceptional gratitude to God almighty for impacting me with wisdom and knowledge to write my research. My other gratitude goes to my research supervisor Mr.
Muzenge for his guidance throughout my research formatting, as well as the NIPA Management Studies Division who gave me the prospect to do this wonderful research project on the topic (An assessment on the challenges of the management of records in government ministries particularly Ministry of Housing and Infrastructure Development (MHID) which made me do a lot of research and helped me to acquire new knowledge, am really appreciative. I also wish to pay tribute to the staff at the Ministry of Housing and Infrastructure Development registry department and everyone who assisted me with information which helped me complete this project, without their help this project could have not been accomplished. I also wish to extend my special gratitude to my family and friends who assisted me in making sure this project was fulfilled successfully within the limited time frame. LIST OF ACRONYMS/ABBREVIATIONS MHID – The Ministry of Housing and Infrastructure Development NIPA – National Institute of Public Administration DRM – Diploma in Records Management ICT – Information Communication and Technology NAZ – National Archives of Zambia RRDS – Records Retention and Disposal Schedule E-RECORDS – Electronic Records IRMT – International Records Management Trust LMIS – Logistic Management Information System ISO – International Standard Organization HRA – Human Resource Administration LIST OF TABLES PAGE Table 1: Gender status………………………………………………………………….……….………23 Table 2: Age Range………………………………………………………………………….……………24 Table 3: Marital Status………………………………………………………………………………24-25 Table 4: Academic qualifications…………………………………………………………..…………25 Table 5: Work Experience……………………………………………………………………………..25 Table 6: What is your position in the registry……………………………………………………26 Table 7: What Knowledge levels do have…………………………………………………………26 Table 8: Do you have records management policy……………………………………………27 Table 9: Does your department have a registry procedures manual………………27-28 Table 10: Who undertake the records survey exercise………………………………………28 Table 11: What do you use the information collected during the records survey for…………………………………………………………………………………………….28-29 Table 12: Does the ministry manage electronic records and e-storage devices were labelled in a standard way…………………………………………………………………………..28-29 Table 13: What problems and challenges do you encounter while executing your records management responsibilities……………………………………………………………29-30 Table 14: Do you have a vital records management program…………………………….31 Table 15: what vital records protection methods are you using………………………….32 Table16: Do you have a vital records management program………………………..32-33 Table 17: What filing methods do you use………………………………………….……………33 Table 18: Do you have a records retention and disposal schedule…………………33-34 Table 19. How often do you revise the records retention and disposal schedule……………………………………………………………………………………………..…………34 Table 20: How often do you implement the records retention and disposal schedule……………………………………………………………………………………………………34-35 Table 21: What records staff training program do you have………………………………35 Table 22: What administrative measures has the Ministry put in place to reduce the problems and challenges do you encounter while executing your records management responsibilities Factors affecting the implementation of electronic records management System………………………………………………………………………35-36 OPERATIONAL DEFINITIONS OF TERMS USED Active records: refer to records that were frequently used or referred to by MHID for administrative and operational purposes.
Archives: Refers to records that have archival value and the physical place where archival materials and records are stored. Classification: It is the process of identifying categories of business activities and the records they generate and grouping them into files to facilitate description, control, links and determination disposal and access. Confidential files: refers to files of employees in the MHID whose access and use is restricted to only certain officers. Inactive records: records that were no longer referred to and were supposed to be permanently destroyed or transferred to the National Archives of Zambia. Records centre: refers to secondary storage facilities, where semi-active records that are not referred to regularly are stored. Record: refers to any document created or received in the course of executing duties and retained for evidential, fiscal and administrative purposes.
Records management: “That area of general administrative management concerned with achieving economy and efficiency in the creation, maintenance, use and disposal of the records of an organisation throughout their entire life Registry: refers to a place where active records are stored. Registry clerk: refers to a clerical worker at the MHID whose primary function is to perform routine registry duties such as sorting, classification and filing records. Semi-active records: in the study refer to records that are no longer active but were referred to from time to time. Vital records: in the study refers to records without which the MHID would not resume its operations after a disaster that destroys all the records ABSTRACT This paper assessed the challenges of the management of records in government ministries particularly Ministry of Housing and Infrastructure Development (MHID). Its specific objectives included: To identify the records practitioners qualifications, To assess the implementation of the elements of the records management programme at Kafue general district hospital, To determine the impact of poor record keeping at Kafue general district hospital, To examine strategies in place to reduce these impacts of poor recordkeeping and To establish good record keeping systems at Kafue general district hospital. However, its findings show that the major Impacts of poor keeping of records in the public health institutions such (KGDH) include: poor funding, inadequate equipment, poor skills in management of electronic records, lack of records keeping policy, lack of sufficient trained staff under the field of records management hence, the paper concludes as it recommends that: Kafue general district hospital should introduce more financial resources into the registry in order to solve the problem of inadequate record keeping of the health records and acquisition of modern equipment for records management, also The records manager of the surveyed health institutions should intensify his efforts in encouraging his registry workers to maintain good handling of records; Kafue general district hospital should have a linked database for all file movements to facilitate faster tracking of their records and establish a base line of care for all the records in holdings, not just a few precious, Kafue general district hospital should employ qualified staff and/or better still send the already existing employees both qualified and unqualified, for further Education that they may be exposed to new ways of keeping records unlike the old ways especially now that the world is migrating to electronic ways of keeping/managing records.
In addition, for an institution to run its affairs, it needs a well-documented records keeping system, henceforth, the records system within Kafue general district hospital should be well arranged and all files entered on the database for easy retrieval of files An aspect that is not often considered is the challenges of poor record management on the research and teaching component of the broader professions. There have been CHAPTER ONE INTRODUCTION This chapter presents the general introduction to the study. It provides an explanation of what constitute the management of records, principles and practices. 1.1 Background Records Management in Government Ministries can be traced back to 1966, when the standard filling system was introduced in the public service and later issued in the Government Office Instructions of 1972, by the Secretary to the cabinet, which was later revised in 2010. The idea of this standard system was to be used in the management of registry services in Government Ministries. Records management is the practice of maintaining the records of an institution or organization or a body from the time they are created to the time they are eventual disposed of.
This includes classifying, storing, securing and disposing (by destruction or, in some cases, archival preservation). Records management is not just about collecting and keeping records, but also concerns the knowledge of which records to keep, where they must be stored, for how long they should have access to the data” (corporate storage, 2010). Records management does not only mean just classification and segregation of files, it involves how to take care of the document. According to Barata, Cain and Routledge , (2001, p11) a record is defined as a document regardless of form or medium created, received, maintained and used by an organisation (public or private) or an individual in pursuance of legal obligations or in the transaction of business, of which it forms a part or provides evidence. In other words a record can be said to be information, regardless of media or characteristics, created or received by an organisation that is kept as evidence of its operations and has value requiring its retention for a specific period of time.
Records not only provide information on which to base decisions but tell a story of what goes on in an organisation thus providing evidence for accountability purposes. Organisations need to develop records management frameworks and systems designed to ensure that records are managed appropriately. 1.1.1 Elements of the a records management program IRMT (1999, p97) stated Records provide the official evidence of the activity or transaction they document. They show proof that an activity took place and how it was carried out. Records do not only document activities but also decisions that were made by different officials in the Infrastructure Development sector.
Kennedy and Schauder (1994) highlighted nine elements of a comprehensive records management program. These include: Records Management policy, Registry Procedures Manual, Records management feasibility study and Records survey, Vital records protection programme, Management of the creation and generation of different types of records, Filing system for active records/ methods of organising records, Records retention and disposal planning, Records preservation and storage, Management of semi-active and inactive records (Records canters), Training programmes and on-going review and Electronic records. A records retention and disposal schedule is a listing of all an organisations records along with the stated time categories of how long records must be kept or disposed off (Read and Ginn, 2007). It is a document that provides instructions for the disposition of circulars, reports, memorandum and all other types of records of the department at the Ministry of Housing and Infrastructure Development (MHID).
The process of preparing it involves records appraisal where values are determined for every record. 1.1.2 Symptoms of a poor records management program Good records and information management principles are universal therefore, any deviation will create problems. The commonly identified problem and typical symptoms include among others lack of an overall plan for managing records for retaining or destroying records, no standards for evaluating registry staff at provincial and district level, overloaded and poorly labelled drawers and folders, failure to protect records, misfiles resulting in lost records or slow retrieval of files, reports and other records; no equipment standards, no use of fire-resistant equipment, improper type of storage containers for records such as carton boxes, lack of or improper use of automated systems, crowded working conditions, poor layout of storage area and resistance to the use of magnetic media (Read and Ginn, 2007). Records provide the essential evidence that a particular action or transaction took place and in a particular manner or that a particular decision was made. Records support all business functions and reveal the operations of an organisation critical to the assessment of policies and programmes, and to the analysis of individual and organisational performance.
Once records are not properly managed, fostering accountability, transparency and good governance may not be possible in government ministries (Chaterera, 2013). 1.2 Statement of the problem The Ministry of Housing and Infrastructure Development (MHID) is one of the twenty two ministries in Zambia. The core responsibility of the Ministry is to provide guidance in the provision of Housing and Infrastructure Development in all parts of the country. Records Management is cardinal if Public institutions such as the MHID are to function efficiently and effectively.
Recently, there has been an increasing pressure on government due to the problem of not having sound practices in records management. It was discovered by the researcher that the Ministry faced many challenges in records management as the registry staffs at the MHID were struggling to maintain the registry system which led to an accumulation of records in offices and storerooms which in turn led to misplacement of files, missing files, misfiled documents and time wastage in retrieving documents or files as the result records management personnel failed to delivery proper services. Records are a source of corporate and collective memory and as such support good decisions and transparency and in this regard, fostering accountability, transparency and good governance. Therefore, the purpose of this research was to investigate the challenges of the management of records in government ministries particularly Ministry of Housing and Infrastructure Development (MHID), headquarters.
1.3 STUDY OBJECTIVE 1.3.1 General objectives The aim of this study was to investigate the challenges of the management of records in government ministries particularly Ministry of Housing and Infrastructure Development (MHID). 1.3.2 Objectives of the study 1. To assess the knowledge levels of registry staff at the Ministry of Housing and Infrastructure Development (MHID), headquarters. 2. To assess the implementation of the elements of the records management programme at the Ministry of Housing and Infrastructure Development (MHID) 3.
To establish the challenges affecting the execution of an effective records management program at the Ministry of Housing and Infrastructure Development (MHID) 4. To analyse what record keeping systems are in place at the Ministry of Housing and Infrastructure Development (MHID) 5. To recommend effective records management programme at the Ministry of Housing and Infrastructure Development (MHID) 1.4 Research questions 1. What are the knowledge levels of registry staff? 2. What elements of the records management program, infrastructures are available and used at the Ministry of Housing and Infrastructure Development (MHID)? 3.
What challenges affect the execution of an effective records management program at the Ministry of Housing and Infrastructure Development (MHID)? 4. What record keeping systems are in place at the Ministry of Housing and Infrastructure Development (MHID)? 5. What effective records management programme can be established at the Ministry of Housing and Infrastructure Development (MHID)? 1.5 STUDY SCOPE The study aimed at investigating the challenges of the management of records in government ministries particularly Ministry of Housing and Infrastructure Development (MHID) and the study covered both aspects of manual and electronic records. And this study was focused on one departmental unit the registry which is under the Human Resource Administration (HRA).
CHAPTER TWO LITERATURE REVIEW Overview This chapter presents a review of the related literature concerning the challenges of the management of records in government ministries presented by various researchers, scholars, authors, practitioners and documentary review of published and unpublished. The review endeavoured to critically compare and analyse other researcher’s findings, matching them with this research findings to see if any gaps is filled. 2.1 DEFINITIONS According to IRMT (1999) a record is any recorded document regardless of form or medium created, received, maintained and used by an organization or individual or institution in pursuance of legal obligations or in the transaction of business, of which it forms a part or provides evidence. Recordkeeping is the creation, maintenance and use, and disposition of reliable and trustworthy records that meet the business needs and legal responsibilities of a particular institution and, to the extent known, the needs of internal and external users who may make secondary use of the records (Thomassen, 2002). 2.2 KNOWLEDGE LEVELS OF THE RECORDS MANAGEMENT STAFF Australian National Audit Office (2012) noted that appropriate training staffs was required to assist with the implementation of a records management framework.
Salleh, Yaakub and Dzulkifli (2011) observed that good employee performance is considered as the measure of the quality of human capital held by the organization and it is determined by among other factors skill level and motivation. They stressed that the quality of employees is the major influence on performance and that for state governments, employees job performance is very important as it will reflect the government performance. New South Wales (2004) argued that specialist records management skills were required to develop the framework of the records management program, implement the records management program and to manage the records of their organisation. Salleh, Yaakub and Dzulkifli (2011) posit that persons possessing high skills in job knowledge ie. Unique skills, intelligence and work methods will succeed in their task or job. Ngoepe (2008) noted that education plays an important role in updating knowledge and skills and that it enhances the resourcefulness of the records managers.
In fact training and education are considered as indicator of skills level. Ngoepe (2008) further observed that governmental bodies generally ignore the qualification criteria and appoint records managers at a relatively low level which negatively impact on their ability to manage records effectively. Perhaps this could be attributed to what Hoyle and Sebina (2007) reported, that some officials in Zambia suggested that traditionally records management received low recognition in the public service and was considered to be work that could be done by anyone, regardless of skills and qualifications. Marutha (2009) observed that the implementation of a records management programme in Namibia was hampered by lack of well-trained records management personnel and added that people needed to be capacitated through training and education with the skills, knowledge and ability to establish the necessary records keeping framework. Hoyle and Sebina (2008) mentioned that generally records managers in government Ministries, Departments and agencies in Botswana had no formal training and consequently possessed inadequate skills levels. They found that this was despite the fact that records and archives training and education was available in Botswana and the programme being considered one of the best in Africa.
Ngoepe (2008) remarked that upgrading of skills can be achieved through workshops, vendor -sponsored programmes, professional seminars and college or university-level courses. Also as people interact, they learn new skills and gather information that promotes future performance potential during work experience. Thus the longer the period one has been employed, the more experience and better skill is obtained resulting in increased productivity and job performance. In other words, experience allows the accumulation of skills and knowledge that make an employee more productive and more valuable (Salleh, Yaakub and Dzulkifli, 2011).
2.3 THE RECORD MANAGEMENT PROGRAMME According to Ngoepe (2008, p4) a records management programme “seeks to efficiently and systematically control the lifecycle (creation, use, maintenance, archive or disposal) of records that are routinely generated as a result of activities and transactions.” Odeyemi, Issa and Saka (2011, p48) stressed that a well-organized records management programme saves a lot of money for the administration of the Public Service by helping to control the quantity and quality of information created and by ensuring the maintenance of the information in a manner that effectively serves the need of the organization. Barata, Cain and Routledge (2001, p13); IRMT (1999, p14) reiterated that a Records management programme is concerned with achieving economy and efficiency in the creation, maintenance, use and disposal of the records of Ministries, Departments and Agencies (MDA) and in making the information they contain available to support their business activities. Griffin and Akotia (2008) pointed out that to attain effective service delivery, good governance, transparency and accountability, a records management programme must be fostered within public institutions. Griffin and Hoyle (2007) emphasised that an effective and efficient recordkeeping programme is fundamental to good governance. Hoyle and Sebina (2007, p10) in their study observed that in Zambia that there was a lack of accurate, comprehensive and consolidated information management programme to support sound decision making. The duo posits that an improved records management programme ensure that important evidence is preserved in order to facilitate timely decision-making and support transparency in the Public Service and government at large.
Kennedy and Schauder (1994) highlighted eleven elements of a comprehensive records management program. These include Records management feasibility study and Records survey; filing system for active records; records retention and disposal planning; management of semi-active and inactive records; management of the creation and generation of different types of records; vital records protection programme; policy and procedures documentation; training programmes and on-going review. Similarly Odeyemi, Issa and Saka (2011, p48) stated that the structure and organization of a records management programme must be based on the following components: Personnel management; Financial management; Forms management and control; Reports management and control; Correspondence management and control; Records management procedures manual; Files management and control; Records Centre management; Vital Records management and control; Records inventory and appraisal; Records retention and disposition schedule; Directives management and control; Mails management; Micrographic and reprographic management; Archives management and ICT management and Equipment management. 2.3.1 Records Management Policy A proper records management programme guided by policies, rules and procedures will ensure a conducive records management environment (Marutha, 2011, p175). According to the National Archives of Australia (2014) the purpose of the policy is to provide guidance and direction on the creation, generation and management of information and records and to clarify staff responsibilities.
Hoyle and Wamukoya (2007) mentioned that a Records Management Policy provided a framework within which the records and archives of the United Republic of Tanzania were managed in accordance with statutory requirements and international standards. Marutha (2011, p177) observes that hospitals in South Africa were running the risk of officials operating on their own devices due to lack of policies that specifically address patient records management. In that regard if government Ministries, departments and agencies are going to make good on their best intentions for achieving excellence in records management best practices, they must bring all records, regardless of format or location, under a single set of policies (Iron Mountain 2012, p4). Hoyle and Wamukoya (2007) observed that the preparation of the new national Records Management Policy in Tanzania provided an opportunity to reconsider the role and procedures of the registry systems.
Coetzer (2012, p28) notes that the problem of records management in Ghana could be traced to the absence of a comprehensive records management policy regarding an integrated holistic approach to the management of the whole cycle of records. An organization’s records management program should be supported and guided by policies and procedures that address each element of the records management program in accordance with operational and legal requirements (Association for Corporate Counsel n.d). 2.3.2 Registry procedure Manual All procedures should be set out in a clearly worded and regularly updated procedures manual made available to all records management staff (IRMT 1999, p128). In order to standardize procedures and prevent incompatible practices between registry units, a manual explicitly explaining all record procedures and related issues should be prepared (Külcü, 2009). Chaterera(2013) reported that most of the public registries in Zimbabwe operated inconsistently as they were operating without documented guidelines on how to execute their responsibilities in a registry manual. While Hoyle and Wamukoya (2007) found a Registry Procedures Manual that described in detail the procedures and forms to be used when dealing with incoming correspondence, filing papers, creating a new file, recording the existence of a new file, controlling file movement, handling files returned to the registry, handling outgoing mail, storing files, handling closed files and maintaining the system in Tanzania.
This fostered consistency and standardisation in all registry tasks. 2.3.3 Vital records management programme Vital records refer to those records that are essential for the on-going business of the organisation and without which the organisation would not continue to function effectively (Massey University). Unlike important and useful records vital records are usually irreplaceable and require the highest degree of protection (Read and Ginn, 2007). According to Kennedy and Schauder (1994) vital records refer to those records without which an organisation could not continue to operate as they contain information needed to re-establish the organisation in the event of a disaster which destroys all other records in the organisation.
The duo further added that vital records protect the assets and interests of the organisation as well as those of its clients and shareholders. The three major element of a vital records protection programme are the identification of vital records for an organisation; assessment and identification of risks and methods of protection. There is need, however to establish systems and procedures for the identification of vital records to be captured for a certain function or activity (Marutha 2011). The study carried out by Australian National Audit Office (2012) revealed that surveyed agencies had no identified vital records in the context of their business continuity planning processes.
By implication agencies had no programme to protect vital records and were at risk of collapse if a disaster occurred that destroyed all records. Hoyle and Sebina (2007) found a registry service manual organised by Government ministry and department portfolio and domestic records in Zambia. This provided guidance on the determination of vital records. 2.3.4 Records retention and disposal schedule A retention and disposal schedule refers to the document that prescribes the length of time that ministry records are to be retained and disposal action when this time has been reached.
It is also known as disposal list, disposition schedule, records schedule, retention schedule, or transfer schedule (Massey University: 2013); (IRMT 1999, p101). The decision as to which records should be kept permanently and which ones would be retained for a specific short period normally depends on the type of record value, such as administrative, legal, financial and research values. Records with legal and research values have permanent values, whereas finance and administrative values are for short -term preservation of records (Marutha, 2011). The records retention and disposal schedule must indicate retention periods, disposal date and disposal action.
Retention period is the length of time, as provided for by legislation, regulation or administrative procedure or based upon the value of information that records should be retained in an office or records centre before they are transferred to an archival institution or otherwise disposed of. Disposal date refers to the date on which disposal actions specified in a disposal schedule should be initiated. Disposal involves sending records from the office of origin to the records centre or the archival repository or destroying them under secure conditions if they are obsolete while Destruction is the disposal of records of no further value by incineration, maceration, pulping, shredding or another secure method (IRMT 1999, p101-105). Iron Mountain (2012, p4) stated that a well-designed and well-executed records retention schedule can increase efficiency and reduce risks in an organisation.
Generally IRMT (1999, p40) notes that in the absence of rules and guidelines of what should be kept and for how long, records management staff are reluctant to authorise destruction and over time, the registries became severely congested with older records. Hoyle and wamukoya (2007) pointed out that to prevent the build-up of inactive records in government registries in Tanzania there was need to develop procedures for the routine appraisal and disposal of records. Chaterera (2013) also observed that despite being given guidance by the National Archives of Zimbabwe most of the public registries in Zimbabwe had no retention and disposal schedules. Marutha (2011) reasons that most serious administrative problems of records management experienced in hospitals in South Africa could be resolved using, amongst others, proper retention and disposal schedules.
However, for records retention and disposal schedules to be effective they must be refreshed every 18 months or less (Association for Corporate Counsel, n.d). 2.3.5 Records centres A records centre is also referred to as the secondary storage facility as it houses records at semi-current stage in the records life cycle. Kennedy and Schauder, (1994) defined semi-active records as “a category of records in between active and inactive records.” Unlike active records semi-active, they are not frequently used for operational and administrative purposes but can occasionally be used for reference purposes. Hoyle and Wamukoya (2007) carried out a study in Tanzania and found that there was no national records centre.
They proposed that the construction of a national records centre be considered as an option for the storage of inactive files so that the congestion in the registries could be relieved. A national records centre would provide a long-term solution and needed to be pursued with a sense of urgency so that the problem of congestion would be tackled more systematically and on a coordinated national scale. Hoyle and Sebina (2007); Nabombe (2012) found a national records centre located in the old Bank of Zambia building but pointed out that it was full and lacked lighting in the basement, air conditions and fire extinguishers. They added that the records centre had water leaking into the storage areas, rusting shelves and questionable security. Hoyle and Sebina (2007) also who found that each Ministry in Zambia had a transit records centre for storing closed files before they were transferred to the National Archives Record Centre.
However, they cited lack of space in these centres as the main driver for transferring records to the National Archives Records Centre. 2.3.6 Staff development programme According to IRMT (1999, p80) the quality of any records management programme is directly related to the quality of the records management staff that operate it. They added that Records management work must be viewed as a worthwhile profession for those persons who are well educated, intelligent and industrious, not as the posting of last resort for those who are unqualified, incompetent and idle. Hoyle and Sebina (2008) noted in Botswana that records managers often had no formal training resulting in severe difficulties. They added records management units were often viewed as dumping grounds for non-performing or hard to place employees.
Similarly ANAO (2012) established that many agency staff in Australia had not undertaken records management training for several years, and training was not tailored to meet staff needs. They observed that this contributed to records management staff not being aware of how to implement key aspects of records management programme. Marutha (2011, p48) attributed the failure to implement the records management programme in Namibia to lack of trained records management professionals. Hoyle and Sebina (2007) emphasized that a significant capacity building exercise was needed in Zambia to bring records and registry management staff into the era of electronic record and document management. Chaterera, (2012) stressed that poor records management practices in Zimbabwe were as a result of a high rate of staff turnover and lack of staff with records management training. IRMT (1999, p127) posits that all individuals appointed to posts involving records management, whether or not they already possess a professional, paraprofessional or specialist qualification, must be trained in the specific policies, procedures and records systems.
According to Ngoepe (2008) and Külcü (2009) training and upgrading of records management skills can be achieved through workshops, vendor-sponsored programmes, orientation and professional seminars and college or university-level courses. 2.3.7 Electronic records The massive shift in Information and Communication Technology (ICT) in the 1980s and 1990s resulted in the proliferation of electronic records which called for new archival and records management practices (Chaterera, 2013). Hoyle and Wamukoya (2007) suggested that new methods of records management were needed in Tanzania to deal with electronic records within the broader context of basic records management principles and standards. Hoyle and Wamukoya (2006) attributed some of the problems that were experienced in Lesotho in managing human resources to the manual recordkeeping system, which made tracking information on public servants slow and cumbersome. They proposed that since electronic document and records management systems allowed for document sharing and access to records in a centralised database or digital repository, the concept of the centralised control of filing or folders system could be employed as part of the transition to electronic business processes. Hoyle and sebina (2007) observed that the proliferation of unmanaged documents on personal computers (PC) hard drives in Zambia resulted in a great deal of time being wasted when searching for documents, misplaced information.
They went on to say that this weakened accountability in Government Ministries. The nature of electronic records makes confidentiality and security crucial in the management of e-records. The offset this concern, passwords, firewall and audit trail could be used (Chaterera, 2013).Further Tale and Alefaio (2005) observed that they are various challenges faced by different public sectors in trying to manage electronic records which include the following: targeted awareness programmes at all administrative levels of the organization, and lack of resources; these have been some of the challenges that have affected management electronic records. And Furthermore Robertson (2005) highlighted these challenges affecting management of electronic records as follows: Large number of disparate information management systems; No clear strategic direction for the overall technology environment; including lack of consistency, duplication, and out-of-date information; Lack of clarity around broader organisational strategies and directions; Difficulties in changing working practices and processes of staff.
2.4 CHALLENGES AND PROBLEMS IN RECORDS MANAGEMENT According to IRMT (1999, p179) Eastern and Southern African countries had several challenges with regard to the capturing, preservation and management of records. They added that in many countries of the world, public records are unmanaged and government information is not easily accessible. Coetzer (2012) reiterates that records management programmes in Africa were plagued with various challenges and problems, due to the inability of registries and national archival institutions to perform their roles effectively. Some of the common challenges include a lack of records management plan; inadequate know ledge about the importance of records management for organisational efficiency; no legislation, no policies and procedures, lack of central ability to manage records, understaffing of records management units; poor records security and access control; no budget for records management; no records retention and disposal policy and no records movement control techniques (IRMT, 1999, p179). According to Marutha (2011, p175) records management challenges can be addressed or prevented through the establishment and implementation of an effective records management programme. Marutha (2011, p173-174) added The most serious administrative problems for records management such as shortage of filing space; misfiling and missing files; damage to record; incompetent/unskilled staff; shortage of staff; inadequate budget; Lack of general staff awareness about the importance of records; Insufficient budget; in the government ministries could be resolved using, amongst others, proper retention and disposal schedule and training.
Furthermore, Renee Rishmulle routlined that inadequate management of record with regards to filing, storing and retrieving records of is of concern because failure to retrieve the records could lead to a compromise in the quality of care provided; it may increase the cost of care through the repetition of procedures and also compromises the development of a national information system. Gaining recognition is all about convincing management of the role of records management as enabling unit in an organization. 2.5 RECORD KEEPING SYSTEMS There are two schools of thought regarding records management. The first is the life cycle approach, which is an analogy of the life of a biological organism.
A record is created, used for so long as it has value, appraised and is then disposed of by destruction or by transfer to a records centre or an archival institution for permanent preservation. While the records continuum concept recognises that four actions i.e.: identification; intellectual control; provision of access; and physical control continue or recur throughout the life of a record (Barata, Cain and Routledge, 2001, p13). 2.5.1 Records life cycle Model The life-cycle concept of the records is an analogy from the life of a biological and living organism which is born, lives and dies. A record is said to be created, distributed, used for as long as it has value and then disposed of by total destruction or transfer to an archival institution (Barata, Cain and Routledge , 2001, p13; Spiteri, 2012). The records life cycle concept illustrates the life span of any records in any format, whether it is paper based or electronic, as expressed in the five phases of creation, distribution, use, maintenance and final disposition. It is the core concept in the field of records management (Marutha, 2011; Read and Ginn, 2007).
It provides the records manager with a useful starting-point and basis for developing a records management program. It enables the records manager who acknowledges the importance of each separate phase to develop policies and procedures that are supportive of the other phase in a coordinated way. For instance the manner in which a document is titled and formatted will substantially affect the efficiency with which it can be retrieved in the maintenance phase. Likewise, when a document is created, it must be given a retention period which will inevitably affect various processes in the maintenance and disposal phases for example how and where the document will be stored and how and when it will be destroyed (Kennedy and Schauder, 1994). A record is said to be created when for instance a letter is produced, an e-mail written, a form completed or a pamphlet printed in any government ministry. To facilitate the usage of the records by designated officers they must be sent or distributed using various means such as courier services, postal or office to office delivery.
The records are used in various ways but they are commonly used in decision making, answering inquiries and satisfying legal requirements by government official and stakeholders. The three key steps in the maintenance of records are storage, retrieval and preservation or protection of records. When a decision has been made to keep the record for use at a later it must be stored, retrieved and protected by records managers and registry clerks. At maintenance stage the record is stored or filed which involves preparing and placing records into their proper storage place and when a request is made for it, it must be quickly retrieved from storage for use. When records are no longer active that is they are no longer needed for active use they may be restored and protected using appropriate equipment and environment and human controls to ensure record security.
The fifth and last phase in the records life cycle is disposition. After the retention period indicated in the records and retention period has elapsed, records are disposed of either by destruction or by transfer to a permanent storage place. Records are transferred to a less expensive storage sites within the organisation or to an external records storage facility called an archives. The records life cycle is an important concept as it shows that many interrelated parts must work together for an effective records and information management program (Marutha, 2011; Read and Ginn, 2007).
The management of records and archives particularly within the context of the public sector is governed by four important principles or theories i.e. Records must be kept together according to the agency responsible for their creation or accumulation, in the original order established at the time of their creation; records follow a life cycle; records should follow a continuum; records be organised according to hierarchical levels in order to reflect the nature of their creation. These approaches and concepts are commonly referred to as: The principle of respect des fonds, life-cycle concept, continuum concept and the principle of levels of arrangement and description (IRMT 1999, p14 -15). The effective management of records throughout their life cycle is critical in public institutions.
Failure to do so will result into vast quantities of inactive records clogging up expensive office space, making it be impossible to retrieve important administrative, financial and legal records (Nabombe, 2012, p13). 2.6 EFFECTIVE RECORDS MANAGEMENT PROGRAMME Institutions can either be private or public in nature. The public service or sector consists of the “central ministries that formulated policies; the departments and agencies at national, regional and district level that implemented policies; the Education, Health and Judicial Services and a range of other specialist services” (Griffin and Akotia, 2008, p7). According to Coetzer (2012, p1) institutions, private, semi-government or government institutions are all legally bound to create, retain and preserve documents as a record or evidence of their activities and proceedings. Barata, Cain and Routledge (2001, p11); International Records Management Trust (1999) define a record as “a document regardless of form or medium created, received, maintained and used by an organisation (public or private) or an individual in pursuance of legal obligations or in the transaction of business, of which it forms a part or provides evidence.” Massey University (2013); IRMT (1999, p11) added that public records mean any record, in any form or medium, in whole or in part, created or received by a public office in the course of its business. The information contained in records, is a valuable asset and thus must be managed and protected.
It is the responsibility of governments to ensure that the records of d ay-to-day business activities were authentic, accurate, reliable and complete for evidentiary purposes, while citizens on the other hand needed to be certain that records would be efficiently managed to ensure accountability and transparency of government and to protect their rights and entitlements. (Hoyle and Graffin, 2007, p30). Accurate, authentic and complete records provide proof or evidence that a particular action or transaction took place or that a particular decision was made. Records support all business functions and activities. They are critical to the assessment of policies and programmes, and to the analysis of individual and organisational or government performance and progress.
Without reliable and complete records, government cannot administer justice or manage the state’s resources, its revenue or its civil service. In the absence of accurate and reliable records and effective systems to manage, governments cannot deliver services such as education and health care. Furthermore, they cannot be held accountable for their decisions and actions, and the rights and obligations of citizens and corporate bodies cannot be upheld (Bennett and Mannix, 2002, p1). Hoyle and Wamukoya (2006, p2) pointed out that without proper management of government records and archives, Lesotho risked being unable to achieve its developmental vision for accountability, evidence of transactions, and transparency. Wamukoya and Hoyle (2007) added that all Tanzania were expected to carry out audits of financial performance and human resource functions and that recordkeeping was a critical component of the audit function.
In the same vein, Bennett and Mannix (2002, p5) remarked that well-maintained and managed financial records are essential to Nigeria’s ability to meet its development aims as they support accountants in preparing financial reports for managing resources and for communicating their use to the public. The duo emphasized that well-maintained financial records, reports and audits also permit independent auditors to give the public assurance that financial reports are credible and underpin good financial management, information and accountability in a democratic state. 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, 2000). According to Northwest Territories (2002), the role of records management is to ensure that members of staff involved in different operations have the information they need, when necessary. Among their other purpose, records also act as raw materials for research in various disciplines. So this literature review provided an insight into challenges of the management of records in government ministries particularly the Ministry of Housing and Infrastructure Development.
Different authors were cited who had written on the subject of the study and what needed to be done to encouragegood management of records in government ministries was critically reviewed. CHAPTER THREE METHODOLOGY Overview The research methodology involves deciding on how the research will be conducted and means by which the researcher would use to answer the research questions and a justification as to why these are the best available means to conduct the research. Therefore chapter three highlight the following: Research design, Sources of data, Target population, Sample size, Sampling method, Data collection Data analysis, and Limitations. 3.1 Research Methodology The research methodology of a study refers to the set of procedures and methods that the researcher uses to conduct research. Research methods had to be evaluated in order to explain what information was required, how it was procured more accurately and more cheaply and how it was analysed (Ngulube 2005a, p139).
There are generally two approaches to research namely; quantitative or qualitative, with a third dimension referred to as the mixed method approach that encompasses both qualitative and quantitative methods. 3.1 Research design In this research I used a descriptive research which is under the non-experimental research design. In a descriptive research, the researcher does not manipulate the variable of control environment. But it systematically describe the facts and characteristics of a given phenomenon, population, or area of interest.
3.2 Sources of Data I used both primary and secondary data in this study. Primary data refers to data that is obtained directly from the respondents using Questionnaires, Observation and interviews. While Secondary Data is the available literature on the matter being investigated which includes the copies of published and unpublished documents and these data is collected from literature written on the study area which will include articles from libraries, reports, textbooks and the Internet. 3.3 Target Population The population of the study comprised of 50 employees at the Ministry of Housing Infrastructure Development (MHID) Headquarters, Lusaka. 3.4 Sample Size The sample size of the study consisted of 30 respondents drawn from the targeted population and which consisted of four (04) Human Resource specialists, eight (08) Administrative staff, eight (08) accounting staff and ten (10) registry staff. And consisted both male respondents and female respondents.Therefore, thirty questionnaires were distributed to these identified individuals atthe Ministry of Housing Infrastructure Development (MHID) Headquarters, Lusaka.
3.5 Sampling method In this study I used systematic random sampling methodology on the survey questionnaires which I administered to the selected departments of MHID. And systematic random sampling methodology enables less biasness in the selection of respondents and each respondent have an equal chance of being selected. And the use of systematic random sampling was aimed at getting as more relevant and valuable information for the research as possible. 3.6 Research Instruments The instrument I used in this study was self-administered questionnaires which comprised of closed and open ended questions; to enable respondents express themselves without any hindrance and one senior registry officer was purposively selected for guided interviews because of the special knowledge she had regarding the subject matter. This research instrument which I used was simple and less time consuming. 3.7 Data analysis The interpretation and analysis of the data (findings) was based on the relevant conclusions that were made from the study.
Qualitative and quantitative data was analysed during the research study; qualitative through themes and subtitles whereas quantitative data was analysed by data presented in tabular forms and backed by descriptions based on facts derived from the respondents 3.8 Limitations of the study The study did not include all the entire provincial and district registries of the Ministry of Housing Infrastructure Development (MHID) throughout Zambia; it was only focusing on the headquarter registry in Lusaka and limited funds. CHAPTER FOUR PRESENTATION OF THE FINDINGS Overview This chapter presents, interprets and analyses the findings and data that was generated in the questionnaires, guides from selected respondents, and it gives general findings of the studyon the “challenges of the management of records in government ministries particularly the Ministry of Housing and Infrastructure Development (MHID) Headquarters, Lusaka”. Thirty (30) questionnaires were distributed however the results are in frequencies with percentages summarising the collected data from the questionnaires and brief explanations are given at the bottom of each table. Table 1: Gender of respondents DESCRIPTION FREQUENCY PERCENTAGE Male 13 43% Female 17 57% TOTAL 30 100% The above table showed that out of a total number of 30 respondents; who were asked to indicate their gender.
13 (representing 43%) were male whereas 17 (representing 57%) were female. The reason why they were more women than men because managing the records it does not involve a lot of hard work that why women were more man. And men the always intend to like jobs that require a lot of technical work so they intend to look down on managing of records as laymen’s work. Table 2: Age range ITEM FREQUENCY PERCENTAGE 20-24 3 10% 25-29 5 17% 30-34 10 33% 35-39 11 37% 40-44 1 3% 45-and above 0 0% TOTAL 30 100% Table 2 showed that out of a total number of 30 respondents; 3 (representing 10%) were in the age range of 20-24years, 5 (representing 17%) were in the age range of 25-29 years, 10 (representing 33%) were in the age range of 30-34 years, 11(representing 37%) were in the age range of 35-39 , 1(representing 3%) were in the age range of 40-44 and none of the respondents were in the age range of 45 and above. Table 3: Marital status DESCRIPTION FREQUENCY PERCENTAGE Single 9 30% Married 20 67% Divorced 1 3% Widowed 0 0% TOTAL 30 100% from table above it showed that out of a total number of 30 respondents; 9 (representing 30%) were single, 20 (representing 67%) were married, 1 (representing 3%) of the respondent was divorced and none of the respondents were widowed 0 (representing 0%) Table 4: Academic qualifications DESCRIPTION FREQUENCY PERCENTAGE Grade Twelve 19 63% Certificate in Records Management 9 30% Diploma in Records Management 2 7% Other, please specify 0 0% TOTAL 30 100% The respondents were asked if they had qualifications in records management and out of a total number of 30 respondents 2 (representing 7%) respondents had Diplomas in records management, 19 (representing 63%) respondents had grade twelve certificates, 9 (representing 30%) had Certificates in records management. Table 5: Work experience ITEM FREQUENCY PERCENTAGE 1-5 3 10% 6-10 8 27% 11-20 19 63% 21 and above 0 0% TOTAL 30 100% The table above further gave a clear view of how long the respondents had been in Service (how long they had been working in the registry at MHID).
out of a total number of 30 respondents3 (representing 10%) had work experience in the range of 1-5 years, 8 (representing 27%) had work experience in the range of 6-10 years, 19 (representing 63%) had work experience in the range of 11-20 years and none of the respondents had worked for 21 and above. Table 6: What is your position in the registry? DESCCRIPTION FREQUENCY PERCENTAGE Senior Registry Officer 3 10% Registry Officer 9 30% Registry Clerk 18 60% TOTAL 30 100% Respondents were asked to state their position they were currently occupying within the registry at MHID. This was asked to ascertain the respondent’s possible relation to records management and out of a total number of 30 respondents 3 (representing 10%) were senior registry officers, 9 (representing 30%) were registry officers and 18 (or representing 60%) were registry clerks. SECTION B: CORE SUBJECT MATTERS Table 7: What Knowledge levels do have? DESCRIPTION FREQUENCY PERCENTAGE Records management 27 90% Little or knowledge about records management 3 10% TOTAL 30 100% In the table above the respondents were asked to indicate what knowledge they had concerning records management and out of the 30 respondents 27 (representing 90%) indicated that they were knowledgeable about records management while 3 (representing 10%) indicated that they had little or no knowledge about records management.
Table 8: Do you have records management policy? DESCRIPTION FREQUENCY PERCENTAGE% yes 16 53% no 14 47 TOTAL 30 100% The table above showed that 16 (representing 53%) indicated that they had a records management policy out of the 30 respondents while 14 (representing 47%) said that they didn’t have the records management policy. Research participants were also requested to state who prepares the records management policy, 24 (representing 80%) of the respondents stated that it was the Public Service Management Division while 6 (representing 20%) stated that it was the Ministry of Housing and Infrastructural Development. 9: Does your department have a registry procedures manual? DESCRIPTION FREQUENCY PERCENTAGE% yes 23 77% no 5 17% TOTAL 30 100% The table above showed that out of a total number of 30 respondents When asked as to whether their department had a registry procedure manual to assist them manage their record systematically, 23 (representing 77%) of the respondents stated that they had while 7(representing 23%) one respondent stated that they did not have. Research participants were requested to state who prepared the registry procedure manual, 23 (representing 77%) of the respondents stated that it was the Public Service Management Division, 6 (representing 20%) stated that it was the Ministry of Housing and Infrastructural Development and 1 (representing 3%) one stated that it was National Archives of Zambia. Table 10: Who undertake the records survey exercise? DESCRIPTION FREQUENCY PERCENTAGE Registry staffs 15 50% Public Service Management Division 10 33% National Archives of Zambia 5 17% TOTAL 30 100% From the above table respondents were asked Who undertake the records survey exerciseand out of a total number of 30 respondents 15 (representing 50%) said Registry staffs, 10 (or representing 33%) said Public Service Management Division and 5 (or representing 17%) said National Archives of Zambia.
Table 11: What do you use the information collected during the records survey for? DESCRIPTION FREQUENCY PERCENTAGE Controlling records creation 0 0% Records maintenance and use 0 0% Records appraisals 14 47% Creating retention and disposal schedules 16 53% TOTAL 30 100% The table 11 showed that out of a total number of 30 respondents; 14 (representing 47%) indicated that the information collected during the records survey is used for Records appraisals, 16 (representing 53%) indicated that it is used for Creating retention and disposal schedules,0(representing 0%) indicated that it is used for Records maintenance and use and while 0(representing 0%) indicated that it is used for Controlling records creation. Table 12: Does the ministry manage electronic records and e-storage devices were labelled in a standard way? DESCRIPTION FREQUENCY PERCENTAGE yes 17 57% no 13 43% TOTAL 30 100% The above table showed that out of a total number of 30 respondents 17 (or representing 57%) indicated yes that the Ministry managed electronic records and e-storage devices were labelled in a standard way while 13 (or respondents 43%) indicated no. 13: What problems and challenges do you encounter while executing your records management responsibilities? DESCRIPTION FREQUENCY PERCENTAGE locating and retrieving active records 1 3% lack of supplies 1 poor and inadequate funding 1 3% Low motivation 1 3% tracking and locating semi-active records 1 3% inadequate shelving 5 17% inappropriate shelving and filing equipment 5 17% inadequate trained personnel 1 3% low job esteem 3 10% Lack of records management policy 10 33% Lack of records retention and disposal schedule 1 3% In a multiple response question respondents were asked to tick as apply the challenges and problems they encountered while executing their records management responsibilities in table 13. And out of a total number of 30 respondents 1(representing 3%) indicated locating and retrieving active records, 1(representing 3%) indicated lack of supplies (folders, file clips, etc.), 1(representing 3%) indicated poor and inadequate funding, 1(representing 3%) indicated Low motivation, 1(representing 3%) indicated tracking and locating semi-active records, 5 (representing 17%) indicated inadequate shelving, 1 (representing 3%) indicated Lack of records retention and disposal schedule, 5 (representing 17%) indicated inappropriate shelving and filing equipment, 1 (representing 3%) indicated inadequate trained personnel, 3 (representing 10%) indicated low job esteem, and 10 (representing 33%) indicated Lack of records management policy. Table 14: Do you have a vital records management program? DESCRIPTION FREQUENCY PERCENTAGE Yes 17 57% No 10 33% Not sure 3 10% TOTAL 30 100% The above table showed that out of a total number 30 respondents 17 (or representing 57%) agreed that they had a records management policy in their ministry, 10 (or representing 33%) disagreed and 3 (or representing 10%) were not sure of the existence of the vital records management program their ministry.
On the guidelines to determine vital records, out of a total number of 30 respondents 5 (representing 17%) indicated that the records management policy was their source of guidance to determine vital records, 10 (representing 33%) stated that the National Archives Act provided guidance to determine vital records. Only 10 (representing 33%) cited Institutional policy and 5 (representing 17%) indicated standing orders were also cited as the source of instructions to determine vital records. Table 15: what vital records protection methods are you using? DESCRIPTION FREQUENCY PERCENTAGE Off-site vital records center 5 17% Fire proof cabinets and vaults 10 33% Digitization 10 33% Duplication 5 17% TOTAL 30 100% From the above table it showed that out of a total number of 30 respondents 5 (representing 17%) indicated Off-site vital records center, 10 (representing 33%) indicated Fire proof cabinets and vaults, 10 (representing 33%) indicated Digitization and 5 (representing 17%) indicated Duplication. Table 16: Do you have a vital records management program? DESCRIPTION FREQUENCY PERCENTAGE Yes 20 67% No 10 33% TOTAL 30 100% The above table showed that out of a total number 30 respondents 20 (or representing 67%) agreed to say that they had a records creation and generation control program records management policy in their ministry and while 10 (or representing 33%) indicated no. And respondents were asked to indicate the measures they have put in place to control the creation of records and out of a total number of 30 respondents 5 (representing 17%) indicated Correspondence management program, 10 (representing 33%) indicated Report management program and vaults, 10 (representing 33%) indicated Policy and procedures management program and 5 (representing 17%) indicated Forms management program. Table 17: What filing methods do you use? DESCRIPTION FREQUENCY PERCENTAGE Alphabetical 5 17% Numeric 10 33% Alpha-numeric 8 27% Serialization 7 23% TOTAL 30 100% The table 17 showed that out of a total number of 30 respondents; 5 (representing 17%) indicated Alphabetical, 10 (representing 33%) indicated Numeric, 8 (representing 27%) indicated Alpha-numeric and while 7 (representing 23%) indicated Serialization.
Table 18: Does your ministry have a records retention and disposal schedule in place? DESCRIPTION FREQUENCY PERCENTAGE Yes 27 90% No 3 10% TOTAL 30 100% From the above table it showed that out of a total number of 30 respondents 27 (or representing 90%) agreed to having a retention and disposal schedule in the ministry, and 3 (or representing 10%) disagreed. When asked what elements were on the records retention and disposal schedule, 10 (representing 33%) indicated records retention period, 8 (representing 27%) indicated disposal date, 7 (representing 23%) stated records series title and 5 (representing 17%) stated disposal action as the elements on the records retention and disposal schedule. Table 19: How often do you revise the records retention and disposal schedule? DESCRIPTION FREQUENCY PERCENTAGE Monthly 20 67% Annually 5 17% After five (5) years 5 17% TOTAL 30 100% The table 19 showed that out of a total number of 30 respondents 20 (representing 67%) indicated monthly, 5 (representing 17%) indicated annually and while 5 (representing 17%) indicated after five (5) years. 20: How often do you implement the records retention and disposal schedule? DESCRIPTION FREQUENCY PERCENTAGE Annually 20 67% Monthly 5 17% Weekly 5 17% TOTAL 30 100% The table 19 showed that out of a total number of 30 respondents 20 (representing 67%) indicated annually, 5 (representing 17%) indicated monthly and while 5 (representing 17%) indicated Weekly.
And the respondents were asked what disposition methods do they use when disposing off unwanted records, a number of methods were listed for the respondents to tick as applied to them. 10 (representing 33%) indicated transfer to the archives, 8 (representing 27%) indicated transfer to the records center, 5 (representing 17%) indicated shredding, 3 (representing 10%) palpating and while 4 (representing 13%) indicated burning Table 21: What records staff training program do you have? DESCRIPTION FREQUENCY PERCENTAGE In house training 5 17% Seminar attendance 10 33% Conferences 8 27% Workshops 7 23% TOTAL 30 100% The table above shows that out of a total number of 30 respondents; 5 (representing 17%) indicated In house training, 10 (representing 33%) indicated Seminar attendance, 8 (representing 27%) indicated Conferences and while 7 (representing 23%) indicated Workshops. Table 22: What administrative measures has the Ministry put in place to reduce the problems and challenges do you encounter while executing your records management responsibilities Factors affecting the implementation of electronic records management System? DESCRIPTION FREQUECY PERCENTAGE Sensitization among users of records 0 0% Awareness campaigns for records managers 4 13% Workshops to be conducted regularly for registry staff 26 87% TOTAL 30 100% From the above table it shows that out of a total number of 30 respondents 4 (or representing 13%) stated that the ministry had put in place awareness campaigns for record users and 26 (or representing 87%) stated that the ministry has put in place workshops to be conducted regularly for registry staff while none indicated on Sensitization among users of records. CHAPTER FIVE DISCUSSION AND INTERPRETATION OF FINDINGS Overview Chapter five discussed the research findings based on a general assessment of records management practices and principles in the Ministry of Housing and Infrastructure Development (MHID) Headquarters in Lusaka.
The study soughed to answer the following questions: 1. What are the knowledge levels of registry staff at the Ministry of Housing and Infrastructure Development (MHID)? 2. What elements of the records management program, infrastructures are available and used at the Ministry of Housing and Infrastructure Development (MHID)? 3. What challenges affect the execution of an effective records management program at the Ministry of Housing and Infrastructure Development (MHID)? 4.
What record keeping systems are in place at the Ministry of Housing and Infrastructure Development (MHID)? 5. What effective records management programme can be established at the Ministry of Housing and Infrastructure Development (MHID)? This chapter was divided into five sections namely: knowledge levels of records management staff, elements of a records management program, challenges affect the execution of an effective records management program, record keeping systems are in place and effective records management programme that can be established at the Ministry of Housing and Infrastructure Development (MHID), Headquarters, Lusaka. 5.2 KNOWLEDGE LEVELS OF RECORDS MANAGEMENT STAFF The study soughed to ascertain the knowledge levels of participants in records management. The study results showed that 27 (representing 90%) out of 30 respondents had knowledge about records management while 3 (representing 10%) indicated had little or no knowledge about records management. By implication the majority of the respondents were knowledgeable in records management practices.
This could be as a result of interacting with those who had been to college to pursue records management and in -service training or workshops that were periodically conducted in collaboration with Public Service Management Division. Ngoepe (2008) remarked that upgrading of skills can be achieved through workshops, vendor-sponsored programmes, professional seminars and college or university-level courses. However, the results further revealed that there was no association between knowledge levels and work experience and also between knowledge levels and educational levels. In other words people who have worked longer and those who have worked for fewer years more or less possessed the same knowledge levels. It may also suggest that the people with records management qualifications and those without records management qualification had more or less the same knowledge in records management.
This could be attributed to the fact that most of the staff had worked in the registry for a long period of time as shown in table 5 of chapter 4 and so with passage of time they may have acquired a certain level of knowledge in records management. According to Salleh, Yaakub and Dzulkifli, (2011) the longer the period one has been employed, the more experience and better skill is obtained resulting in increased productivity and job performance. In other words, experience allows the accumulation of skills and knowledge that make an employee more productive and more valuable. It may not have necessarily been in the Ministry of Housing and Infrastructure Development (MHID) but other government ministries considering the fact that all government registries use the same registry service manual and Government office instructions. As a norm public servants are normally transferred from one ministry to the other.
On the part of education and knowledge levels, the likelihood is that since most of the participants were certificate holders their knowledge levels were superficial hence there was no much difference with the knowledge of those who had not done any records management training course. Similarly Hoyle and Sebina (2008) mentioned that generally records managers in government Ministries, Departments and Agencies in Botswana had no formal training and consequently possessed inadequate skills levels. Ngoepe (2008) pointed out that education plays an important role in updating knowledge and skills and that it enhances the resourcefulness of the records managers. There is also the possibility that most of the registries engage in very basic records management functions and activities.
Such basic records management functions and activities are characterized by incomplete and inadequate records management elements thereby rendering the whole records management program inefficient and ineffective. Marutha (2011) observed that the implementation of a records management programme in Namibia was hampered by lack of well-trained records management personnel and added that people needed to be capacitated through training and education with the skills, knowledge and ability to establish the necessary records keeping framework. 5.3 ELEMENTS OF THE RECORDS MANAGEMENT PROGRAMME 5.3.1 Records management policy Kennedy and Schauder (1994) highlighted eleven elements of a comprehensive records management program including policy and procedures documentation. The findings (see Table 8 in chapter 4) from the study showed that the majority of the respondents indicated that they had a records management policy as 16 (representing 53%) indicated that they had a records management policy out of the 30 respondents while the findings from interviews revealed that there were no written policies at national or institutional level concerning records management in Zambia. Similarly studies conducted by Hoyle and Sebina (2007) and Nabombe (2012) revealed that Zambia did not have a nation records management policy.
However, the national records management policy in Zambia was in draft form waiting to be approved. The Hoyle and wamukoya (2007, p5) added that Zambia like Tanzania had a new records management policy which was being drafted covering both paper and electronic records. On the contrary, Unegbu and Adenike (2013) observed that the Ministry of Infrastructure Development in Nigeria had a well-documented records policy guide which all the workers were aware of. And According to the National Archives of Australia (2014) the purpose of the policy is to provide guidance and direction on the creation, generation and management of information and records and to clarify staff responsibilities.
Marutha (2011, p175) added that a proper records management programme guided by policies, rules and procedures will ensure a conducive records management environment. The absence of a records management policy in the Ministry of Housing and Infrastructure Development (MHID) meant registries lacked guidance and direction on the creation, generation and management of information and records and clarity on staff responsibilities and tasks. With this state of affairs, it is possible that the staffs in the Ministry of Housing and Infrastructure Development (MHID) were not creating and capturing certain records as there were no clear guidelines on which records to create and capture or not to create. The records policy specifies what aspects of the ministry’s business and business transactions including business applications and systems e.g.
websites, email, and business systems are to be covered government ministries, providing evidence of what was done and how it was done. Failure to capture certain business transactions in government ministries may compromise accountability requirements and transparency in government and public offices. Hence, without a records policy the Ministry of Housing and Infrastructure Development (MHID) commitment to establishing and maintaining information and records management practices that meet its business needs, accountability requirements and stakeholder expectations might be lacking in this regard. In a similar study Coetzer (2012, p28) notes that the problem of records management in Ghana could be traced to the absence of a comprehensive records management policy regarding an integrated holistic approach to the management of the whole cycle of records.
Nabombe (2012) points out that the lack of a records policy may cause registries to regard ministry records as not important assets to the nation. Ideally the policy covers the legal, regulatory and business context within which the ministry should operate, meaning without a records policy the Ministry of Housing and Infrastructure Development (MHID) had no clear directions of which legal and regulatory frameworks to comply with. Presumably, the registries may not feel compelled to consider certain legal and regulatory instruments such as International Organisation for Standardization guidelines on records management (ISO), National archives Act of Zambia and Information and Communication Technology Act of Zambia. This may perpetuate bad records management practices in the ministry. Hoyle and Wamukoya (2007) raised similar concerns.
He pointed out that lack of standards and procedures cause poor management of records. The duo added that a Records Management Policy provided a framework within which the records and archives of the United Republic of Tanzania were managed in accordance with statutory requirements and international standards. Marutha (2011, p177) observes that hospitals in South Africa were running the risk of officials operating on their own devices due to lack of policies that specifically address patient records management. The absence of a policy may result in a situation where undesignated offices and locations store records.
A policy will ensure that systems or locations endorsed for the capture and storage of records and information are specified as well as those which should not. It will prevent ministry staff from hoarding records and transfer them to designated places. Keeping records in undesignated office and place may delay retrieval or indeed result into the loose of records. Hoyle and Sebina (2007) observed that records in most Zambian Government ministries are sometimes not taken to the registries and that registry staff are blamed for failure to locate them. The right to information, privacy and confidentiality in Ministry of Housing and Infrastructure Development (MHID) may also suffer due to lack of a policy. A policy provides a statement supporting the concept that staff should have ready access to corporate information and describes circumstances when it is appropriate to restrict information access to information and records (National Archives of Australia, 2014).
5.3.2 Registry procedure manual A registry procedures manual is an essential guide for the operations and daily routine tasks of a registry. It provides personnel with guidelines that define departmental records management procedures thus standardizing procedures and prevent incompatible practices between registry units (Kulcu, 2009). The research examined the availability of records management registry manuals in the Ministry of Housing and Infrastructure Development (MHID) registries (see Tables 9 of chapter 4). Unlike the findings of the study carried out by Chaterera (2013) which revealed that most public registries were operating without documented guidelines in a registry manual on how to execute their responsibilities, the findings from this study showed that most respondents had a registry manual as 23 (representing 77%) of the respondents stated that the ministry had the registry procedure manual as shown in (table 9 of chapter 4). The results of this study are in conformity with the findings of a study conducted in Tanzania by the Hoyle and Wamukoya (2007) which indicated the presence of a registry procedures manual in the surveyed Ministries. Similarly, Nabombe (2012) in study observed that records management manuals were available in the court registries in Zambia although very few registry clerks had access to them.
However, a content analysis of the registry service manual developed and released by (PSMD) revealed that it lacked certain features generally described in the registry procedure manual. The registry service manual mainly focused on records classification, indexing and filing. For instance it lacked an introduction explaining what a record and records management are. This is intended to help the reader distinguish a record from any other document and inculcate an appreciation of the importance of managing records.
In other words, the records manual provides guidelines on how to distinguish records from non-records and personal papers including electronic records. A records management manual must have an introduction explaining what a record is and qualities or characteristics of a record that make it trustworthy. The absence of guidelines on the appropriate qualities of a record may result in the creation of records that are not authentic and reliable. There is a possibility therefore, that the registry staff in the Ministry of Housing and Infrastructure Development (MHID) were capturing even ephemeral documents that were not authentic thereby taking up valuable space for records. Ephemeral document may get into the way of more active records and delay retrieval.
A record begins as a document that is created or received and if that document meets the definition of a record, it must be captured in a recordkeeping system. The registry service manual has no general records schedules to determine whether the records are temporary or permanent (FAA, 2012). This may explain why the Ministry registries are experiencing space problems. There was congestion in the registries with boxes of records kept on top of filing cabinets. On the other hand, the registry service manual at the Ministry of Housing and Infrastructure Development (MHID) provides guidelines on filing, storing, or otherwise systematically maintaining records in the recordkeeping system. In a similar study the Hoyle and sebina (2007) observed that the PSMD had developed a registry service manual on classification, indexing and numbering of Subject papers in Government Ministries and Departments, which was released in February 2006.
It provided guidance on keeping files in the public service. The manual identified subjects for classifying correspondence based on the Statutory Functions, Portfolios and Composition of Government published in Gazette Notice No 547 of 2004. The registry service manual mainly focused on records classification, indexing and filing. Therefore failure by most registries to file records accordingly may not be as the result of lack of instructions but negligence on the part of registry staff and inadequate filing equipment. The records manual does not provide information on the type of records centre used to preserve and store semi-current records. There are no instructions on how records and particularly vital records are be protected from threats such as fire, pests, theft, natural disasters and water damage.
The absence of such guidelines in the records manual may result in lack of proper protective measures for records from natural and manmade hazards. This may explain why some records at the ministry are kept in boxes and shelves made from very poor wood quality. By implication records are at risk of being lost in the event of a disaster. Yet the registry manual provides instructions to offices on how to implement a tracking system for retrieving and checking out records from its recordkeeping system. The system includes at least charge out registers and cards that are placed in the record’s location in the filing cabinet or shelf to indicate the current location of a record. However, Nabombe (2012) and Chaterera (2013) noted that charge out books were out dated methods that are inefficient.
They are cumbersome and can easily be manipulated by unscrupulous individuals. Further content analyses of the registry service reveal that it does not provide information regarding duties and responsibilities of the registry staff. The absence of such information may result in people not taking responsibility. Clear and distinctive description of what a person is to undertake certain responsibilities facilitates accountability in a work environment. In view of this there is a likelihood that duties in the ministry registries are assigned haphazardly. The registry service manual in the Ministry of Housing and Infrastructure Development (MHID) did not also provide general guidelines on how staff can match records and general disposition schedules.
The resultant effects are the lack of up-to-date records retention and disposal schedule. Currently the ministry registries depend on NAZ officials when preparing the records retention schedules for guidance. If general guidelines were provided in the registry manual probably the ministry registries could have been preparing their own schedules than having out dated records retention schedules which are updated after five years. The absence of records retention schedules implies that records are either destroyed prematurely or kept for a much longer period than their value warrants. This may also explain why registries are congested with records despite the fact that new filing equipment was recently acquired.
The findings from an interview revealed that there were Government Office Instructions which provided instructions for all government officials including registry staff on how to carry out their duties. Similarly Hoyle and Sebina (2007) in their study found that there were Government Office Instructions dating from 1984, with chapter five on registry services and procedures, including mail handling and file management. In the case of Zambia therefore, the components of a records management manual have been produced partly in the Government office instruction and partly in the registry service manual. This might prove to be cumbersome to staff and result in inefficient work procedures.
In fact the Government Service Instructions are not readily available and only a few copies are kept with the human resource department in the ministry. On the contrary, Chaterera (2013) observed that registry procedure manual in the registry department in Zimbabwe covered most of the key records management activities. The Hoyle and wamukoya (2007) stated that the Registry Procedures Manual used in government ministry registries in Tanzania described in detail the procedures and forms to be used when dealing with incoming correspondence, filing papers, creating a new file, recording the existence of a new file, controlling file movement, handling files returned to the registry, handling outgoing mail, storing files, handling closed files and maintaining the system. 5.3.3 Records survey Records surveys are a critical exercise intended to achieve proper records management practices. The key step in developing sound and proper records management practices is to inspect, monitor and examine all records created and kept by an office through conducting records and Information management surveys amongst other records management activities (Barata, Cain and Routledge, 2001, p22). Findings from this study revealed that registries in the Ministry of Housing and Infrastructure Development (MHID) conducted records surveys although they had no specific time period in which to undertake the exercise.
The study also established that the Ministry of Housing and Infrastructure Development (MHID) conducted the records survey which is done by the Registry staffs as shown in (table 10 of chapters 4) that out of 30 respondents 15 (representing 50%) said the Registry staffs dose the record survey and NAZ officials were on hand to offer professional advice. This does not agree with the research findings of Chaterera (2013) which revealed that the National Archives of Zimbabwe’s Records Centres were responsible for carrying out records surveys in public registries. During the records survey information on how records are created, kept, used and disposed within a public office is gathered with the emphasis on quantity, physical form, type, location, physical condition, storage facilities, use and rate of accumulation. The failure by the Ministry of Housing and Infrastructure Development (MHID) registries to conduct records surveys on a regular basis may result in lack of up -to-date information regarding the physical condition of records, physical format, quantity and accumulation rate. Such information could be used for planning, making informed decision, archival activities and for the efficient operation of the overall records management program.
A records survey is therefore linked to records management activities. For instance, knowing the accumulation rate can help the records management staffs in the Ministry of Housing and Infrastructure Development (MHID) to plan the size and type of their records centre and also to consider conversion of records to either microforms or e-records which do not consume a lot of space. The Ministry of Housing and Infrastructure Development (MHID) lack of up-to-date information on different aspects of records may affect their budgeting. This could be the reason why inadequate filing equipment was secured. The study results showed that the information gathered from the records survey in Ministry of Housing and Infrastructure Development (MHID) was mainly used for creating retention and disposal schedules as shown in (table 11 of chapter 4) that out of 30 respondents 16 (representing 53%) indicated that it is used for creating retention and disposal schedules. And these was done by using a walk through or questionnaire method of conducting records surveys, records staff in the Ministry of Housing and Infrastructure Development (MHID) could trace missing and misplaced records.
The person conducting the records survey walks through every office and storage area gathering all the required information by querying, looking and measuring depending on the question on the inventory form (IRMT, 1999, p97). Vital Records and records of continuing value are identified during the records survey. Records of continuing value are taken to the records centre then to the National archives of Zambia or straight to the archives. However, lack of a specified period in which to conduct the records survey may have negative effect on the records management program as a whole. It may affect planning, budgeting and updating documents such the records retention and disposal schedule 4.3.4 Electronic records The study revealed that the Ministry of Housing and Infrastructure Development (MHID) registries managed electronic records and e-storage devices were labelled in a standard way as shown in (table 12 of chapter 4) that out of 30 respondents 20 said yes that electronic records and e-storage devices were labelled.
However interview results revealed that the concept of electronic records existed in the public service of Zambia but that because there were no written guidelines or policies relating to the management of electronic records, individual officers managed their own electronic records and not necessarily registries. Certain registry officers had electronic records stored on their personal computers. Passwords were the mostly used security measures while firewalls were the list used security measures. Interview results also showed that Audio-visual and electronic records were mainly stored on flash discs. The findings of the current study were in harmony with the study carried out by Chaterera (2013) which indicated that passwords were the mostly used means of security for electronic records while firewalls were the least used. In line with the above findings Hoyle and sebina (2007) observed that the proliferation of unmanaged documents on personal computers (PC) hard drives resulted in a great deal of time being wasted when searching for documents, misplaced information.
They went on to say that this weakened accountability in Government Ministries 5.4 CHALLENGES AFFECT THE EXECUTION OF AN EFFECTIVE RECORDS MANAGEMENT PROGRAM The study also soughed to identify the problems faced by registry staff (see table 13 of chapter 4) in executing their duties. The findings revealed that retrieving active records, lack of supplies (folders, file clips, etc.) and poor and inadequate funding were all high contributors to the failure by the records management staff to execute their duties efficiently. Similarly Unegbu and Adenike (2013) in their study observed that inadequate funding in the offices contributed to some challenges faced by the employees including registry staff. Failure to retrieve active records on time meant decisions and other operational activities were delayed. This could lead to lack of confidence in the capability of registry staffs by other members of staff in the Ministry.
As stated earlier, the absence of an up-to-date records and retention schedule may result in semi-active records being kept for a much longer period than their value warranted. Consequently, there is congestion in the Ministry registries and naturally to retrieve a specific record one had to sift through so many files hence the delay in retrieval of active records. From observation several shelves and cabinets in the Ministry of Housing and Infrastructure Development (MHID) were not labelled while some numbers on the boxes were slowly fading away. These factors could possibly make retrieval of active records as well as semi-active records difficult and slow. In fact transfer of records to semi-active records to records centres on time would free filing cabinets leaving enough space for more active records and reduced cost for filing equipment. Eventually registries could save some money and use it acquire supplies.
Similarly Nabombe (2012) described the same scenario in his research findings. His research findings revealed that court registries often stored active, semi-active and inactive records together due to lack of adequate space in record centres and storage shelves. Marutha (2011) observed that there was congestion in registries resulting in difficulties in retrieving documents and information from registries. Hoyle and sebina (2007) confirmed that inadequate resources, the lack of training and professional support, proliferation of paper documents without provisions for disposal including limited equipment and supplies were the problems that rocked most public registries in Zambia.
They added that accessing the files was not easy and that registries required more space. Failure by the Ministry of Housing and Infrastructure Development (MHID) to have an up -to-date records retention and disposal schedule and subsequently failure to dispose of semi -active and non-active records on time could be attributed to the absence of the records management policy. The records management policy would stipulate specific instructions on how to determine records of value and those of continuing value hence providing guidelines on how to establish retention periods. As the case stands the Ministry of Housing and Infrastructure Development (MHID) depends on NAZ officials for guidance who are also preoccupied with other responsibilities. Generally most Government Ministries complained of inadequate funding. To try to cope with inadequate funding Government Ministries identify and set priority areas and findings from the interview revealed that registries are not among the priority area in terms of funding in the Government in general.
Low motivation, tracking and locating semi-active records and inadequate shelving and filing equipment were also cited as some of the problems encountered by the records staff in executing their duties. In a similar study Hoyle and Wamukoya (2007) identified low morale, lack of space in registries including limited capacity in terms of shelving and accessing information as problems faced by public registries in Tanzania. Low motivation could be as a result of how some registry staffs found themselves working in the registry. As alluded to earlier persons with cases to answer with the administration would be transferred to the registry as a form of disciplinary measure and those they failed to find vacancies in the establishment would also be taken to the registry. This was amplified by GRZ (2012) which explicitly stated that in the Public Service records management has largely remained unattractive to professionals due to low levels of grades.
Furthermore, there has been lack of recognition of records management as a profession like any other within the public service resulting in low entry requirements for records cadre. This had led to registries being managed by personnel with some of the least qualification in the Public Service which has negatively affected the effectiveness of the system and thus adversely impacting on the delivery of the Public Service in the country. Furthermore, the motivation among the records management has remained low.” In a similar study Hoyle and Wamukoya (2007) added that it was difficult to retain registry staff in Tanzania due to low salaries and the poor image of the work, which was viewed by many as only suitable for people who were not educated. Hoyle and wamukoya (2006) attributed the problem of inadequate space to large volumes of files which were not disposed in the Ministry of Infrastructure Development in Lesotho.
As stated earlier, each serving teacher in the Ministry of Housing and Infrastructure Development (MHID) has about six files. At the headquarters there are the pension’s registry, staffs registry and confidential registry housing duplicate files. There is another one at the salaries department. The files contained more or less the same documents. This could explain why there is congestion in the registries. Perhaps digitizing the files and creating a relational database accessible to all departments would alleviate the problem of space in the Ministry of Housing and Infrastructure Development (MHID).
The Ministry of Housing and Infrastructure Development (MHID) registries used charge out books and if a file is misplaced the registry had to flip the pages to locate the page with the details of where a particular is being kept. Flipping page can be cumbersome and time consuming. This could explain why tracking a misplaced file is a challenge in the Ministry of Housing and Infrastructure Development (MHID). Probably introducing bar coding system would be helpful. Research results have clearly shown that the Ministry of Housing and Infrastructure Development (MHID) registries were faced with many challenges.
Delayed retrieval of active records, lack of supplies and poor and inadequate funding and low morale might affect the management of active and semi-active records. The study showed that the Ministry of Housing and Infrastructure Development (MHID) failure to develop the records management policy and records retention and disposal schedule might have contributed to poor records management in the Ministry registries. Findings on the calibre and professional qualifications among registry staff raised some concerns regarding the quality of the registry staff and their capacity to implement records management programmes in the Ministry of Housing and Infrastructure Development (MHID). Consequently inadequacies in the registry staffs? capacity might have led to an inefficient and an ineffective records management program in the Ministry of Housing and Infrastructure Development (MHID) registries. Low motivation and inadequate training personnel might be indicative of poor conditions of service in the Ministry of Housing and Infrastructure Development (MHID). This raises the need for the Ministry of Housing and Infrastructure Development (MHID) to re -design registry jobs in order to motivate and more qualified employees.
5.5 RECORD KEEPING SYSTEMS IN PLACE 5.5.1 Vital records As stated earlier, unlike important and useful records vital records are usually irreplaceable and require the highest degree of protection (Read and Ginn, 2007). Vital records refer to those records that are essential for the on-going business of the organisation and without which the organisation would not continue to function effectively (Massey University, 2013). Vital records protect the assets and interests of the organisation as well as those of its clients and shareholders. The three major element of a vital records protection programme are the identification of vital records for an organisation; assessment and identification of risks and methods of protection. The study revealed (see chapter 4 and table 14 and 15) that the Ministry of Housing and Infrastructure Development (MHID) had a vital records management plan or program. The results of this study are not consistent with the finding of the study conducted by the Australian National Audit Office (2012) which revealed that surveyed agencies had no identified vital records in the context of their business continuity planning processes.
On the guidelines used to determine vital records, the study showed that the Records Management Policy and National Archives Act were the one which were mainly used. However, as stated earlier Zambia has no national records management policy. The respondents might have been ignorant of a records policy and mistook the registry service manual for a Notwithstanding, through content analysis of the manual and findings from the interview the study established that the manual was organised by Government Ministry and Department portfolio and domestic records. Portfolio refers to functions assigned to a given ministry and department. Within a given ministry the same portfolio are referred to as domestic. Therefore codes in the manual represent functions and activities government ministries and departments.
In this regard it is possible for a given government ministry to identify their key functions and thus establish the ones that are vital records While the National Archives Act of Zambia was cited as the source of instructions for determining vital records, a content analysis of the National Archives Act mainly describes the responsibilities of the (NAZ). As stated earlier vital records relate to crucial records of a particular organisation and will document such information that will protect the assets and rights of an organisation, its stakeholders and clients. It is recommended that the Ministry of Housing and Infrastructure Development (MHID) has a vital records management plan as the assets and rights of the ministry, its stakeholder and clients may be protected. However, lack of clear guidelines to vital records may create problems as some vital records may not be identified and protected. The study established that the registries mostly used fire proof cabinets and vaults and duplication to protect to vital records.
Similarly the study done by Chaterera (2013) revealed that vital records in public registries in Zimbabwe were mainly protected by duplication. Unlike the findings from the study carried by Chaterera (2013) which indicate d that digitization was another major method of protecting vital records, in this study digitization received the least attention. This could be because the Ministry of Housing and Infrastructure Development (MHID) has a small volume of vital records. Kennedy and Schauder (1994) explained that an organisation with a small number of vital records can use a lockable fireproof cabinet or a safe. They added that fireproof rooms are expensive to install but very effective when set up properly with fire resistance for a minimum of four hours, fire detection system, temperature and humidity control, dust -free conditions and a secure locking mechanism.
The findings from the study revealed that the Ministry of Housing and Infrastructure Development (MHID) used duplication and dispersal. Duplication in this context implies a situation where the organisation opens several files for one individual containing the same documents which are then dispersed to several departments or locations. In this case it is existing dispersal because by virtue of the ministry’s operation, each teacher for instance has several files, at the Ministry headquarters there is one file in the confidential registry, one in the staff’s registry and one at the salaries unit within the ministry. Also they have files at the provincial and district offices. In addition each staff also has a file at (PSMD).
This implies that each staff has six files. These findings are in conformity with the findings of the study undertaken by Hoyle and Sebina (2007) in Zambia. The duo stated that maintaining accurate and complete teachers? records was a challenge due to the multi-layered nature of the management of staffs, regional and government employing authorities. They added that this was so as staffs were answerable to (PSMD) on professional issues and to the relevant employing authorities for routine administrative matters. Such an arrangement where administrative operations require several files for one employee is referred to as existing dispersal. Hoyle and Sebina (2007) alluded to the research findings and urged that maintaining confidential files must be revisited considering the fact that the emphasis today is transparency in government ministries. While this set up has an advantage in case a fire breaks out or any calamity in one office as its duplicate file can be used, yet it can also be expensive and consume a lot of space. This could also contribute to congestion in registries resulting in inadequate filing equipment. The Ministry of Housing and Infrastructure Development (MHID) should consider reducing the number of files per individual although Hoyle and Sebina (2007) cited inconsistency in the number and type of documents contained in files for an individual. They observed that Ministry files contained the greatest quantity of information, and were in effect, the master files. Hoyle and Sebina (2007) suggested that decisions were required regarding what documentation needed to be held on which file and how many files were actually required for each teacher and public servant. 5.5.2 Records creation and generation control plan All business enterprise and transactions inevitably results in the creation and generation of records. Records management frameworks and systems commences with the creation and subsequent capture of records in recordkeeping systems, through to their maintenance and use, and ultimately their destruction (ANAO, 2012). Properly designed records management systems will limit the generation of records or copies not required to operate the business and ensure there is a system for destroying useless records or retiring inactive records thus stabilizing the growth of records in all formats (United States Environmental protection agency, 2013). The study sought to establish what type of records were created and generated in the Ministry of Housing and Infrastructure Development (MHID). The finding revealed in (table 16 of chapter 4) that circular, development policies and annual reports were the mostly created and generated records in the Ministry of Housing and Infrastructure Development (MHID). In his study Gama (2010) came across similar findings, where circulars, annual reports and educational policies were also kept in the registries he visited. However, while the findings of this study revealed that educational policies were among the mostly created and generated records, Gama (2010) in his study found that policies were the least received records. On the measures to control the creation and generation of records, in this study procedures manual and other procedures, report management program and forms management program were cited as the mostly used methods. The efficiency with which paper and electronic records are stored and retrieved is dependent on the controls that are implemented at the time of creation. Report and forms management program are intended to control the creation and generation of reports and forms within the Ministry. Failure to control the creation and generation of records may result in duplication of information, lack of uniform procedures for information processing, lack of control of the standard of presentation of information and increased cost of information processing (Kennedy and Schauder, 1994). The existence of a records creation and generation plan in the Ministry of Housing and Infrastructure Development (MHID) implies there is less duplication of information, there are uniform procedures for information processing and control on the standard of presentation of information and reduced cost of information processing 5.5.3 Methods of organizing records A filing system for active records comprises of the physical location, classification and indexing methods used, filing sequence, filing procedures, supplies and equipment, file tracking and the technologies used in the systems implementation (Kennedy and Schauder, 1994). Findings from interviews revealed that previously there was no uniformity regarding organisation of files in the government ministries and departments. The government of Zambia engaged a United Kingdom based company called Organisation and Methods to offer consultancy services in administration and redesigning of the Civil Service. Consultants from Organisation and Methods then suggested that there be a common filing system for all government ministries and departments. In response to this, the (PSMD) embarked on developing a registry service manual to be used by all government ministries and department. The essence of devising a uniform filing system was to facilitate transfer of portfolios including staff within the public service. Content analysis of the registry service manual revealed that each ministry has a reference number together with all its portfolios (government responsibilities, duties or functions). In other words portfolio subjects are predetermined in the registry service manual with their corresponding reference number. The registry service manual is hierarchical i.e. It starts with a code for the Ministry, and then its portfolios (functions) followed by the code for the subjects. Instructions on how to add codes for subtopics are given in the registry service manual. Predetermined codes for Ministries, Departments and their portfolios generally pose challenges when there are changes made to Ministry titles or a particular is moved to another ministry. It means revision of the registry service manual. However, the findings revealed that when a particular portfolio is moved to another ministry its code does change although the manual must be revised to indicate that a portfolio has moved. The manual provides instructions on how to classify, index (labelling and assigning retrieval keys) and how to open new files or records series. It has a sample of a file movement card for tracking records. Following the instructions in the registry service manual each ministry develops its own filing index. This can be used as training tool for new employed registry staff and ensures uniformity. Research findings (see table 17 of chapter 4) revealed that Alphabetical, alpha-numeric; serialization and numeric were the mostly employed filing methods in the Ministry of Housing and Infrastructure Development (MHID). Similarly, Gama (2010) in his study established that serialization was mostly used filing method. The study revealed that serialization was used for policy records while staffs files were filed numerically. In a similar study Hoyle and Wamukoya (2006) observed that Files were organised by employment number and not by employee name in ministries or by ministry name within the Ministry of Public Service or the Treasury Department in Lesotho. Other files were also filed numerically. For instance a file containing all correspondence from another ministry would be given a file number 101/1/22. In the Registry Service Manual the reference number for the (MHID) is 22. This applies to all Ministries than other the concerned Ministry will use the actual reference for other ministries. According to Gama (2010) serial and numeric arrangement may not need much technical skills on the part of the records managers and it tends to be easy to employ. Nabombe (2012) added that using numeric filing enhances the security of records. However, numeric and serial filing methods tend to depend so much on the index to establish what a given number stands for and this can delay the process of retrieving records. Registry staffs had to constantly refer to the index in order to identify the numbers for a given subject and with limited copies of indexes, retrieval of records is often delayed. In a similar study Hoyle and Sebina (2007) noted that without establishing the correct employee number it was practically impossible to retrieve a file in the ministry. 5.5.4 Records retention and disposal schedule Another important element of a records keeping is the records retention and disposal schedule. A retention and disposal schedule refers to the document that prescribes the length of time that ministry records are to be retained and disposal action when this time has been reached (Massey University, 2013). Disposal involves sending records from the office of origin to the records centre or the archival repository or destroying them under secure conditions if they are obsolete while Destruction is the disposal of records of no further value by incineration, maceration, pulping, shredding or another secure method (IRMT 1999, p101-105). The study revealed (see chapter 4, Table 18, 19, and 20) that the Ministry of Housing and Infrastructure Development (MHID) had retention and disposal schedules and that the Ministry was responsible for preparing the retention schedule. According to the findings the retention schedules were revised annually. Results from the interview revealed that National Archives of Zambia (NAZ) officials formed a committee with the Ministry officials to formulate the records retention and disposal in 2007 and since then the records retention schedules have not been updated. Similarly in their study Hoyle and Sebina (2007) observed that government ministries, departments and agencies in Zambia had the responsibility of drafting records retention and disposal schedule with the Director of the National Archives of Zambia (NAZ) or whom she may delegate this responsibility. It was established through an interview that the records retention and disposal schedule was revised after five (5) years. Association for Corporate Counsel, states that for records retention and disposal schedules to be effective they must be refreshed every 18 months or less. This implies that the records retention and disposal schedules are out dated as it was revised seven years ago. Records created from 2007 to date are not reflected on the schedule and therefore registries lacked guidance on the disposition of records. This may result is either records being kept for a longer period than their value warrants or being destroyed prematurely. IRMT (1999, p40) notes that in the absence of rules and guidelines of what should be kept and for how long, records management staffs are reluctant to authorise destruction and over time, the registries became severely congested with older records. On the contrary Nabombe (2012) noted that the courts of Law in Zambia did not have nor apply any records retention and disposal schedules. Chaterera (2013) also observed that despite being given guidance by the National Archives most of the public registries in Zambia had no retention and disposal schedules. Mnjama (2004) in his study established that many African and Caribbean countries lacked retention and disposal schedules. The non-availability of retention and disposal schedules or out-dated records retention and disposal schedules in many public registries in Zambia and in Africa in general implied that disposition was rarely practiced and when it was done, it was on an ad-hoc basis. That probably explained why some government departments were congested with semi and non-current records kept in corridors, on the floor in offices where ever space was available thus creating congestion in offices (Marutha, 2011). The study established that the National Archives of Zambia (NAZ) was responsible developing retention schedules of records of a generic nature. This is in consistent with the research findings of Hoyle and Sebina (2007) who also noted that the National Archives of Zambia (NAZ) was responsible for drawing up general records retention and disposal schedules. An analysis of that the general schedule revealed had no disposal actions for most records except for those with continuing value. In a similar study in Hoyle and Wamukoya (2006, p5) stated that more detailed and comprehensive records retention and disposal schedules for government ministries records were required. Without disposal actions it would be impossible to establish the next storage facility of records in their life cycle. This may result in keeping semi-active records in registries indefinitely. The study revealed that the retention and disposal schedules at the Ministry of Housing and Infrastructure Development (MHID) had the four main elements i.e. records series titles, retention periods, disposal dates and disposal actions. Generally a records retention and disposal schedule lists the records series of an organisation with specific instructions of how the records are to be disposed of or transferred to secondary storage or archives or destroyed after their creation and initial use (IRMT 1999). The records retention period indicates the specific time period records must be kept in the Ministry registries and the disposal date is the actual date when a record is supposed to be transferred to a records centre or National Archives of Zambia. Disposal action refers to either total destruction or transfer of records to a records centre or National Archives of Zambia. Therefore the records retention and disposal schedules in the Ministry of Housing and Infrastructure Development (MHID) are generally comprehensive. On the disposal methods or actions, the study revealed that transfer to the archives, transfer to the records centre and shredding were mostly used method. Unlike findings from the study carried out by Gama (2010) which revealed burning as the mostly used disposal method, in this study burning was the least used method of disposal. However, it is apparent that due to the absence of an update records retention schedule records in the Ministry of Housing and Infrastructure Development (MHID) were rarely transferred to the records centre or archives resulting in semi-current and non-current taking up space for active records (see figure 2). This may cause delay in the retrieval of records as one has to sift through so many files to get to the needed file. The study findings revealed that non implementation, delayed implementation, unqualified staff and poor funding caused problems in implementing the retention schedules in the Ministry of Housing and Infrastructure Development (MHID). Some registry staff were said to be generally fearful of implementing the retention schedules particularly ultimate destruction even in cases where directions in the schedule so requires. Delayed or non-implementation of the records retention and disposal schedule has a negative impact on the records management program as whole. Implementing a records retention and disposal could probably help the Ministry registries regarding the budget. For example, the money reserved for acquiring filing cabinets could be used for other registry activities as the filing cabinet would have space to file more active records. 5.6 RECORD KEEPING SYSTEMS Developing an effective employee training program is vital to the long-term success of any Government Ministry. Training programs carefully planned and properly implemented provide multiple benefits for employees and the organisation (Mckay, 2014) The study (see Tables 21 chapter 4) revealed that there was a staff training program in the Ministry of Housing and Infrastructure Development (MHID) and it was mainly workshops and in-house training. Ngoepe (2008) remarked that upgrading of skills can be achieved through workshops, vendor – sponsored programmes, professional seminars and college or university-level courses. The study conducted by Hoyle and Sebina (2007) also revealed similar findings, that Records Management Systems and Policy Development department within the (PSMD) had quarterly meetings with registry supervisors including chief registry officers. The study carried out by Hoyle and Sebina (2007) further showed that (RMSPD) had conducted training courses and gave advice freely, particularly when records systems had collapsed. The duo added that a significant capacity building exercise was needed in Zambia to bring records and registry management staff into the era of electronic record and document management. There are several benefits accrued from conducting workshops and in house training for registry staff. Workshops and in house training are tailored to meet an institution’s specific needs, improves communication and builds a greater understanding between registry staff. They provide in-depth training on real-life, business-world applications and great experience for records management personnel to learn and work together in a familiar work environment. Workshops and in house training generally reduces overall training costs and eliminates travel time and expense for records management staffs. Ultimately workshop participants are very motivated (CLR, 2014). However, workshop participants may have a broad range of skills and at different levels making comprehension of some concepts challenging for some participants. At the Ministry of Housing and Infrastructure Development (MHID), for instance some registry personnel possess a certificate in Information Technology, a diploma in human resource, advanced diploma in computer engineering while those with records management others have certificate, diplomas and a first degree. This implies that those without any formal training in records management may have difficulties comprehending some concepts. Hoyle and Sebina (2008) notes in Botswana that records managers in (MDA) often had no formal training resulting in severe difficulties. They added that records management units were often viewed as dumping grounds for non-performing or hard to place employees. In case of Zambia, Hoyle and Sebina (2007) reported, that some officials in Zambia suggested that traditionally records management received low recognition in the public service and was considered to be work that could be done by anyone, regardless of skills and qualifications. Similarly ANAO (2012) established that many agency staff in Australia had not undertaken records management training for several years, and training was not tailored to meet staff needs. They observed that this contributed to records management staff not being aware of how to implement key aspects of records management programme. IRMT (1999, p127) posits that all individuals appointed to posts involving records management, whether or not they already possess a professional, paraprofessional or specialist qualification, must be trained in the specific policies, procedures and records systems. On other hand those with records management would either find the contents of the training materials superficial or too advanced. Workshops and in house training are usually conducted within a short period of time and as such it may be hard to fit everything that is intended to be covered into a single workshop especially hands-on practice for online searching. Handling large classes, in this case forty six registry staffs for hands -on practice may be difficult. Instructor resources such transparencies, presentation software and live online are required for a successful workshop and these may add to the total cost for a workshop of forty six participants in a Ministry that is poorly funded like the Ministry of Housing and Infrastructure Development (MHID) (Huber, 1997). The findings from interviews revealed that in an effort to tackle inadequate records training, Cabinet Office introduced a records management program at the National Institute for Public Administration (NIPA). It was pointed out that the training offered at UNZA was not enough as it just offered a component of records and archival management and not the entire course. This implies that the knowledge grandaunts possessed was not adequate and possibly superficial to effectively work in the registry or undertake records management responsibilities. Ill qualified staffs inevitably fail to perform to the expected standard thus resulting into poor service delivery. Nevertheless, in their study Hoyle and Sebina (2007) observed that librarians were permitted to join the registry cadre owing to the shortage of trained records staff. This is irrespective of the fact that the library training program at the university and college level included only records and archives modules. In most case library professionals have been promoted to registry supervisors and chief registry officers (Hoyle and Sebina, 2007). From the findings, the study showed that workshops should be conducted regularly for registry staff can so that the challenges encounter while executing your records management as 26 (representing 87%) of the respondents of the 30 respondents agreed to these fact in (chapter 4, table 22). So this study concluded that that the administration should make sure that work shop are held every now and then so that records managers improve their skills and enhance their knowledge. And also according to Heeks (2002; 2003) stated that a major reason for these failures is the mis-match between the current reality and the design of the future information and administrative measures that help records staff to reduce factors affecting the implementation of electronic records management could be training the registry staff, awareness campaigns for records users and workshops to be conducted regularly for registry staff. CHAPTER SIX CONCLUSION AND RECOMMENDATIONS Overview This chapter provided the conclusions, recommendations that were presented in Chapter 4 and interpreted and discussed in Chapter 5. The conclusions and recommendations provided in this chapter were guided by the research purpose, research objective, research questions and the problem that the study attempted to solve as explained in Chapter 1. 6.2 Conclusion The purpose of this study was to investigate the challenges of the management of records in government ministries particularly the ministry of housing and infrastructure headquarters, Lusaka. The research’s objectives were to assess the knowledge levels of the registry staff at the Ministry of Housing and Infrastructure Development (MHID), Headquarters; to assess the elements of the records management program at the Ministry of Housing and Infrastructure Development (MHID), Headquarters; and to establish the challenges affecting the execution of an effective records management program at the Ministry of Housing and Infrastructure Development (MHID), Headquarters. The questions included an enquiry into the knowledge levels of registry staff and the comprehensiveness of the records management elements as well as problems faced by registry staff in executing their duties. Primary data relating to research objectives was collected using the different methods such as (comprised questionnaire, face-to-face interviews and secondary sources). Out of a target population of 30 records management staff earmarked for the study, 30 took part in the study representing 100% participation. The study used a case study design and it was a total survey. Research findings showed that the majority of the records management staff at the Ministry of Housing and Infrastructure Development (MHID), Headquarters were generally knowledgeable of basic records management concepts and practices and that there was no association between knowledge levels and education and between knowledge levels and work experience. While the registries were generally adequately staffed several had no records management qualifications. Secondly, the Ministry of Housing and Infrastructure Development (MHID) registries at the headquarters lacked certain key elements of a records management program such as a records management policy and up-to-date records retention and disposal schedules resulting into an inefficient records management program. Thirdly, findings showed that the registry service manual did not provide guidance on how to manage electronic records, incoming and outgoing mail. Research findings also showed that low motivation among registry staff, lack of supplies, poor and inadequate funding, inadequate shelving and filing equipment, inadequate storage space, difficulty in locating and retrieving active and semi-active contributed to the failure by records management staff to execute their duties efficiently. A comprehensive and an efficient records management program must consist of several elements and adequate and well qualified staff. The results of the study revealed a number of insufficiencies and challenges which were affecting the records management program from attaining its intended goal of achieving efficiency and economy in the creation, use, maintenance and disposal of records. The challenges and insufficiencies included ill qualified and low motivated staff, lack of a records management policy, lack of up-to-date records retention and disposal schedule and lack of guidelines for managing electronic records. Owing to these deficiencies, the records management program at the the Ministry of Housing and Infrastructure Development (MHID) is not comprehensive and efficient hence problems such as congestion in registries, poor service delivery and low image of the registry staff. And research finding have also clearly shown that the Ministry of Housing and Infrastructure Development (MHID) registries were faced with many challenges. Delayed retrieval of active records, lack of supplies and poor and inadequate funding and low morale might affect the management of active and semi-active records. The study showed that the Ministry of Housing and Infrastructure Development (MHID) failure to develop the records management policy and records retention and disposal schedule might have contributed to poor records management in the Ministry registries. Findings on the calibre and professional qualifications among registry staff raised some concerns regarding the quality of the registry staff and their capacity to implement records management programmes in the Ministry of Housing and Infrastructure Development (MHID). Consequently inadequacies in the registry staffs capacity might have led to an inefficient and an ineffective records management program in the Ministry of Housing and Infrastructure Development (MHID) registries. Low motivation and inadequate training personnel might be indicative of poor conditions of service in the Ministry of Housing and Infrastructure Development (MHID). This raises the need for the Ministry of Housing and Infrastructure Development (MHID) to re -design registry jobs in order to motivate and more qualified employees. 6.2 Recommendations They are various insufficiencies and challenges affecting the records management program in the Ministry of Housing and Infrastructure Development (MHID) Headquarters from attaining its intended goal as they were identified and discussed in this study. Based on the identified challenges, the study suggests possible recommendations to address these problems. The provided recommendations are intended to enhancing acceptable records management practices in public registries, so that effective service delivery is realised: 1. The establishment register should be revised owing to the growth of the volume of records and the change in the administrative structure at the Ministry of Housing and Infrastructure Development (MHID), Headquarters. 2. The Ministry of Housing and Infrastructure Development (MHID) should come up with clear policies on staff career development and in-service training for all registry staff. Policies and guidelines should also be formulated indicating who is eligible to work in the registry and with what qualifications. 3. Public Service Management Division should endorse and launch a unified records management policy that would serve as a guide in good records management practices. 4. The registry service manual should be revised including chapters of the Government Office Instructions so that it could be used both as a guide and a training tool for registry staff at all levels 5. All registries within the Ministry of Housing and Infrastructure Development (MHID) Headquarters should comply with existing records management regulations as stipulated in the National Archives Act of Zambia and Government Office Instructions 6. The records retention and disposal schedule should be revised including new records series and to consistently implement the records retention and disposal schedule by regularly transferring semi-active and inactive records to records centres and National Archives of Zambia respectively. 7. Established purpose built record centres at the the Ministry of Housing and Infrastructure Development (MHID) Headquarters in order to improve the management of semi-active. 8. Increase budgetary allocations to all the Ministry of Housing and Infrastructure Development (MHID) Headquarters registries in particular in order to improve registry operations 9. Registry infrastructure should be modernized by taking into account storage environment requirements for both paper and electronic records such as fire sensors, air conditions, and humidity control systems REFERENCES Australian National Audit Office (2012). Records Management in the Australian Public Service. Available from: http://www.anao. Accessed on: 20/5/2018 Association of Corporate Counsel (n.d). Successful records management. Available from: http://www.acc.com/legalresources/quickcounsel/srmp.cfmn Accessed on: 9/5/2018 Barata, K, Cain, P and Routledge, D ( 2001) Principle and Practices in Managing Financial Records: A Reference Model and Assessment Tool. http://www.ifac.org/ Accessed on: 4/6/2018 Barry, R.E. (1994). Electronic document and records management systems: towards amethodology for requirement definition. Information Management and Technology,27 (6), 251–256. Accessed on: 27/4/2018 Bennett, R and Mannix, K (2002). Fostering Trust and Transparency in Governance: investigating and addressing the requirements of building integrity in Public Sector Accessed on: 22/5/2018 Chaterera, F (2013). Records Surveys and the management of Public Records in Zimbabwe. Harare :http://www.national.archives.gov.za/rms/best_practice.htm Accessed on: 5/5/2018 Coetzer, P.X (2012). The status of Records Management at the University of Zululand. Dissertation (MIS), University of Zululand. Accessed on: 9/4/2018 Cooper, D.R and Schindler, P.S (2001). Business research methods. 7th ed. New York: McGraw-Hill/Irwin. Accessed on: 12/4/2018 Eastwood, T. (1994). What is archival theory and why is it important? Archivaria 37:122-130. Accessed on: 1/6/2018 Information Systems in the ICT environment: a case of Nigeria. London: International Records Management Trust. Available from: http://www.irmt.org/. Career Life Skills (2014). Accessed on: 30/5/2018 Training Programs and Workshops. Available from: http://career-lifeskills.com/training-programs-and-workshops-60/ Accessed on: 1/6/2018 APPENDIX QUESTIONNAIRE National Institute of Public Administration, P.O. Box 31990, Lusaka, Zambia. Plot 4810 Dushambe Road Tel -0211 228 802/4 Email [email protected] 28thMAY, 2018. Dear Respondent, I am a student pursuing diploma in records management at the National Institute of Public Administration. The objective of this study is to investigate the the “challenges of the management of records in government ministries particularly the Ministry of Housing and Infrastructure Development (MHID), Headquarters. I am now at the stage of gathering data and your institution has been selected purposively to participate in this research. The findings of this research are purely for academic purposes. Therefore you are assured that your responses will be treated with utmost confidentiality. Nothing that can reveal your identity will be published. Your response and cooperation will be greatly appreciated. And You can contact on these number CELL :{0975857072} Thank you for accepting to be a respondent. Yours faithfully, MWAKA CHEWE, M. CHEWE. INSTURCTIONS 1. Please do not enter your name on the questionnaire 2. Tick ? against the appropriate boxes. 3. Insert or fill in the given blank spaces as required or where necessary Section A: PERSONAL DETAILS 1. Gender status a) Male { } b) Female { } 2. Age Range a) 20-24 years { } b) 25-29 { } c) 30-34 { } d) 35-39 { } e) 40-44 { } f) 45 and above { } 3. Marital Status a) Single { } b) Married { } c) Divorced { } d) Widowed { } e) Other, please specify……………………………………………………………………… 4. Academic qualifications a) Grade twelve certificate { } b) Certificate in records management { } c) Diploma in records management { } d) Other, please specify ………………………………………………………………… 5. Work Experience a) 1-5 years { } b) 6-10 years { } c) 11-20 years { } d) 21 and above { } 6. What is your position in the registry? Senior Registry Officer { } Registry Officer { } Registry Clerk { } SECTION B: CORE SUBJECT MATTERS 7. What Knowledge levels do have? a) Records management { } b) Little or knowledge about records management { } 8. Do you have records management policy? a) Yes { } b) No { } If yes to the above question who has prepared the records management policy are using in your organization? a) Ministry of Housing and Infrastructure Development { } b) Public Service Management Division { } 9. Does your department have a registry procedures manual? a) Yes { } b) No { } If yes to the above question who prepares the registry procedure manual in your organization? a) a) Ministry of Housing and Infrastructure Development { } b) Public Service Management Division { } c) National Archives of Zambia { } d) Others (please specify)…………………………………………………………………………… 10. Who undertake the records survey exercise? a) Registry staff { } b) Public Service Management Division { } c) National Archives of Zambia { } 11. What do you use the information collected during the records survey for? a) Controlling records creation { } b) Records maintenance and use { } c) Records appraisals { } d) Creating retention and disposal schedules { } 12. Does the ministry manage electronic records and e-storage devices were labelled in a standard way? a) Yes { } b) No { } 13. What problems and challenges do you encounter while executing your records management responsibilities? a) Locating and retrieving active records { } b) Lack of supplies{ } c) Poor and inadequate funding{ } d) Low motivation{ } e) Tracking and locating semi-active records{ } f) Inadequate shelving{ } g) Inappropriate shelving and filing equipment { } h) Inadequate trained personnel{ } i) Low job esteem{ } j) Lack of records policy{ } k) Lack of records retention and disposal schedule{ } 14. Do you have a vital records management program? a) Yes { } b) No { } c) Not sure { } And if so what guidelines do you use to determine vital records a) Records management policy { } b) National Archives Act { } c) Institutional policy { } d) Standing orders { } 15 what vital records protection methods are you using? a) Off-site vital records center { } b) Fire proof cabinets and vaults { } c) Digitization { } d) Duplication { } 16. Do you have a vital records management program? a) Yes { } b) No { } And what measures have you put in place to control the creation and generation of records? a) Correspondence management program { } b) Report management program { } c) Policy and procedures management program { } d) Forms management program { } 17. What filing methods do you use? a) Alphabetical { } b) Numeric { } c) Alpha-numeric { } d) Serialization { } 18. Do you have a records retention and disposal schedule? a) Yes { } b) No { } And what elements are on the records retention and disposal schedule? a) Records series title { } b) Records retention period { } c) Disposal date { } d) Disposal action { } 19. How often do you revise the records retention and disposal schedule? a) Monthly { } b) Annually { } c) After five (5) years { } 20. How often do you implement the records retention and disposal schedule? a) Weekly { } b) Monthly { } c) Annually { } And what disposition methods do you use? a) Burning { } b) Shredding { } c) Palpating { } d) Transfer to the archives { } e) Transfer to the records center { } 21. What records staff training program do you have? a) In house training { } b) Seminar attendance { } c) Conferences { } d) Workshops { } 22. What administrative measures has the Ministry put in place to reduce the problems and challenges do you encounter while executing your records management responsibilities Factors affecting the implementation of electronic records management System? a) Sensitization among users of records { } b) Awareness campaigns for record users { } c) Workshops to be conducted regularly for registry staff { } THE END THANK YOU FOR YOUR PARTICIPATION
