Records Management in Ministry of Water

MAKEREREUNIVERSITY
COLLEGE OF COMPUTING AND INFORMATION SCIENCE
EAST AFRICAN SCHOOL OF LIBRARY AND INFORMATION

SCIENCE
COURSE UNIT: RECORDS MANAGEMENT
COURSE CODE: MRAM 7102
BY DR. LUYOMBYA DAVID
STUDENTS NAME REG. NUMBER SIGNATURE
MULINDWA EDMOND 2017/HD05/1307U
A report about an overview of the records management systems and practices of

Ministry of Water and Environment submitted to Makerere University, East African
School of Library and Information Science as a partial requirement for the competition
of a Master of Science in records and archives management.
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INDIVIDUAL ASSIGNMENT
You are required to choose any organization (20+ staff) known to you and arrange an
interview with the staff member responsible for records management within that
organization. The aim of the interview is for you to gain an overview of the records
management systems and practices of the organization.
Start with an explanation of what you mean by records management. Ask questions on the
following topics:
 what are the positions of the staff with records management responsibilities? Is their
records management role full-time or part-time? what are their records management
duties?
 what is the role of the records management staff in assessing the recordkeeping
requirements of the organization and designing recordkeeping systems?
 what are the main categories of records, including non-paper records, held by the
organization
 what type of recordkeeping systems exist? How are the records stored?
 are there any procedures for separating active from semi-active and inactive records?
When and how are records destroyed?
 are records management procedures documented?
You will prepare your report/ product and present in class in 3rd week of November 2017
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TABLE OF CONTENTS
ACRONYMS ........................................................................................................................... iii
OPERATION TERMS............................................................................................................... v
ABSTRACT.............................................................................................................................. vi
1.1 Introduction .......................................................................................................................... 7
1.2 An over view of records management ................................................................................. 8
2.1 The positions of the staff with records management responsibilities ................................ 10
2.2 Is their records management role full-time or part-time? .................................................. 11
2.3 The records management duties of the records staff ......................................................... 11
2.4 The general duties and responsibilities of the records staff ............................................... 12
3. The role of the records management staff in assessing the recordkeeping requirements of
the organization and designing recordkeeping systems ........................................................... 23
4. The main categories of records, including non-paper records, held by Ministry of Water
and Environment ...................................................................................................................... 25
4.1 Operational records/subject files........................................................................................ 26
4.2 Personnel files .................................................................................................................... 31
5.1 What type of recordkeeping systems exist? ....................................................................... 37
5.2 How are the records stored? ............................................................................................... 37
6.1 The procedures for separating active from semi-active and inactive records .................... 41
6.2 When and how are records destroyed? .............................................................................. 41
7. Are records management procedures documented? ............................................................ 41
8. Challenges identified ........................................................................................................... 42
9. Recommendations ................................................................................................................ 44
10. Conclusion ......................................................................................................................... 46
References ................................................................................................................................ 47
APPENDIX I: AN INTERVIEW WITH MINISTRY OF WATER AND

ENVIRONMENT ................................................................................................................... 49
APPENDIX II: File Transit Sheet ........................................................................................ 50
APPENDIX V: File Census Form ......................................................................................... 51
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LIST OF FIGURES
Figure one showing locking file cabinets ................................................................................ 38
Figure two Showing files being shelved on open shelves ....................................................... 39
Figure three showing boxed records ........................................................................................ 40
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ACRONYMS
ADL’s : Automatic Digital Data Loggers
ARO : Assistant Records Officer
AWLC : Water Level Chart
AWLR : Automatic Water Level Chart Recorders
CCTV : Closed Circuit Television
DEA : Directorate of Environmental Affairs
DWD : Directorate of Water Development
DWRM : Directorate of Water Resources Management
ERMS : Electronic Records Management System
FIEFOC : Farm Income Enhancement and Forestry Conservation
ICTs : Information and Communication Technologies
ISO : International Standard Organisation
ITB : Invitation to Bid
MOPS : Ministry of Public Service
MWE : Ministry of Water and Environment
PMA : Public Finance and Management Act
SARO : Senior Assistant Records Officer
WFPRCS : Water for Production Regional Centers
WRMD : Water Resources Management Department
WSSP-II : Water Supply & Sanitation Program Phase II
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OPERATION TERMS
Active records: Active records are those documents currently being used by a business unit
or department on a daily or monthly basis.
Folioing: This is the process of signing folio numbers to all correspondences attached on files
for easy access and tracking.
Hybrid records management system: This is a records management system that combines
both electronic and manual records management systems.
Records: Recorded information regardless of form or medium created, received and

maintained by any organization or individual under its legal obligations or in the transaction
of its business and providing evidence of the performance of those obligations or businesses
(Ministry of Public Service Retention and Disposal Schedule, 2017).
Scheduling:This is the process of determining the period when a record must be retained in
by organsation.
Semi-Active Files; These are records that are rarely referred to in the daily running of the
business.
Weeding: This is the presses of removing or sorting out semi active records from active
records.
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ABSTRACT
The study intended to establish an overview of the records management systems and
practices of Uganda Ministry of Water and Environment (MWE). The study used
Unstructured Interview Guide, Observation and Document Review to collect data. The study
involved Senior Assistant Records Officer, Assistant Records Officer, Assistant Records
Officer and Records Assistants from MWE. The study discovered the different types of
records managed by MWE including Water supply and construction architectural plans,
Water Level Chart (AWLC), Procurement records, Agreements and statutes and others.
Further still, the study revealed MWE has experienced thatthe hybrid records management
systems presents a challenge because the records administrationis now manual and electronic
and determine which data elements, electronic documents, images, audio and video files
should become part of the legal electronic record to be kept. Finally, the study recommended
that the Registry Procedure Manual, Classification Systems, Retention Schedules that were
issued by Ministry of Public Service and provisions of Uganda National Records and
Archives Management Act 2001 must be enforced and implemented for better management
of records in MWE.
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1.1 Introduction
This study was conducted from Uganda Ministry of Water and Environment (MWE). It was
revealed by the study that MWE of the Republic of Uganda has the responsibility for setting
national policies and standards related to water, managing and regulating water resources and
determining priorities for water development and management. It also monitors and evaluates
sector development programmes to keep track of their performance, efficiency and effectiveness
in service delivery.
In addition to the above, the role of this Ministry is to oversee a number of areas that include:
development of public sanitary facilities, promotion of good practices of hygiene and sanitation
in small towns and rural growth centers, water for production both on farm and off farm, water
use and management of industries, commerce, wildlife and tourism (The Uganda Water Supply
Atlas, 2017).To fulfill all of these responsibilities, management of the records created as
byproducts is necessary for fiscal, legal, administrative, scientific, evidential and information
values.
The study went on to establish that MWE has three directorates: Directorate of Water Resources
Management (DWRM), Directorate of Water Development (DWD) and the Directorate of
Environmental Affairs (DEA). These departments are subdivided into different departments that
perform the technical activities to support the functions of the ministry as pointed out above
(Ministry of Water and Environment, 2006).
It was also established that all these departments have generated and still generating a good
number of records that call for proper attention. Records management in MWE reflects its
compliance to the national laws that are enacted to regulate records keeping. These include The
Uganda National Records and Archives Management Act (2002), Accessto Information Act
(2003), article 41 of the 1995 Constitution of theRepublic of Uganda, Evidence act cap 6,
Section13, sub-section 1of Uganda National Water act (1997) and other sections embedded in
the different acts. These acts, sections and articles mentioned directly regulate the proper
management of public records.
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Therefore, this report has been presented under different themes starting with an over view of
Records management, positions of the staff with records management responsibilities, their
records management duties, the records management staff in assessing the recordkeeping
requirements of the organization and designing recordkeeping systems, the main categories of
records, including non-paper records, held by the ministry and type of recordkeeping systems
that exist, and how are the records stored. The study report also articulates the procedures for
separating active from semi-active and inactive records, when and how are records destroyed and
finally the documentation of records management procedures.
1.2 An over view of records management
Records management is the process by which an organisation manages all the elements of
records, whether externally or internally generated and in any format or media type, from their
inception/receipt all the way through to their disposal (Ngulube 2000 and Wallace 1987).
From that point of view, Chinyemba and Ngulube (2005) assert that “proper records
managementinvolves establishing systematic controls at every stage of the record‟s life cycle, in
accordance with established principles and accepted models of records management”.Practicing
proper records management leads to good public management because government activities are
based on access to information contained in records.Therefore, a government department can
only act and make decisions if it has adequate information at its fingertips.
According to Uganda Ministry of Public Service Records Center Procedures Manual (2014) and
ISO15489 (2001), the term record was defined as any recorded information regardless of form or
medium created, received and maintained by any institution or individual under its legal
obligation or in the transaction of its business and providing evidence of those obligations or
business. Therefore, records are by-products of business transactions and are used for business
purposes (Borglund& Oberg, 2008). Contrary to this argument, Anti–Money Laundering Act
(2013) states that “a record means any material on which data are recorded or marked and which
is capable of being read or understood by a person, computer system or other device”. This act
does not acknowledge the value of the typical characteristics of a record that make it a record.
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Borglund& Oberg (2008)argue that in the many organizations the employees are aware of the
existence of records which is not the case within some enterprisesthat often talk about
information or document when by definition they mean records. From this perspective therefore,
this study discovered that MWEtries to pay attention to records created and received through
proper management.
ISO 15489 (2001) therefore defines records management as field of management responsible for
the efficient and systematic control of the creation, receipt, maintenance, use and disposition of
records, including processes for capturing and maintaining evidence of and information about
business activities and transactions in the form of records. In this context, documentation may
exist in contracts, memos, paper files, electronic files, reports, emails, videos, instant message
logs or database records. In regard to this argument, the study discovered the similar types of
records being managed from MWE. It was vividly discussed by the records keeping staff and
secretaries that the ministry generates and receives a rage of records similar to those pointed
above.
The study revealed that the Senior Assistant Records Officer based on the National Records and
Archives Management Act (2001)provisions to explain the relevancy of records management in
Ministry of Water and Environment.Although the Senior Assistant Records Officer based too
much on the provisions of this act, he was forgetful about some provisions in Uganda Water Act
(1997) which also clearly regulate some matters in relation to records keeping and access.
Basing Section 13 of Uganda Water Act (1997) it is asserted that the director may, by regulation
or by notice served on any person, require any class or type of persons, or the person on whom
notice is served, as the case may be, to keep and maintain records. This helpsMWE keep the
necessary documentation accessible for both business operations and compliance audits.
Therefore, as mentioned above, records also protect citizens‟ rights, such as their rights to
ownership of land, documented through land registration records, or their rights to pensions,
documented through employee or personnel records (Chachage, Ngulube& Stilwell 2006; IRMT
1999).
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2.1 The positions of the staff with records management responsibilities
Davis (2017)commented that defining the organizational structure for a business is a key aspect
of business planning, including staffing. Task allocation, supervision and coordination and goal
achievement are all aspects to consider when designing an organization structure for a company.
From this perspective, the study findings discovered that the records management in MWE was
also structured for the same purpose mentioned by Davis (2017). This unit is under Human
Resource Department. The Senior Assistant Records Officer reported that the records
management section is primarily designed to support the duties of the human resource
department.
According to the responses obtained from the study, it was revealed that the records management
staff are hierarchically positioned headed by the Senior Assistant Records Officer (SAROA),
accompanied by Assistant Records Officer (ARO), Records Assistant and finally Secretaries.
Figure 1: Showing the Structure of The Records Staff
Extracted from (Ministry of Water and Environment, 2006).
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2.2 Is their records management role full-time or part-time?
It was revealed by the study findings that the role of all the records management staff is a full-
time duty and their presence is monitored using a thumb print biometric technology.
2.3 The records management duties of the records staff

Senior Assistant Records Officer
It was revealed that the ministry is having one Registry working as Central Registry, Open
Registry and Records Centre. It was discovered that this registry is headed Senior Assistant
Records Officer who oversees all the duties performed in relation to records management. It was
revealed that MWE has other decentralized registries from deferent departments and branches
and are managed by secretaries.
Senior Assistant Records Officer is the top supervisor of the records management practices in the
registry. In brief, it was discovered that the Senior Assistant Records Officer performs the
administrative roles in the registry section. The study discovered that this officer assigns duties
to the records staff, writing monthly and annual reports.
It was also found out by this study that the Senior Assistant Records Officer represents the
records management department in the board meetings.
It was also discovered that is a responsibility of the Senior Assistant Records Officer to plan and
budget for the registry. Whatever may be needed by the registry is included in the plans and
budgets that are submitted to the board for approval.
The respondents also discussed that the Senior Assistant Records Officer liaises with the human
resource development to organize training for the records staff in the ministry.
The study still revealed that theSenior Assistant Records Officer is responsible for organizing a
requisitioning for the records management equipments on the behalf of the registry staff.
Assistant Records Officer
The study discovered that the Assistant Records Officer performs all the duties of the Senior
Assistant Records Officeron her behalf. In the absence of the Senior Assistant Records Officer,
the Assistant Records Officer takes the responsibilities.
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Assistant Records Officer and Records Assistants
According to the study findings, Assistant Records Officer and Records Assistantsperform the
basic activities of records management in the ministry. These include creating file, indexing,
sorting, dispatching outgoing mails, receiving incoming mails and others as they will further be
explained in details.
It was also discovered by the study findings that in all the departments with action officers there
are Secretaries. In relation to records management, secretaries perform secretarial work f typing
correspondences as per instructed by the action officers.
2.4 The general duties and responsibilities of the records staff

Wallace and Schbert (1992) tries to explain the core responsibilities of records staff in all
organisation. These responsibilities include planning, administering records to facilitate that they
are safely handled and so many others. in relation to this argument, the study revealed that
generally, all the records staff holistically perform the following duties as far as records
management is concerned.
Receiving incoming correspondences
This is the first duty of the records management staff in this ministry. It was admitted by the
Senior Assistant Records Officer that the main activities at this stage include; receiving incoming
mails from clients mainly from line ministries, Local governments, and Government agencies.
The study reported that Delivery Books are being signed as a control tool to document the
evidence that a correspondence has been delivered and received. It is sinned by the staff who
receives and person who derivers a correspondence.
The records officer insisted that the procedures of receiving the incoming mail, is handled in
relation to the following guidelines as prescribed by the registry procedures issued by Ministry of
Public Service (MOPS);
When the mail reaches the counter, and is addressed or copied to the Permanent Secretary, we
open and read it. In doing so, the officer said that they were instructed to find out the following,
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 Before opening is it in good condition/not torn?
 Is it really addressed to the Permanent secretary?
 Is it dated?
 Are dates correct?
 Is it signed?
 Is the information flowing?
If it possesses such features, it gets stamped to acknowledge its receipt and it is put in incoming
mail tray pending to be listed in Incoming Mail Register. More so, a Delivery Book is signed as
evidence of transaction. According to this respondent, the any mail which is not dated, and
signed, is not supposed to be received. Mails addressed to private individual and those addressed
to other ministries and agencies are not opened before their destination.
Dispatching correspondences
This records management duty controls all outgoing mails from the Ministry directly to the Local
Governments, line ministries and Government agencies. The records officer mentioned that this
activity is very crucial and needs maximum attention because once wrong information is
delivered out of the Ministry it may become a basis to tarnish its name especially records
department. So, these are the main activities associated with Dispatching correspondences as it
was noted by the respondents;
Proofreading.We have to read through all the outgoing correspondences /mail to checkout
errors in the contents concerning grammar, spellings, dates, signature typing errors and
addresses.The records officer said.He goes on to assert that "once mistakes are detected in any
correspondence, we are instructed to return it to the action officer who created it for corrections
before its dispatch".
Recording of dispatch letters.It was confirmed by the respondents that it is an important duty to
record all letters dispatched in the Dispatch Register by capturing details like the date of
dispatch, the subject of the mail, the address where it is supposed to be sent. This record is used
as a control tool to prove that a given correspondence was dispatched from the Central Security
Registry and in case mistakes are encountered, the registry may be questionable and responsible.
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Packaging dispatch letters.During an interview with the records officer, it was described that
Packaging dispatch letters involves inserting outgoing mail in reasonable envelopes and
indicating the address where the mail was going. These envelopes are headed with “MINISTRY
OF WATER AND ENVIRONMENT” which confirms the sense of ownership and where the
mail comes from (authenticity).
Filing outgoing mail.According to the findings of the study, it is important to note that a
dispatch letter is produced in triplicates (three copies) where the original which is supposed to be
delivered is headed, and other two photocopies are not headed. It was discussed by the records
officer that one copy is filed from the registry in the Subject File and another one is filed in the
respective file. All of this is done to aid the proof of action. According to the description made
by the respondent, the study discovered that the reason of the two copies to be without headings,
is that incase such a mail follows into the wrong hands, one cannot use it to tarnish the functions
and operations of the ministry.
Delivering mail out of the Ministry.This was the last responsibility of dispatch, which involves
traveling of different distances to deliver mail to their designated destinations. The officer noted
that this is done using a Delivery Book where all delivered letters are recorded and signed by the
receiving organizations from their respective registries.
Classification of records
Classification as a records management activity involves grouping of records, which document
related subject matter together, and assigning them identifiers.The Assistant Records Officer
described. The study discovered that there are two categories of classification used in MWE.
That is to say, subject file classification and personnel file classification. It was also found out
that classification of files aids both filing and retrieving of records whenever needed. From this
Ministry, Primary classification is done by Action Officers and the Records Officers do the
secondary classification from the Security registry. Said the records officer.
Thestudy respondents noted that the process of subject classificationis basedon the major
functions of the Ministry in relation to its departments. For example, Administration, Records
and Information Management, Human Resource Management, Procurement and others under
which records are categorized. Records are also classified according to the directorates as it was
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noted by the respondents. These directorates include Directorate of Water Resources
Management (DWRM), Directorate of Water Development (DWD) and the Directorate of
Environmental Affairs (DEA). This helps to develop a filing system and ease records retrieval.
Sorting records
In addition to records classification, sorting is another primary duty and responsibility of records
staff in Ministry of Water and Environmentas it was revealed by the study findings. It was
discussed by the records staff that Sorting records is where records are grouped according to
activities from which they were created. So here we tried to sort out records where those from
projects, procurement, personnel, and others. This is the same way they were arranged on
shelves to aid their retrieval.The Senior Assistant Records officer said.
Filing records
It was revealed that this dutycalls for filing of records on the Subject Files that document only
the functions of the government organizations and filing of records on Personnel files that
contain the details of the public civil servants. Other related records management activities
performed include
 Attaching correspondences on files (filing),

 Dressing files,
 Closing files,
 Opening new file parts,
 Booking files, routing files and clearing files. These activities have been detailed below.
According to the respondents, filing as an activity was defined as attaching a document on files
following a particular order for preservation, retrieval and easy reference. Classified
correspondences attached on their respective files depending on the class. We have to first read
through the mail and relate it to the information on file to find out whether they correspond and
then we file it on top of the already filed documents and assign it a folio number.The records
officer explained. It was also observed that folioingis done starting from bottom to top where the
first document on file takes number one (1) and the last document takes the latest number (first
come first serve). It was revealed that;
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 Folio numbers help to find out if any document is missing when delivering a file to an
Action Officer and when receiving it back.
 Folio numbers aid reference where the number of the document, which needs action, is
captured on the File Transit Ladder when routing the file to ease the work of the Action
Officer as he works on a lot of documents.
Dressing files
It was vividly observed that most of the subject files managed in his ministry are bulky in size as
a result of daily attaching of documents on them. These files were aged enough in that some had
reached a level of wearing and tearing. To stop this from escalating, we used to change their
covers as one way of maintaining them. Details like the file title, file number, date opened and
closed were to be captured on the new file folder. As it was elaborated by the respondents. The
old file plan on the cover was cutoff and filed on the side of the Black Minute Sheet to keep
evidence of actions taken on the file. When the Black Minute Sheet is filled up, a new one is
added for continuity.Therefore, it was asserted by the records officer that dressing files involves
changing of the file covers and replace them with new ones in case they have aged.
Closing files and opening new file parts
Closing files and opening new file parts is one of the records management duty in this ministry.
It was discovered that whenever a file grows more than three (1.5) inches, it is closed because it
becomes heavy to handle and even some records/ correspondences might fall as the volume
might be beyond the capacity of the File Fasteners. The records officer was clear that the closed
file are given a volume number as Vol. 1and the date closed is indicated. A new file part is
opened as Vol.2 with the opening date. Details on the first volume are again captured on the new
volume. For example, the file title and file numbers must be the same. Then volume 1 refers the
user to volume 2 for more information. It was confirmed that this keeps the file in reasonable
size to protect the folios from loss, wear and tear.
Booking files, routing files and clearing files
It was discovered that when a subject file is requested for, records staff book the file by using the
File Transit Sheet as shown in (APPENDIX II) and a File Out Card respectively. Ideally, the
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records officer asserted that each file has to be with its File Transit Sheet/ File Out Card but due
to inadequate stationary, different files could share a single File Transit Sheet/ File Out Card.
Here, we capture the officer where the file is to be sent, the date taken and there is a field where
the receiver signs. The records officer noted. In addition to the same, it was explained that the
folio number that needs action is captured in red pen as R.33on theFile Transit Ladder to create
quick access for the action officer.The File Transit Ladder/Out Cards for the booked files are
filed together separately from the cleared cards for easy filemovement tracking.
Clearing of files
This is another duty of records management professionals in this ministry. Clearing of files is
done immediately after the return of the files where the File Transit Sheets/ File Out Cards that
we use to book them have to be canceled as a sign that the files had comeback to Registry‟s
custody. Canceling is done on the File Transit Sheets/ File Out Cards and on the File Transit
Ladder. This indicates that files are returned kin the custody of the records management
department.
Creating files
This study discovered that all the activities concerning the creation or opening of new personnel
files aredone by the records management staff. The records officer discussed that the creation of
new files is a process that has systematic procedures to be followed:
Indexing the file to find out if it does not exist to avoid duplication.
Recording of the file in the File Register.
Capturing of the file metadata on the file folder or file plan. In case of a personnel file, details
may include personnel names, job title and date opened as recorded in the File Register. This is
followed by capturing the same data on the Index Cards. (APPENDIX IV). Each File Index
Cards represents a file in an Index Card Box where they are filed alphabetically depending on the
name to serve as retrieval tool and aiding manual indexing.
A minute is attached an appointment letter on the right-hand side of the folder when opened
respectively and are folioed by indicating the first document on file as 1, the following as 2 and
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as correspondences accumulate the number grows big. It was observed that the folio numbers are
located in the right-handcornerusing a red pen.
As it was noted above, folio numbers are useful for referencing and providing security to the
documents on file in that one can easily tress/ find out the missing records from the file in case
one plucks it out for personal benefits. The last stage in file creation is attaching the Black
Minute Sheet where the Action Officers write their comments. So this sheet in general is used for
communication and documents are prevented from writings and keep them clean and
presentable.
File data entry
For modification of the records and information management, it was discovered that the Central
Security Registry came up with an Electronic Database System to effect their work and to
respond to technological advancement since the world has moved to digital age. In doing so,
“Rec Find 6” is an electronic system selected to be used in the Registry to manage only the File
Metadata. The major activities performed on this here include file data entry, indexing and
updating of the system.
It was revealed that records staff actively get involved in entering of the file metadata in an
electronic database including details like the name of the personnel/ file title, the carder and the
date when the file was opened. This information is very useful during quick retrieval of records,
referencing and indexing as it was noted by the records assistant.
Indexing of records
This study went on to discover that indexing involves the proper description of each file to
facilitate retrieval. It was asserted by the respondents that details like file title, date opened, date
closed, file number, volume number and location of the file are very important during the
process of indexing. It was observed that an Index Card is created to capture such details. It was
also observed that the same details are entered in the file list and electronic database. On the
other hand, the Index Headings created for the Subject Files are referred to when checking the
Subject File identifiers/ numbers. It is important to note that indexing of personal files and
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subject files is done electronically using a computer based application called “Rec Find 6”asit
was lowered by the Records Officers in charge.
Records storage
The Uganda National Records and Archives Management Act 2002 inculcates that all public
institutions should properly store records to ensure their availability. However, this act does not
regulate the provision of adequate space to accommodate public record. More still, the act leaves
out the aspects of enforcing public institutions to provide adequate storage materials for records.
Besides this argument, this study confirmed that records storage is among the cardinal duties
performed by the records staff in this ministry. It was discovered that storage facilities like
shelves and boxes are supplied to Ministry of Water and Environment to facilitate the proper
storage of records to not adequate.Therefore, according to the records officer, records storage as
one of the activities performed by the records staff in this organisation is done in the following
ways;
Shelving files
This involves the process of arranging files on the shelves. All files are assigned running
numbers during their creation and these numbers became a basic guide for shelving files.
Therefore, they are arranged in ascending order from the lowest to the highest. The records
officer explained that shelves in the Registries are metallic with adequate capacity to load a
reasonable number files without bending or breaking hence keeping the Records secure. It was
also observed that shelves were spaced professionally with pathways in between them. The
layout of these shelves created a favorable environment to shelve, retrieve, and weeding of files.
Shelving is one way of preservation of records from their enemies like water, and poor handling,
which may lead to their wear and tear during retrieval.
Boxing files
This is another activity performed by the records staff in Ministry of Water and
Environmentwhere weeded files (semi-active records) are put in boxes followed by assigning
box numbers as it may be called labeling boxes. The box number must be captured on boxes,
files and on the Records Transfer Form as it was noted by the records officer. Only acid free
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boxes were used to protect records from the threat of acidity that may subject them to
deterioration. After these activities, the weeded files are pending to be transferred to the Records
Centre.
It was discovered by this study that weeding, Listing, Boxing and Labeling files have the
following advantages;
 Weeding files creates space where the newly created files can be shelved.
 Weeding files aids the retrieval of files whenever necessary using the Records Transfer
Forms as finding aids in relation to the numbers assigned to the boxes.
 Weeding files in general gives protection to the records from dust, dirt, light and
temperature since they have to be boxed hence increasing their lifespan to cover the time
required in relation to the Retention Schedule.
Weeding files
The study revealed that this is an activity, which calls for the removal of Semi-Current Records
from the Current Records. According to the Assistant Records Officer, Semi-current Records
may be defined as records which are rarely consulted, used and refer to during thedaily running
of the business. Current Records may also be defined as records, which are frequently consulted,
used and referred to during the running of the business.
Therefore, it was explained that weeding involves activities like listing weeded files on the
Records Transfer Forms where three copies were produced. One copy is boxed, another copy is
filed from the registry and the last one goes to the originators. The contents of this form include
the File Title, Date opened and closed, Box Number, and the Action Category. It was also
asserted by the records officer that Records Transfer Forms acts as a powerful tool to control the
movement and location of records.
Shelf Reading
This is where records staff have to check out and find out if files on shelves were arranged
properly and to correct mistakes where misfiling is experienced. This activity helps to maintain
files in sequential order, solving misplacement of files and aiding file retrieval. Shelf Reading
helps to find out duplicated files and file numbers.Said the records officer. A duplicated file
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number could be assigned to more than one file which is unprofessional and in case it is found
records officers have to cancel one and assign it a new unique number. In case a file was
duplicated records officers have to marry/ merge them.So marrying/ merging files also became
an activity.
According to the study findings, marrying files involves merging of the duplicated files that is to
say, files with the same tittles, numbers, and job titles to come up with one file and shelved
where it is supposed to be.
Dusting files and shelves.
The storage section is ever subjected to dust and dirt. As we are used to carry out weeding of
files, shelving of files, shelf reading and re-assembling of shelves, we experience a lot of dust and
dirt. To keep these files in presentable manner, we have to clean them properly including the
shelves on which they are arranged using a dry cloth.The records assistant noted. She adds that
"cleaning the flow became our daily activity to maintain the place favorable for our work."
Therefore, dusting files and shelves as an activity helps to maintain records and preserving them.
File Tracking
File Tracking is another duty that must be performed by the records staff in this ministry.
According to the definition given by the respondents, File Tracking is a process of tracing the
current location of the file. This is mainly done when a file is requested for by an action officer.
When tracing the movement of a subject file, we use the File Transit sheet and the File Location
Slip is used as control tool. These two tools are used because whenever the file moves out of the
Registry’s custody it has to be booked on these tools. Booking involves capturing of the file
metadata including the file title, where it is sent, the date it is sent as captured in the File Transit
Ladder.The records officer noted. It was further explained that when the file is returned, it is
cleared by crossing these details on the Transit Ladder and on the File Transit Sheet or File
Location Slip. This shows that the file is returned to the registry custody.
File census
This involved physical counting of the files outside the Registry‟s custody. "In doing so, I
recorded a good number of files from different offices on the File Census Forms. This form has
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different fields where details must be captured. The file title, file reference number, date of
submission to the Action Officer, date of the census, the department where census was conducted
and who conducted the census". The records assistant mentioned. This activity helps the records
staff to tress the current location of the file. I refer you to APPENDIX II
Photocopying
This is a reprographic activity of records management that involves the reproduction of multiple
copies of a given document. Although the records management department had no photocopying
machine, it was revealed that records staff used to photocopy documents of different kind from
another departmentwhich had it. Examples of the documents that are commonlyphotocopied
include correspondences, Record Transfer Forms and File Census Forms. The respondent
reported that this is done to create backup for records.
Paper Shredding
This is the destruction of unwanted documents by cutting them into small unreadable pieces. It
was narrated that all the documents that are not important but may be having confidential
information are shredded before dumping them to the dustbin. “I also participate in this activity”.
Senior Records Assistant reported.
Records appraisal
According to the information obtained from the records office, Records Appraisal was defined as
a process of determining the period required to keep a given record. By using a Retention
Schedule designed and documented by the Ministry of Public Service, respondents reported that
they are able to determine the period required to keep and preserve the records. Therefore, those
with permanent value qualify for archiving and those with a short time value qualify for
destruction after their value ceases. However, it was discovered that the registry was filled with
records and the Records Assistant confirmed that no one has ever taken a stem to dispose records
by distraction. This is because the National Records and Archives Management Act
2001empowers the Director of National Records and Archives agency to approve for any
transfer or destruction of records. This is the reason given by the records staff that has resulted
into accumulation of records.
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3. The role of the records management staff in assessing the recordkeeping requirements of
the organization and designing recordkeeping systems
The study established that a system may be defined as an array of components that when
functioning together form a unified whole. In relation to records management, records
management system includes people, procedures, budgets, equipments, and facilities that are
necessary to control the records of an organisation (Wallace and Achubert, 1992).
During an interview with the records staff in this ministry, it was revealed that the records
management staff play an important role in the in assessing the recordkeeping requirements of
the organization and designing the recordkeeping systems. It was established that this is based on
the fact that records staff have the primary knowledge on what is required to effectively manage
records.
Documenting the records management system. It was revealed that the records staff are the
custodians of documenting the process of records management practices. This documentation is
an important part of a records management system. Therefore, records management policies,
procedures, manuals, retention schedules and others are the byproduct of this responsibility.
The study established that the records management staff play an important role to identify all the
stationary needed in records keeping. Respondents noted that the records staff determine the
quantity and quality of the materials needed in recordkeeping. These include the file folders, file
fasteners, and others.
In many cases, the records management staff are important when it comes to assessing the
security of the records management storage facility. It was discussed by the respondents that
providing security to records kept in an organisation is an important matter. Therefore, the
records staff take a step to find out the strength and weaknesses of the recordkeeping facility. In
doing so, it was discovered that the records management staff may intend discover whether
Closed Circuit Television (CCTV) cameras are installed, security guard is available, entrance
points are lockable and others.
It was also noted that the records management staff pray an important role in assessing the best
structure (room) for recordkeeping. It was asserted by the records officer that in case evaluating
the requirements of the records storage room.The records staff can give advice about what the
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room must have and where it must be best located. The records officer confirmed that in most
cases, things like installation of light, air conditioners, cameras, and others are done basing on
the advice of the records management staff. In general, it was argued by the respondent that such
things are requisitioned by the records management staff.
It was further revealed that the records management staff play an important role in determining
and assessing the best types of storage equipments that must be procured by the ministry.
Depending on the types of records generated, the records management staff base on this to
advise on what storage containers must be procured. These storage equipments include boxes,
cabinets, shelves, drawers and others. The records office explained.
It was still mentioned by the respondents that records staff may evaluate their performance and
give advice to the management to organize and provide on job training to the records staff as one
of the requirements to empower the records staff to meet the required standards as far as record
management practices are concerned. during a long talk with the records officer of this ministry,
it was found out that providing training to the records staff was termed as an important
requirement to improve records keeping.
Designing a records management system is not an easy task as it was explained by the
respondent. It was discovered that many systems that are designed in the isolation of the records
management staff tend not to serve the records management duties very well. The records officer
therefore confirmed that before designing a records management system the records management
staff in any organisation must be involved because they are the end users of the system.
The records management staff may be entitled to assed the functional requirements of the records
keeping system in relation to the records management duties. In doing so, it was discovered from
the Records Officer that the records management staff may be inquisitive about if the system can
allow capturing of records, storage of records, description of records, transfer of records, deletion
of records if needed, and finally retrieval of records. In the system is capable of doing these
functions, it may stand a chance to be implemented.
The records staff also participate in the assessment of the records keeping security. To avoid
challenges such as loss of records, alteration of records and access by unauthorized person, it
was revealed by the study findings that the records staff are required to examine the potential
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security of the records keeping system designed. Therefore, the respondents confirmed that the
records management staff may look at whether there are different security levels to control
access to information.
The records management staff still can assess the appropriateness of the recordkeeping system.
According to the views obtained from the respondents, the records management staff may need
to know if the functions performed by the recordkeeping system are relevant to the
organisation/ministry.
The study findings still went on to discover that the records management staff may assess the
durability of the recordkeeping system designed. The records officer claimed that it has become
common that may systems have collapsed in less than five year that puts recordkeeping at risk.
Therefore, the records management staff may become too much inquisitive to find out how long
the system may take from the time of execution.
During the processes of assessing the recordkeeping system, the records management staff may
take a responsibility to find out the reliability of the system. In case of power surge, the records
officers must suggest for the instauration of power backup to facilitate continuous running of the
records management activities.
This study discovered that it is also a role of the records management staff to assess to
compatibility of the recordkeeping system designed. The records officer said that there some
systems that may not be supported by some computer operation systems. Therefore, under this
condition, a system may be not accessible. in case a system is subjected to such conditions, the
records management staff may not advise for its implementation.
4. The main categories of records, including non-paper records, held by Ministry of Water
and Environment
It was revealed that however much technology as exploded, majority of records managed in
MWEare paper based records. This was also observed by Wallace and Schubert (1992) where it
was noted that in most organisations the majority of records are paper documents. Therefore, this
study also discovered that MWE has not yet enforced the management of electronic records due
to the fact that there is no electronic management system acquired to facilitate this.
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It was discovered that majority of records are created using Information and Communication
Technologies (ICTs) and well printed on papers and this calls for manual system of records
management which requires materials like databases to capture their metadata, shelves for
storage, folders to create files, to mention but a few. Therefore, the study revealed that
theoperational files orsubject files and personnel files as the primary categories of files managed
in this ministry as described below;
4.1 Operational records/subject files

It was discovered that subject files contain records that document the daily activities and
operations of the Ministry. Basing on this argument therefore, it was discovered that these files
are the containers of the different types of records as they are described below.
Water supply and construction architectural plans
The study findings discovered that water supply and constructional architectural drawings are
very important records that are technically created by ministry of Ministry of Water and
Environment. The respondent described while showing me the architectural plans of Gaba water
treatment plants. It was said that that the first Gaba water treatment plant was built in 1928 and
Gaba II was constructed in 1992. The study noted that in case of any fault caused by any disaster
during the operations of these plants, these plans can be referred to for quick recovery.
However, records staff in this ministry must be aware of the advice noted by Jim (2008) that
Until businesses can move entirely to the use of electronic records and adequately back up that
information, organizations will continue to remain vulnerable to all types of disasters. This is
based on the fact that disasters such as floods, fires and tornadoes can happen almost anywhere
and at any time. This statement alerts Ministry of Water and Environment to digitalize such vital
information as to create backups.
Maps
According to the respondents' ideas, it was discovered that maps are very important types of
records that are used by Ministry of Water and Environment during its execution of work.
Respondents went on to describe that such records show the different geographical areas that are
26
under influence of the ministry. In is explanation, it was revealed that such areas include butnot
limited to wetlands, waterbodies, forests, and others.
It was vividly said by the records officer that during the Joint Sector Review the State Minister
for Water launched the Uganda Water Atlas 2017 and during the JSR the State Minister lunched
the Uganda Water Atlas 2017. The Atlases gives an overview of the current water supply
situation in Uganda. The central objective of maps is to improve accuracy, validity and
accessibility of water sources information in the sector.Said the Records Assistant. Therefore,
these records are rolled and kept as records that need care like others.
Reports
This investigation found out that Ministry of Water and Environment performs a very good
number of activities and all generate reports to show their levels of achievements. These reports
are categorized as typical records generated and received by the ministry. To promote
transparence and accountability, these records are processed and preserved for auditing
purposes.The Records Officer said.
During my interview still, the records officer noted that majority of these reports document about
the functionality and equity of water supplies, sanitation and hygiene, per capita investment cost,
water quality, water storage, gender and community management, water resources management
compliance as well as activities and achievements on wetlands and forestry management,
meteorology, climate change and environmental monitoring and compliance. Above all,
research, audit and ministerial reports are also created monthly, quarterly, and annually to reflect
legal compliance. This argument agrees with NECCC (2004) where it was stated that these
records support, document, and provide evidence of a variety of governmental activities.
Budgets and plans
"All of different duties performed by different departments under different directorates in

Ministry of Water and Environment incur a lot of expenses". The senior assistant records officer
noted. Therefore, to promote professionalism, budgets are created every year to cater for income
and expenses of the ministry.
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In supplement to this matter, Ministry of Water and Environment Sector Performance Report
(2016) points out that the Budget for FY 2016/17 was prepared in a process that complied with
the revised budget cycle as prescribed in the new Public Finance and Management Act (PMA
2015). The study discovered that these kinds of records are very important because the action
officers always refer to them in case there is a need to take decisions as it was explained
byrespondents.
On the other hand however, it was discovered that Ministry of Water and Environment makes
different plans in relation to what it needs to do. These kinds of records are reference points
during the execution of the duties. The records officer noted that these plans can be about Urban
water supply, rural water supply, wetland recovery and construction of dams.
Water Level Chart (AWLC)
All the stations are equipped with simple staff gauges, which are read twice a day by the local
observers, who in turn record the readings on specially designed forms provided by WRMD.
These forms are forwarded to the ministry for better monitoring of water levels.
The records assistant commented that water levels are measured for many reasons. He noted that
daily, monthly, and long-term average water levels are used to help meet regulatory
requirements, assist with commercial and recreational navigation, operate hydroelectric power
stations, predict future water levels, and calculate changes in storage in each water source.
Therefore, these records are filed and kept and are always referred to by the technocrats. The
Records Assistant Reported. In addition to the staff gauges, most of the stations are also
equipped with Automatic Water Level Chart Recorders (AWLR) and a few with Automatic
Digital Data Loggers (ADL‟s). It was added that a German Company, A. OTT Hydrometrie has
been the main source of the AWLRs and ADL‟s. These devices are to create records related to
the readings of the water gages.
Procurement records
It was revealed by the study findings that from Ministry of Water and Environment, procurement
records include all documents relevant to the pre-tendering, tendering and contract
administration phases. It should be possible to reconstruct the entire procurement and contract
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administration processes from these records. Every event in the procurement process must be
recorded and all records appropriately filed.This is important in order to maintain an audit trail
of the requirement from the initial receipt of the procurement requisition to the closing out of the
contract.The Senior Assistant records officer said. However, Lynch (2017) also explains
procurement records in the same perspective and relates them to tendering.
According to the respondents, different companies are seen tendering for supplying water tanks,
vehicles, water pipes, water dam construction materials, and others.
The Records Officer said that the procuring unit is responsible for maintaining the procurement
and contract records of each requirement. The procuring unit develops the filing system and
maintains a complete record on the entire procurement and contract administration processes for
each requirement. However, the records officer complained that all records generated by
procurement are managed and kept by the procurement officer.
Bid documents
Linda (2014) defines bid documents as written documents that define the roles, responsibilities,
and “Work” under the construction Contract, and are legally-binding on the parties (Owner and
Contractor).
On the other hand, bid documents were described by the respondents as documents required to
be submitted in response to an invitation to bid (ITB). These include the prescribed bid form,
drawings, specifications, time lines, charts, price breakdowns, and others. Bids not accompanied
by all the required documents are considered incomplete bids, and are usually automatically
rejected. Also called bidding documents. It was established that these records are also very
sensitive and are managed and preserved for auditing purposes.
Agreements and statutes
It was revealed that agreements and statutes in this ministry are created by the Legal Department
and the other parties in interest of a given service. According to the respondents, agreements and
statutes are records that document contractual agreements between Ministry of Water and
Environment and outside vendors for professional, specialized, educational, research, creative, or
other services.
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It was further confirmed by the findings that the contracts may be for any length of time, for a
one-time performance of services, or for services provided on a continuing basis. Records of
such a kind capture terms and provisions; addenda; selection and justification statements;
authorized signature; contractor selection statements; certificates of compliance with tax laws;
statements as to availability of service; statements as to whether minority services available;
contract change orders; bids and agreements; performance bonds; instructions to bidders;
advertisements for bids; working papers; expense claim records; correspondence; and other
related records. It was also discovered that these records are created when experts are to be hired
to construct boreholes, dams, water supply, water treatment, water supply systems, and others.
These kinds of records are kept to avoid litigation.
Minutes on the meetings
In the same way Barlow (2017) described minutes, the study established that board meeting
minutes are more than a general accounting of board discussions; they serve as an official and
legal record of the meeting of the Board of Directors. The Senior Records Officer noted. The
findings also revealed that Minutes are used in a variety of ways in Ministry of Water and
Environment and other ministries including tracking progress, detailing future plans, and serving
as a reference point. Among other things, meeting minutes directly reflect a record of motions,
votes, and abstentions related to the operations of the ministry. It was discovered that such
records are processed, filed and preserved for further references.
Project records
It was further discovered that the different projects undertaken by Ministry of Water and
Environment generate a good number of records. Respondents mentioned that these record
document the time needed to complete the project, the kind of project, the funders, payments
incurred and who are executing the project. Among the projects undertaken by this ministry, the
study discovered The Karamoja Towns Water and Sanitation project, Water for Production
facilities for North, Central and South West, Farm Income Enhancement and Forestry
Conservation (FIEFOC) Programme, Water Supply & Sanitation Programme Phase II (WSSP-
II), Multinational Lakes Edward and Albert Integrated Fisheries and Water Resources, and
Management Project (LEAF-II).
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It was also revealed that some projects files managed in Ministry of Water and Environment
related to construction of 140pillot irrigation schemes. It was asserted that this is being
implemented by the four Water for Production Regional Centers(WfPRCs). Reports are
generated and forwarded to Luzira (head offices) and files, stored and maintained after
verification by action officers.
Contracts
It was established that the Ministry of Water and Environment, through the Rural Water Supply
and Sanitation Department contracted Beijing Uni Construction Group Company Limited to
construct Lirima Large Gravity Flow Scheme phase ll. The assistant records officer mentioned
that with funding from African Development Bank, this scheme was projected to serve Mbale,
Tororo and Manafwa. It was further revealed by the study that different papers were signed to set
terms and conditions required to execute the project. These papers signed are treated as records
that deserve storage and preservation for reference purpose.
4.2 Personnel files

According to the records officer of Ministry of Water and Environment, personnel files contain
records related to employees. This is in line with USA.gov (2017) where personnel Records are
defined as records pertaining to employees of an organization. The study revealed that these
records are accumulated, factual and comprehensive information related to concern human
resource and detained.
The study respondents also gave different types of records that are similar to those identified by
SMG (n.d). SMG (n.d). stated that "Complete details about all employees are maintained as
personnel records, such as, name, date of birth, marital status, academic qualifications,
professional qualifications, previous employment details, and others". These details are captured
on records of employment contain applicants past records, list sources, employees progress,
medical reports, and others. Therefore, this study discovered the following types of personnel
records that are managed in Ministry of Water and Environment.
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Job Applications
The study findings discovered that job applications are some of the records managed from Open
Registry. The records staff mentioned that an application letter is merely another name for a
cover letter, the official business letter often included with a job application and/or resume and
sent to a prospective employer. Although application letters are generally considered optional
components of applying for a job, more and more frequently, employers are singling out those
who actually take the time to write an application letter as their top picks. Therefore, application
letters for all employees are among the categories records contained in a personnel file.
Medical examination forms
It was also discovered that medical examination forms are also among the records managed in
the Open Registry. Respondents explained that a medical examination form is a type of form
which usually provides the latest overview of the detailed medical history of the employees
which includes chest x-ray, physical examination, and blood tests. In the medical examination
form, different types of questions related to the physical health of the applicant are asked.The
records assistant noted. It was also asserted that to create this type of records, general questions
are asked to understand the previous medical history of both the applicant as well as his/her
family members. Respondents insisted that this record is attached in each personnel file and is
managed with care to ensure confidentiality.
Appointment letters
It was discovered that appointment letters are also important records that are managed in the
Open Registry. The Assistant Records officer discussed that the job appointment letter is used to
inform a candidate he or she has been selected to fill an open position in the ministry. It is also a
welcome and overview letter. It was also discovered that this letter is issued by Public Service
Commission. The letter should boost the confidence of the new employee and set the tone for a
positive working relationship as it was mentioned by the records officer. These records are
attached to respective personnel filers and preserved for future reference.
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Posting and transfer letters
It was also mentioned that among the records managed in Open Registry, posting and transfer
letters are inclusive. Respondents argued that these letters are issued to allocate employees to
different government organisation. When an employee is transferred, respondents mentioned that
letters are drafted and attached to their files as a proof of this transaction.
Contract agreements
Respondents asserted that the documents that record the contract aspects of some employees are
also preserved and managed in Open Registry of this Ministry. It was argued by the Senior
Records Assistant that a contract is a voluntary arrangement between two or more parties that is
enforceable by law as a binding legal agreement. Contract law concerns the rights and duties
that arise from agreements. It was added that a contract arises when the parties agree that there is
an agreement. Formation of a contract generally requires an offer, acceptance, consideration, and
a mutual intent to be bound. Each party to a contract must have capacity to enter the agreement.
Minors, intoxicated persons, and those under a mental affliction may have insufficient capacity
to enter a contract. Some types of contracts may require formalities, such as a demoralization in
writing. All of these records were pointed out by the respondents that are kept to avoid litigation.
Personal records form
It was still mentioned by the respondents that personnel records formsare also termed as crucial
type of records that are managed in Open Registry of this ministry. Respondents mentioned that
this kind of forms capture the full details of the employees including their names, place of birth,
date of birth, their parents and so many others. This form is also attached on the files of the
employee and preserved for future reference.
Pay slips
Pay slips were also discovered as another category of records managed by Open Registry of
Office of the President. It was also revealed by the study findings that a pay slip is a paper
document issued by an employer to pay an employee for services rendered. It was confirmed by
the records assistant that employees may still receive a pay slip to detail the calculations of the
final payment amount. It is also argued by the study findings that a pay slip is a document an
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employee receives either as a notice that the direct deposit transaction has gone through, or is
attached to the paycheck. Amount of the pay, also including the year to date totals in some
circumstances.
Promotional letters
It was also revealed that Promotional letters are also among the types of records controlled by the
Open Registry of this Ministry. It was established that a promotion letter is written by an
employee of a company who believes he or she has earned the right to a higher position in the
ministry. It was further confirmed that many ministries and other government bodies look to
their own employees to fill vacancies.If employees feel they are the right candidates, they need
to make their wishes known to the appropriate people within the organisation. Such letters are
also attached to personnel files and preserved for future reference.
Recommendations
It was still established that the ministry sometimes recommends its employees through the
human resource offices. The records officer argued that these recommendations include loan
recommendation, study recommendation and service recommendation. These kind of records are
also attached on their respective personnel files for accountability.
Academic papers
It was also discovered that all the personnel files had the academic papers of the employees of
MWE as it was asserted by the records officer. Respondents went on to note that these records
are important because they document the employees level of education on which they depend for
promotion and some other job benefits.
Leave forms
It was further revealed that leave forms are also pointed as among the types of records controlled
in Open Registry of this ministry. It was discovered that leave forms are of different categories.
these include, study leave, martinet leave, sick leave, and annual leave. For better management
of the personnel in this ministry, it was mentioned by the records staff that such records are also
provided with maximum care because they facilitate accountability.
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Schisms of service
Schisms of service records were also mentioned as one of the records managed by this ministry.
It was established that the process of preparing the job description generates basic information
about the nature of the position and can be used in many aspects of personnel work, such as
performance appraisal, training programmes and disciplinary interviews. It was further
mentioned that the job description might include what is called a „person specification‟, which
defines the knowledge, skills and experience required to carry out the tasks summarized in the
job description successfully. This process involves matching the characteristics of the job with
the characteristics of the employees.
It was further clarified that a record of each job description and person specification should be
kept for at least as long as the job exists in the Ministry as it is required by Public Service
commission. It was also noted that the human resource officers should have an up-to-date copy
of the job description and be involved in any revisions to it. Each member of staff should have a
copy of his or her job description attached on the file.
Training reports
McQuerrey (2017) examined the importance of staffing management and discovered that
employees who are well-managed and receive continuing training and evaluation are better
prepared to do their jobs and to serve your customers. In the same way it was reported that
trainings are provided in MWE and they generate reports. Therefore, it was reported by the
respondents that training reports document the different trainings provided by the ministry.
The study went on to discover that the responsibility for keeping the records of induction and
initial training should be fulfilled by the records persons of the Ministry. The records assistant
noted that these records serve various purposes. Therefore, she mentioned that "at their simplest,
they can be used to confirm that all new staff have completed their training and how well they
have done.They can also be used to assess the effectiveness of the induction process and to
introduce improvements where appropriate". It was also revealed that the induction record
should be placed on the personnel file along with the application form and the letter of
appointment.
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Performance appraisals
The findings noted that records of performance appraisal are important to the ongoing
operational effectiveness and continuing development of the organisation, as well as to the
well-being of the individual members of its staff. Respondents generally noted that these records
provide evidence for the future deployment and promotion of staff as well as information about
their current performance. Appraisal Reports are probably best kept as on personnel files. The
records officer explained that the summary on the personnel file should simply record the overall
performance mark, the mark on suitability for promotion and the long-term potential mark.
Appraisal reports should be retained and attached on their respective files for further references.
Disciplinary records
It was argued by the respondents that disciplinary proceedings are recorded and attached on
personnel files. However, this may have serious consequences. It is important that from the
outset a full record of the events which resulted in proceedings should be kept as it was
confirmed by the records officer. In many cases, it should be possible to identify failings at an
early stage and take remedial measures, which may include some sort of penalty, including
demotion. A full record of disciplinary proceedings should be kept until there is no possibility of
further appeals. A record of disciplinary procedures should be placed on the employee’s
personnel file. The records officer said. It should include a date at which, subject to satisfactory
performance, it will be expunged from the record. Respondents confirmed that a full record of
disciplinary proceedings should be kept until there is no possibility of further appeals.
Dismissal records
It was also noted by the findings that staff may be dismissed either with full benefits or without
any benefits. The study went on to discover that the personnel file should contain a record of
any entitlements to pension and other benefits to which dismissed staff are entitled. The record
should be maintained until the normal retirement age, when the pension should start to be paid.
The dismissed officer should be provided with a copy of the record.
Death in Service records
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In the event of a death while the person was in service, the staff list should be amended and the
Ministry as it was stated by the records officer. He added on that the personnel department
should maintain up-to-date and accurate records of next of kin and their name, address and
telephone number, in order to communicate with them in the event of an emergency or incident.
Finally, according to the study findings, other types of record managed in Ministry of Water and
Environment include; Confirmation letters, Restructuring reports, Annual and monthly reports,
Training plans and policies, Organizational Structure, Secular standing instructions, File
registers, Public service commission minutes and Passport photos.
5.1 What type of recordkeeping systems exist?

It was found out that MWE has a hybrid records management system. A hybrid records
management system caters foe both paper and electronic records. This hybrid records
management solution combines the advantages of conventional, inexpensive hard copy Records
Management and Storage services with the latest technologies.
The respondents revealed that majority of records generated are on paper. These records are
managed using a Manual Records Management System. In addition to that, the introduction of
Electronic Records Management Systems came at the time when the ministry had created
thousands and thousands of records. So, it became hard to digitize such volumes and this called
for a hybrid records management system. To implement this, emails are received and saved on
computers and a database codenamed Rec Find 6 was also introduced in the ministry to manage
the file metadata.
The above argument is not far from that of Howard (nd) where it was stated that hybrid records
management is the management of records systems containing paper and electronic records, in
particular the configuration of an ERMS to manage paper and electronic records. Howard adds
on that for a start, most of us will have legacy paper records to manage. The volume may run
into many thousands of paper files containing millions of documents. It is often uneconomic and
undesirable to convert all this paper to electronic images.
5.2 How are the records stored?

Lockable file cabinets
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It was revealed by the study findings that confidential files are more considered and are stored in
lockable File cabinets to restrict access by any intruder. The records officer praised that lockable
file cabinets in general are good products for organizing and securing important documents in an
office. It was also asserted that a good file cabinet keeps documents safe and makes it easy to
find them when they are needed, bringing order to the chaos that piles of papers can create. It
was also established that many documents in Open Registry of MWEcontain sensitive
information that can be damaging to companies and individuals if it falls into the wrong hands.
So, it was asserted that the best way to organize and protect these documents at the same time is
to put them in a locking file cabinet.
The respondents noted that there are a handful of reasons why locking file cabinets are a wise
choice for storing confidential personnel files in Open Registry. Being aware of these reasons
underscores the importance of possessing a locking file cabinet. He stated that ''not every locking
file cabinet suits everyone’s needs for secure filing, though. That is why it is also important to
choose the right filing cabinet based on its features''.
Figure one showing locking file cabinets
(Photo taken by Mulindwa Edmond on 29 October 2017)
38
Open shelves
It is clearly stated in Ministry of Public Service Records Centre Manual (2014) that semi-current
records should be stored on shelves to facilitate access and retrieval of records. The study
findings also discovered that files are arranged on open shelves. It was observed that these files
were horizontally arranged on shelves. During an interview with the Records Assistant, it was
revealed that some of these files were alphabetically arranged basing on the names of the file
titles.
The records officer cited the National Archives of Australia 2003 that whether records are filed
in a computer or in a steel cabinet, they have to be readily accessible. However, the available
shelves are not enough to accommodate all the files created. Some files were seen being piled on
the floor that may be dangerous to them. In this condition, the records staff mentioned that
records are subjected to high level of humidity that weakens them and make them incapable to
durably accomplish the time required to be stored.
Figure two Showing files being shelved on open shelves
39
Acid free boxes
The study findings also discovered that some files are stored in archival acid free boxes. Some of
these boxes were seen piled on the floor others are arranged on top of cabinets and shelves. It
was revealedthat boxing protects files from dust and dirt as it was mentioned by the records
assistants. It was also discussed that these boxes protect records from light that can damage
them. Finally, the respondents noted that boxing these records helps to keep them together.
Figure three showing boxed records
Manila folders
It was observed that many records in Open Registry are currently kept and managed under the
traditional paper method. Manila folders are used to manage these paper records and properly
arranged on shelves alphabetically. It was discovered that each employee must have three files.
These are; confidential file, performance file, and open file. It was argued by the respondents that
these files are dressed in different color cords. The confidential files are dressed in blue manila
folders, open are corded pink and performance report files are corded yellow.
Electronic media storage
These include servers, Compact Discs (CD), Flash Discs, and computer memories. It was
discovered some records received electronically through e-mails are preserved and kept on these
medias. However, unlike the paper based records, the Record Assistant commented that there are
no clear guidelines in place for management of electronic records in MWE.
40
6.1 The procedures for separating active from semi-active and inactive records
The study discovered that Ministry of Public Service came up with the Records Retention and
Disposal Schedule that is used by all government institutions as a tool to determine what must be
current and what must be semi-active or inactive.
According to Ministry of Public Service Records Centre Manual (2014) semi-active records are
records that are required infrequently for the conduct of current businessand is determined when
there is no any recorded action taken for five years. Therefore, the records staff said that they
base on this statement to declare that a given file is semi-active.
It was noted by the study findings that all records that are rarely referred to in the daily running
of the ministry activities are potential candidates to be separated from the active records.
The study findings also discovered that once files spend over a given period of time as specified
in the records retention scheduled under the stage of semi-active they are declared to be inactive
and ready for transfer for archiving or destruction after appraisal. Deferent records have deferent
retention schedule/lifespan.
6.2 When and how are records destroyed?

Although the National Records and Archives Management Act 2001 calls for the disposition of
records by conspiring archiving and distraction, it was discovered by the study findings that
records distraction has been not yet implemented. In this perspective therefore, theAssistant
Records Officer asserted that there is no any records staff who have been confidant enough to
endorse for the destruction of any records managed in the ministry. This is the because the laws
governing records management only empower the Director of National Records and Archives
Management Agency to approve the transfer and destruction of government records. The study
It was revealed that in during this period that is full of ethical lapses everyone takes records
distraction as a risk. Therefore, all records worthy for distraction are still stored ending up
consuming space that would be occupied by other newly generated record.
7. Are records management procedures documented?

ISO 15489(2001) asserts that documentation, describing records management processes and
records systems should address legal, organizational and technical requirements. Authority for
41
records management processes, such as classification, indexing, review and disposition of
records, should be clearly stated. Therefore, the study findings discovered that most of the
records management procedures were regulated and documented though not fully implemented.
The records officer mentioned that Ministry of Public Service took a step to document how all
public records management activities must be executed.
In doing so, the records officer said that documents such as the Classification Scheme, Records
Retention Schedule, Public Registry Manual, and Public Service Records Centre Manual (2014)
were developed to provide guidance for all records management duties in the public institutions.
It was also lowered that the Records Management Policy was also drafted by Ministry of Public
Service to regulate records management activities.
The records management legislations such as the 1995 Ugandan Constitution article 41 Access to
Information, Nation records and Archives Management Act 2001and Access to Information Act
2003 were still enacted to guide the records management activities in government bodies.
Therefore, those are the primary documentations that are based on when managing records in
Ministry of Water and Environmentas it was confirmed by the records officer.
8. Challenges identified
Limited space for storage of paper based records: The study revealed that the registry was
congested with files. This is caused by the fact that the both Active and Semi-Active Records are
stored in the registry. This argument is not far from what Luyombya and Bukirwa (2013)
discovered. Luyombya and Bukirwa (2013) conducted a study about Records management
practices in oil marketing companies in Uganda and he used structured interviews to collect data
from ten companies. His findings revealed that in every company there were large numbers of
inactive records mixed with the active records. This means that many organizations may still be
victims of this circumstance.
Misfiling of records: It was also revealed that the congestion caused by the mixture of active
and semi active records has not provided a conducive environment to the records staff to attach
files on their respective files.The records officer lamented that the less paid records staff may
42
lack morale to locate a right file on which a given record must be filed. This may result into
misplacement of records and it becomes impossible to be retrieved again.
Delay to retrieve Semi-Active Files:The Senior Records Assistant honestly revealed that the
finding aids designed do not cover up the total domain of the records managed in the registry. He
asserted that these tools only cover the active records only. Therefore, retrieving files from semi-
active files is very hard. This results into taking uninformed decisions and poor regulatory
compliancy.
Opening up too many flimsy files: It was discovered that the number of flimsy files is growing
rapidly in MWE. This is due to the fact that the file tracking mechanisms are not fully
implemented. Respondents asserted that any failure to locate a file results into opening up a new
file under its name. Some files were reported to have been hidden by un ethical action officer for
their personal benefits. Others get lost from the hips of semi active files that are not well
processed. Technically, this kind of file is referred to as flimsy file. Such a condition makes
records security very weak.
The cost of hybrid records management system adopted also poses a challenge to MWE:It
was revealed further still that hybrid records management systems present a challenge because
the records administrator are now manual and electronic processes to determine which data
elements, electronic documents, images, audio and video files should become part of the legal
electronic record to be kept. Taking such decisions is very hard to the records staff as it was
noted by the respondents.
Technologies needed in hybrid records management system have accelerated records

security breach: It was mentioned by the Senior Assistant Records Officer that many corrupt
officials can delete electronic records that may be documenting information harmful to them.
The is because the records staff asserted that in MWE, action officers have the privilege to
access information from the database. In addition to un ethical action officers, some records staff
can take pictures of confidential information and they share it on social media such as
WhatsApp, twitter, hysterogram, and others. This makes information security at risk.
Technological obsolescence:A complain was also raised that the technologies needed to mange
electronic records are subjected to obsolesce due to the rapid technological advancement.
43
Therefore, now hardware and software are introduced on the market and it requires MWE to
organize training to the record staff that is very costly and time consuming. The records staff also
mentioned that even the legacy systems require to be replaced with new ones hence increasing
costs for the management of records.
Poor resource allocation to the records management unit. It was established that the budgets
prepared by MWE are unfair to the records section. The angry Senior Assistant Records Officer
lamented that since he joined this ministry, resources are not equally distributed. For this matter,
the records section gets the smallest share. This is the reason why we do not have adequate file
folders to dress and replace the worn-out files, adequate standard boxes to store semi active
records and enough shelves and cabinets to property arrange files. Worst of all, the space would
have been increased to create a conducive environment for our work.The Assistant Records
Officer said.
It was discovered that some officers are seen hiding records and confining them to themselves
and only transfer them to the registry when they need space. This is very challenging to the
records staff because they face a problem of resorting such records to process them for filing and
storage.
As mentioned above, it was vividly observed that most of the subject files managed in his
ministry are bulky in size as a result of daily attaching of documents on them. These files were
aged enough in that some had reached a level of wearing and tearing.So the records staff do not
follow the file limit.
In general, all of these challenges have become a stumbling block to the safe management of
records in MWE.
9. Recommendations
The Registry Procedure Manual, Classification Systems, Retention Schedules that were issued
by Ministry of Public Service and provisions of Uganda National Records and Archives
Management Act 2001 must be enforced and implemented for better management of records in
MWE.
44
MWE must direct its efforts on the Electronic Records Management System so solve the
challenge of inadequate space needed by the registry staff to manage paper records. This is
because Electronic Records Management System (ERMS) does not require such a big space to
store millions of information.
To create space in the registry for the newly created and received records, MWE must schedule
its records. Those worthy archiving must be transferred to the National Archives. Those whose
value has ceased they must be schedules in according to the Retention Schedule issued by
Ministry of Public Service. In case the director is not aware, an official request must be arranged
approve the transfer of record to National Archives.
MWE should be fair when it comes to resource allocation. The records section must be
considered in advance because it controls the memory of the organization. Therefore, adequate
funding must be ensured to make supply of requirements such as shelves, cabinets and stationery
very easy.
The performance of the records management programme should be audited. Auditors can
contribute to better records management by noting and drawing the attention of Accounting
Officers to cases of weak and inadequate record keeping practices. Auditors should objectively
indicate where there is non-compliance with the requirements for good records management.
Auditing and measuring the implementation of the appropriate records management strategy
against agreed standards should periodically be conducted to improve the standards. If
weaknesses are found, training and guidance on legal and ethical responsibilities and operational
good practice for all staff involved in records management should be provided. In case that is
done, effective records management will be ensured because training and guidance enables staff
to understand and implement policies, and facilitates the efficient implementation of good record
keeping practices.
The top management must provide support to the records management unit. This involves
motivating the records staff in the same way as other employees. Approving the plans designed
by the records unit must also be put in consideration.
45
MWE must ensure that the location of each record let it be Active or Semi Active needs to be
recorded and updated at every movement of the record. This ensures that records, as assets, can
be accounted for in the same way that the other assets of the public office are. Staff members
should update the records management software/file register or notify the records manager or
equivalent position/team when passing records on to another officer. Generally, current hardcopy
records should be stored in designated storage areas for current records with access restrictions
as.
10. Conclusion
Based on the above findings on management of records in MWE, it is clear that records are
important tools when enhancing the performance of any organisation. When records are kept and
utilized appropriately, execution of duties is likely to be easy and effective. Records control also
enables office managers and administrators to be confident to their responsibilities and work
conscientiously towards the achievement of organizational objectives. However, despite the
crucial role played by records management, there is it was discovered that many MWE pays little
attention to the management of records and handle recorded information carelessly without
realizing that records constitute a major resource compared to finance, people, money and
equipment.
46
References
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Borglund, E. A. & Oberg, L. (2008). How are records used in organizations?. Information
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October 2017)
Davis, S. S. (2017). Organizational Structure & Staffing. Retrieved November 12, 2017, from
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International Standard Organisation. (2001, September 15). Information and documentation

Records management. Retrieved November 12, 2017, from ISO:
http://www.wgarm.net/ccarm/docs-repository/doc/doc402817.PDF
IRMT. (1999). Principles of records and archives management. London: International Records
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Jim, K. (2008, July 18). Vital records and business continuity planning. Retrieved November 15,
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Linda, Y. (2014, October 1). What are the Construction “Contract Documents”? Retrieved
November 15, 2017, from EJCDC : https://www.ejcdc.org/construction-contract-
documents/
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Luyombya, D. and Bukirwa, J. (2013). Records management practices in oil marketing
companies in Uganda. Sage, 30(1) 70–79. Retrieved from
http://journals.sagepub.com/doi/pdf/10.1177/0266666913475686
Lynch, J. (2017). Procurement Record Keeping. Retrieved November 15, 2017, from The
Procurement ClassRoom: https://procurementclassroom.com/procurement-record-
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Ministry of Public Service Uganda, (2008). Records Management Policy. Kampala: Ministry of
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The National Records and Archives Act, (2001). Kampala: Government of Uganda.
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United States government. (2017, February 15). Federal Personnel Records and Employment
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Water Act (General Rates) Instrument, (2006). Kampala: Government of Uganda.
48
APPENDIX I: AN INTERVIEW WITH MINISTRY OF WATER AND ENVIRONMENT
I am Edmond Mulindwa, a student at Makerere University pursuing a Master of Science in

Records and Archives Management (MCS. RAM). As part of the programme, I am conducting a
study on the topic, to establish an overview of the records management system and practices in
this organisation. This is a kind request to have an interview with you. Your responses will be
used only for this academic excursion and not for any other purpose.
Thank you and God bless you.
1. What are the positions of the staff with records management responsibilities?
2. Is their records management role full-time or part-time? What are their records
management duties?
3. What is the role of the records management staff in assessing the recordkeeping
requirements of the organization and designing recordkeeping systems?
4. What are the main categories of records, including non-paper records, held by the
organization?
5. What type of recordkeeping systems exist?
6. How are the records stored?
7. Are there any procedures for separating active from semi-active and inactive records?
8. When and how are records destroyed?
9. Are records management procedures documented?
10. What challenges are experience when managing records in this Ministry?
49
APPENDIX II: File Transit Sheet
File Transit Sheet
SECURITY GRADING FILE NUMBER
(Upgrade as Necessary)
FILE TITLE
INDEX HEADINGS
PREVIOUS FILE NUMBER SUBSEQUENT FILE NUMBER
Sent To Date Sent To Date Sent To Date
50
APPENDIX V: File Census Form
File Census Form
DATE________________
File Ref Number File Title Location/Officer
SIGNED _______________________________ INITIALLED __________________________
51

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MAKEREREUNIVERSITY

COLLEGE OF COMPUTING AND INFORMATION SCIENCE

EAST AFRICAN SCHOOL OF LIBRARY AND INFORMATION

COURSE UNIT: RECORDS MANAGEMENT

COURSE CODE: MRAM 7102

BY DR. LUYOMBYA DAVID

STUDENTS NAME REG. NUMBER SIGNATURE

MULINDWA EDMOND 2017/HD05/1307U

A report about an overview of the records management systems and practices of

APPENDIX I: AN INTERVIEW WITH MINISTRY OF WATER AND

ARO : Assistant Records Officer

AWLC : Water Level Chart

AWLR : Automatic Water Level Chart Recorders

CCTV : Closed Circuit Television

DEA : Directorate of Environmental Affairs

DWD : Directorate of Water Development

DWRM : Directorate of Water Resources Management

ERMS : Electronic Records Management System

FIEFOC : Farm Income Enhancement and Forestry Conservation

ICTs : Information and Communication Technologies

ISO : International Standard Organisation

ITB : Invitation to Bid

MOPS : Ministry of Public Service

MWE : Ministry of Water and Environment

PMA : Public Finance and Management Act

SARO : Senior Assistant Records Officer

WFPRCS : Water for Production Regional Centers

WRMD : Water Resources Management Department

WSSP-II : Water Supply & Sanitation Program Phase II

Records: Recorded information regardless of form or medium created, received and

1.2 An over view of records management

Figure 1: Showing the Structure of The Records Staff

Extracted from (Ministry of Water and Environment, 2006).

2.3 The records management duties of the records staff

Assistant Records Officer

2.4 The general duties and responsibilities of the records staff

Receiving incoming correspondences

 Attaching correspondences on files (filing),

Closing files and opening new file parts

Booking files, routing files and clearing files

Recording of the file in the File Register.

File data entry

Dusting files and shelves.

4.1 Operational records/subject files

Water supply and construction architectural plans

Budgets and plans

"All of different duties performed by different departments under different directorates in

Water Level Chart (AWLC)

Agreements and statutes

Minutes on the meetings

4.2 Personnel files

Medical examination forms

Personal records form

Death in Service records

5.1 What type of recordkeeping systems exist?

5.2 How are the records stored?

Figure one showing locking file cabinets

(Photo taken by Mulindwa Edmond on 29 October 2017)

Figure two Showing files being shelved on open shelves

(Photo taken by Mulindwa Edmond on 29 October 2017)

Figure three showing boxed records

(Photo taken by Mulindwa Edmond on 29 October 2017)

Electronic media storage

6.2 When and how are records destroyed?

SIGNED _____ INITIALLED