principles of records management mushi
TRANSCRIPT
SUBJECT: Principles of Records Management I
CODE: RM 511
CLASS: TCRM
Semester: I
FACILITATOR: MUSHI, S. 0715 98 95 17
DURATION: Six Months
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Records management covers the management of
records regardless of age, form and medium to meet the
needs of private and public sector organization and the
wider society as well as the research community.
This topic therefore seeks to make students understand
all terms related to records management and
development of records management from the
worldwide perspective to a narrow perspective of
records management in Tanzania.
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Records can be defined as information captured by
individual, organization or institution in whatever
media and form for carrying out business.
Or Recorded information of any kind and in any
form, either originated or received by an
organization. Include papers, correspondence, forms,
books, photographs, films, sound recordings, maps,
drawings, and other documents.
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Therefore records are recorded information
regardless of form or medium, created, received and
maintained by an institution or individual in the
transaction of business
Records management
Is the systematic control cords in their entire lifecycle
i.e. from creation up to the disposition of records. It
ensures that records is available at the right time, in
proper way and in an authorized person
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Records Manager
A person assigned primary responsibility for the
records management program.
Records keeping
A process of maintaining, distributing, indexing and
storing records for their proper use. The processes of
creating and maintaining complete and accurate
records of business activities
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Public records record created or received and
maintained in any public sector agency.
Private records.
Records created or received and maintained in
any private or non-governmental organization
such as organizations, families, or individuals
relating to their private and public affairs.
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Information can be defined as the processed
data which have complete meaning for
decision making
Data is incomplete information collected for
interpretation. Or refers to the collected facts
to be analyzed.
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File An organized physical assembly of documentsgrouped together for current use. Or an organizedphysical assembly (usually within a folder) forcurrent use because they relate to the same subject,activity or transaction.
Records Centre a low-cost facility for the controlledmaintenance, retrieval, and disposal of inactiverecords. A commercial records centre, operated by aprivate company, houses records of manyorganizations on a fee basis.
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A building or part of a building designed for thelow-cost storage, maintenance, andcommunication of semi-current records pendingfor their ultimate disposal.
Active/current Records
Records regularly used in day to day operation ofan organization and are kept in the records office/place of origin. Records providing current or mostrecent information.
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Semi-current recordsRecords required infrequently in theconduct of current organizationalactivities, are kept to the records centre.
Non-current recordsRecords no longer needed for currentbusiness. Are destroyed or transferred tothe archive.
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Administrative Records
Records documenting the daily operation and
administration of an office.
Archival Records
Records of enduring value, documenting the
history and the development of the
organization.
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Archives
Are records usually but not necessarily noncurrentrecords, of enduring value selected for permanentpreservation.
Refers to place or building/ room/ storage area wherearchival materials are kept.
It refers to the organization responsible forappraising, acquiring, preserving and makingavailable archival material.
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Appraisal is the process of determining the
value of records for further use, for whatever
Disposal
The final removal, whether for destruction or
formal transfer to another agency, e.g., records
storage centre or archives, of records that have
reached the end of their retention period.
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Disposition
Refers to the action that are associated withimplement decisions about the retention ordestruction of records.Any means of changing the location orphysical format of the records. Includesdestruction by shredding or recycling,digitizing, microfilming, duplication, ortransfer.
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Vital(Essential) Records
Records essential to resume or continue operations of
the organization, including records necessary to
recreate the organization’s legal and financial
position, and to fulfill obligations to the organization,
its students and employees, and to outside parties.
Format
The physical form in which material appears – books,
slides, photographs, film, recordings, etc.
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Legal Value
The usefulness of records as evidence
supporting an organization’s transactions,
activities, claims, and obligations.
Life Cycle of Records
the records management premise (argue) that
records pass through three stages: creation,
maintenance and use, and disposition.
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Medium(Media)
The physical form of recorded information. Includes
paper, film, magnetic tapes and disks, CDs, etc.
Non-Record Material
Material that does not need to be filed or that can be
destroyed after a short retention. Includes drafts,
worksheets, routine replies, and extra copies of
documents created for convenience.
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Record OfficeThe office assigned responsibility for custody and maintenance of specific records. Generally the office in which they were originally created and filed.
Official FilesOriginal records, including official copies of outgoing correspondence, that document policy, operations and programs, property, financial transactions, and legal obligations of the organization.
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Records Retention ScheduleA comprehensive schedule of record series (by office or department), indicating for each series the length of time it is to be maintained in office areas, in a records centre, and when and if such series may be digitized or microfilmed, destroyed, or transferred to the Archives.
Records ValuesThe usefulness of records for operating, administrative, legal, fiscal, and historical purposes.
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Retention Period
The length of time records must be kept before
they are eligible (qualified) for destruction or
archival preservation. The retention period begins
at a cut-off date (e.g., the end of the fiscal,
calendar, or academic year) or is triggered by a
cut-off event, such as a termination of
employment, contract closure, etc.
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Subject File a file in which documentsare arranged by subject. Not to beconfused with a case file.
Transfer, the change in physical custodyof records from one organization or unitto another, e.g., from an office to arecords center.
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Records management is relatively a new
concept. Records management was
unheard until the mid twenty century. But
records management as function as
existed for some seven thousands years
7000BC.
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The first records was produced or created by
the people of Sumerian Civilization around
5000BC records produced in this were by only
who created them as the one who can use them
. Sumerian records were deal with business
matters such as taxes, loans and inventories
these records were managed by temple
present.
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During new empire in Egypt (1530-1030BC)
creating and managing Records was a
significant government operation. In
Babylonia Records Management become an
Government important function during the
regime of those Hammurabi and
Nebuchadnezzar (630-324)
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The records ancient Civilizations were housed/kept in
Libraries of rulers and such records were based on
different matters such as Science, Medicine, Business
and Religion.
As centuries passed records media changed such
records (ancient) were written/ documented on:-
Clay, Animal skins, Papyrus and apartment and this
in turn slowly give a way to paper
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In 1200AD Case file system was established in Rome
(Italy). And started regarded record retention, Rome
also in the same year enacted/passed statuses/laws on
retention and Disposition of Records. Therefore Italy
established the Registry in 15thC, the two major
function of the Registry system were Recording all
incoming and outgoing mails.
France established the “National Archives” in 1789
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In 1838 the British Public office act waspassed, establishing principles of centralizepublic office (Registry) for all her office underdirection of Records administrator.
In 1877 a British order cancel authorizeddistraction of value materials and in 1889 thefirst Records was disposed Act was passed bythe United States congress.
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In 1934 the National Archives of United States was
established and the life cycle concept was developed.
The achievement of the U.S National Archive was its
initiative to develop the “Lifecycle concept of
Records”, the development of the “lifecycle concept”
ended the idea that Records Management was a
function of sporadic and unrelated effort but instead it
became an organized and logical function of
Creating, Using, Maintaining and Disposition of
recorded information.
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During colonial administration Germans created a lot
of records many of them were destroyed during the
1st ww.
After the overthrow of the Germans the British took
over from 1912-1961 and they established number of
offices which were known as BOMA.
They introduced regulations regarding the
management and disposal of records e.g. Destruction
of old records
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a) Administrative phase that created records
i) Colonial Administration
ii) National Administration
i. Colonial Administration involved
i) Germany Colonial Administration
ii) British Colonial Administration
ii. National Administration
i. After independent during the Arusha Declaration
ii. During the Public Service Reform Program
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Records management practices in Tanzania during
Germany Colonial Administration/era.
◦ Records Management in Tanzania can be traced
back from 1905-1912 whereby the first Colonialist
to rule Tanganyika were Germans between1905-
1912.
◦ Germany took hold of the whole Tanganyika and
established their colonial government offices all
over the country.
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During colonial administration Germans created a lot
of records, many of them were destroyed during the
1thww. Here the creation of records was based on the
Prussian Administration in Berlin.
All file were classified by function being dealt with.
There was no orderly Registry System that is there
was no systematical control of records i.e. from
creation to disposition.
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After the overthrow of the Germans the British took
over from 1912-1961 and they established number of
offices which were known as BOMA.
There was a Registry system centralized in the office
of the Chief Secretary, whereby creation of records
was based on Westminster Administration.
Records files were classified by numbers.
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Dispatches were made in volumes.
Regulations for records disposal were put in place.
They introduced regulations regarding the management and
disposal of records e.g. Destruction of old records.
In 1952 they introduced a new registry standard plan which
followed the colonial office management system of classifying
records by subject
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In 1961 Tanzania got her independence from Britishrule.
It inherited the governmental structure whichemployed three levels of administration namelyCentral Government, Regional and Local authority.
Ministries, departments, Agencies and publicinstitutions at these levels of administration generatedhuge amount of records which to maintain to transactgovernment business.
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The records/Registry system remained the
same, so many records were created as
Government activities increased.
The Government ultimately failed to
effectively manage her Records.
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As dynamic government institution local
authorities the colonial and independent period
have also created a considerable amount of
records such as Administrative, Financial,
Agricultural and economic records which led
to increase mass of paper as a result
documents were regularly misplaced and
difficult to locate fills when require, financial
audit could not be carried out effectively to
loss of several public records.1/5/2015MUSHI SYLVANUS, L.
Due to those problems, soon after
independence the Tanzania government
realized that the creation of an institution
which will govern and improve the
management for the public records were
necessary. The institution was the Tanzania
National Archive (TNA) established in 1964.
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Records practices After Public Service Reforms (PSRP)
After independence 1961 there was poor of records in
Tanzania. After 36 years of independence had broken down
with mass of paper records causing severe retrieval
problems.
Records Management was in very bad state/ condition
which undermined public administration civil service
operation and Government efforts to make or bring change.
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A research was conducted which showed/displayedthe above anomalies in Tanzania, Uganda, SierraLeone, Ghana and Gambia.
The Government decided to seek assistance of theoverseas Development Agency (ODA) in UK.
The ODA advice the government agreed to follow theefficient and effectiveness Records Managementsystem.
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The ODA secured the Service of the InternationalRecords Management Trust (IRMT) to come andoverhand the old system.
The government made the IRMT part of the PSRP andthus, it became a project.
The ODA undertook project to assess the severalty ofthe problem and discovered that external assistancewould not be of any help unless the government tookstep address a range of institutional issues.
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Misplacement of records
Failure to locate records
Loss of Government records
Failure to evaluate Government project and
development programs
Failure to carry out financial audits
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Records Management matters were consolidated into
one Department
A Records Management Unit to provide for effective
Registry Service in 1997 was created and budgetary
provision for development and recurrent costs was set
aside.
The government moved the Tanzania National Archives
to Public Service Management in the President’s office.
It stabled the records management section within the
public service department.
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A new record management system was created
(Keyword system).
Anew Registry procedure Manual came into
being.
A backlog of closed files was cleared.
Storage facilities for semi-current records
came into being and a central storage facility
in Dodoma for the purpose was being built.
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Technical Professional and managerialcapacity within the Records and ArchivesDivision has been strengthened. Orstrengthening of records management trainingcapacity within the Civil Service TrainingCentre (CSTC) currently TPSC.
Introduction of efficient and effective recordssystem procedures.
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Registry management unit/ Department toprovide effective Registry services was createdbudgeting provision and cost was also set.
It established the records managementActNo.3/2002.
A new Registry Procedure Manual was alsoestablished in 2002.
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GET THE ANSWER WHY YOU
ARE IN THIS WORL THEN STEP
FORWARD TOWADS YOUR
POSITION TO SOLVE OTHERS
PROBLEMS
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Introduction
The records a concept in common use. It
indicates that records are not static, but they
have a life similar to that of biological
organism and that records becomes less
important as time passes.. There for after the
end of this topic learners are expected to have
acquired knowledge on the lifecycle concept
of records with its advantages.
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The lifecycle concept of records is analogy from the
life of a biological organism, which is Born, Lives
and Dies. In the same way a record is created, used
for so long as it has continuing value and the
disposed of by destruction or transferring to an
archival institution.
In the simplest version of the lifecycle concepts three
biological ages are seen as the equivalent of the three
phases of the life of records.
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Records lifecycle is the life span of records
from creation to disposition or from birth to
death. Records have a life similar to that of
biological organisms; they are born Creation
stage. This is when records are received or
created by an organization or individuals. They
live (active stage) this is when records are
always used to transact organization business.
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It grows old (semi active).This is when records
are maintained and kept for reference purpose.
Finally the records die (non active stage). This is
the last stage of records when the decision is
made whether to destroy the records or to keep
them for permanent preservation.
Therefore after creation, records pass some stages
includes Active Stage, Semi-Active Stage, and
Non Active Stage.
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1. Active stage.
This is when records are readily available totransact the daily business of an organizationand are stored in the records office or registry.
Active / Current Records: are recordsregularly used by the organization andtherefore maintained in their place of origin.
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Features of active stage.
Records received from outside from outside the organization or created by the organization.
Records are frequently used it and it gain highly value.
Stored in records office within the organization.
Custodians are professional records staffs and secretaries.
Records are used to transact organizational business.
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Records are kept as evidence of the transaction.
Its management requires registry/records office procedures.
Should be correctly reflect what is being communicated.
Records Should be authentic.
Records Should be usable.
Records Should be reliable.
Records Should be protected against unauthorized alteration.
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This is when records become rarely used and used
for reference purpose, such records are stored in
Department record Centre or Archival institution.
Semi –Active / semi Current Records
Are records required so infrequently in the
conduct of current organizational activities, thus
they should be transferred from the records centre.
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Reference, legal, financial value.
Stored in records centers.
Records received from records office
Records are used as reference material by the
originating office.
Records are kept as evidence of the transaction
Its management requires records centre
procedures.
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Records Should be authentic.
Records Should be usable.
Appraisal decision/review should
take place at this stage.
Records should one day be
transferred to archival institution or
destroyed.
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Non-Active Stage/ Final Disposition
This is when the time when records stop from
transacting daily business of an organization.
Non Active Records
These Are records which are no longer needed
by current or day to day organizational
activities.
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As most records destroyed (95-97%) therefore only3-5% of the records are retained not usedregularly.
Kept for reference, legal, evidential, historical, artifact and research purpose.
Records received from records offices and records offices and records centers.
Stored in archival repository
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Records can be accessed by the public if
required.
Its management requires archival finding aid
which are user friendly instructions
Its retrieval requires archival finding aids.
Records should correctly reflect what was
communicated.
Records should be authentic.
Records should be usable.
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Primary/Initial Lifecycle
Secondary/Archival Lifecycle
Storage of records during their lifecycle;-
During creation and active Phase;-In the Registry
During semi-active Phase;- In the Records Center
During the Inactive/Non- current/Non active
Phase;- In the Archives.
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Creation
Distribution and use
Maintenance and Storage
Transfer
Disposition
N: B. Disposition signals the end of the Primary
Lifecycle and the beginning of the Secondary
Lifecycle as it is for a human being, that when he
dies, he is believed to acquire eternal life.
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Collection and Acquisition
Identification and Appraisal
Arranging and Description (Documenting)
Conservation and Restoration
(Maintenance)
Access and Reference Services
Outreaching Services/Activities
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Helps the records managers to have clearperspective of managing records as a continuousprocess whereby each stage compliment the other
Helps the records managers to make a priordecision whether to create a records or not bymaking judgments of the value of records andinformation that is present
Helps the records managers to make retentionscheduling of the records at the right time andappropriately
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Helps the records managers to understand in
advance in what media the records could be
created, e.g.; in paper forms or electronic
records, this also will help to determine
appropriate means of storage.
Helps the records managers to recognize the
value of records at each stage.
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Records continuum model was developedbetween 1980’s-1990 of respond of critin. Incontinuum model there is no separated steps.(Perspective of activities they document, records)
In this model, the Records management is viewedas a continuous process from the moment ofcreation, in which archivists and records managerare actively involved at all points in thecontinuum (Bantin, 1998).
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This model was introduced as an alternativemodel because of the emergence of electronicrecords.
The term continuum model sees as recordsmanagement as the whole extent of a recordsexistence.
It refers to a consistent and coherence regime ofmanagement process from time of the creation ofrecords and before creation in the design ofrecords keeping system through to thepreservation and use of records as archives.
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What records to be captured to provide
evidence of activities?
What systems and rules are needed to ensure
those records are captured and maintained?
How long the records should be kept to meet
business and other requirements?
How they should be stored?
Who should have access to them?
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This is where transaction occurs between thecreator or author of a document and the systemsin which the document is created.
It describes the relationship between the authorand the organization for which a record is created.
The end result of the creation is piece of datacalled a record with a representation of thattransaction come to life in the record.
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This involved the routine storage and linkageof documents and/ or data in systems in waythat enable sharing and re-use in theimmediate business or social activities withinwhich the transactions are being recorded.
Here is where metadata is created for purposesof maintain the integrity of the document inwhatever from or forms it is captured.
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Relate to documents and records being organized.
It is meant to allow others not directly involved in
specific oversight responsibilities, or stakeholder
interests, to have access and use what has been
created and captured.
It takes documents to the point of access in
anticipation of being used for transactional,
evidentiary and memory purposes and other purpose.
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This involves taking information out to
points beyond organizational contexts
into forms of societal totalities, still more
distant from the organizations. In other
words, this dimension expands access to
the documents to the larger societal
functions. For the use by other people out
of the organization.
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Continuum model proved the records managers andarchivists with a way of thinking about the integrationsof record keeping and archival process.
It brings records managers and archivists in order onerecords keeping umbrella
It focuses on unifying purposes shared by all recordsprofessionals which is provide a framework foraccountable records keeping regime
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Continuum model encourages participation of theorganization future need for evidential documentationas an integral part of both operational and strategicmanagement
By placing disposal including the identification ofrecords of continuing values, as the last stage in therecords life cycle, a life cycle model does notemphasize the need to design systems which ensurethe capture of those records of continuing value in thefirst place
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The records continuum model is a conceptual
guide for the development of records keeping
policies and programs.
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Each organization needs effective records
management to ensure consistency in decision
making, protection of the organization and individual
rights, accountability and evidence for any business
activity as records is a core part for the succefulness
of any organization.
From the above facts, we need to understand the sign
impact of poor records management and the impact
of good records management.
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Who is a records manager?Records manager is a person responsible for themanagement of records in the organization fromwhen records are created to the disposition.
Roles of the Records Manager Responsible for the effective and appropriate
management of an organization’s records fromcreation to disposition.
Provide access to the records by ensuring thatsecurity issues are maintained. E.g. confidentialityand access of records only to those who authorized.
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To ensure that legal obligations are met for the
creation and retention of both paper and
electronic records.
Storing, arranging and classifying records.
Ensuring compliance with relevant legislations
and regulations.
Protection of the holdings with appropriate
equipment and suitable environment of the
organization’s records.
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The following are various indicators that there arerecords management problems in an organizationas follows:-
Delay in filling Records
This a failure to the documents immediately at aspecific time and when required hence can led toloss of the records or being accessed byunauthorized people and bad arrangement ofpaper on the working desks.
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Increase of customer complaints
This is the situation whereby customers are complainingon the information they tend to receive as their recordsare not be traced easily when required.
Bulk log of Records
When the records are over duplicated appeared on timethen even the useless records can still be retained andincrease the amount of records in the records storage area,such as in Registry, Records centre as well as Repository.
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Misfiling of documents
This is a failure to manage records properly lead toinappropriate allocation of papers or incoming mails,when records are kept on wrong files.
Lack of ability to provide real information to thegeneral public
The public fail to get information on time orsometimes they may completely fail to getinformation when records are not properly controlledby the organization.
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Lack of Retention or Disposal Schedule
This is the situation where organizations do not havea formal written guideline for the retention period ofits records then it become impossible for thosegenerated records to be appraised on the right time.
Noncurrent records are kept unnecessarily on thestorage location where active records are kept.
This also led to difficult in retrieving and accessingcurrent records especially when quick decision areneeded as well as space storage.
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Poor performance.
This is the situation of being difficult to monitor or
assess organizational performance because there are
no records as the bases to evaluate the past
performance of the organization and identify the
problems.
Increase cost of the organization
Without proper management of records, organizations
can incur cost in money and time.
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Loss of trust to an organization.
The public can not trust the organization because
their records are not maintained well or due to poor
performance. Difficult to protect Rights of the
organization and individual.
Breach of confidentiality or national security.
Also confidential information will be accessed by
unauthorized individuals as a result of poor records
management practices.
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Inconsistency in decision making.
Without proper management of records no any kind ofdecision will be done consistently and with a stablemanner, always will be done in different way becausethere are no records to refer.
Loss of confidence
Records can hinder individual confidence, for instancethe head of department can lack sound decisions tohandle some matters as there is no proof on it. E.g.punish the subordinate because of disciplinary matters.
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Lack of well established guidelines on Records
management.
An office can achieve the management of records when
there are well and implementable guidelines (e.g.
policy, standard, procedures and manuals) that indicate
how records should be well managed throughout their
life cycle and make available to the people responsible
for that process.
Failure to do that, the process of managing records
becomes a big challenge.
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Lack of profession and enough skills and
capacity to the records staff.
Most of the records staffs have little or no records
management skills concerning RM. In-service
records office training and staff development
ceased for some time due to financial difficulties
hence make people to work with experience
without being professional with work.
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Lack of enough space.
One of the major problems or challenges isthat of space. When the organization has littlespace compared to the amount of records to bekept, some records can be destroyed evenwhen their period is not over so as to utilizethe available space for all records required tobe stored.
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Low priority accredited to records keeping.
Records management function is given a low
priority by the top officials in the sense that
there is inadequate management attention. This
affects performance of staff working in records
office and all activities concerning records
management.
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Irresponsibility among records officers.
Some officers (entrusted people to manage
records) are not responsible on ensuring rules
and regulations guiding records management
are implemented.
For instance, you find a records officer
allowing an unauthorized person to access
confidential records, hence the challenge in
managing confidential records.
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Inadequate storage facilities.
Records offices in ministries, independent
departments and regions administration
including local government authorities are still
having inadequate storage facilities,
accommodation and supplies. It is common to
find both active and semi active records are
kept in one and same storage area, poor
storage equipments and environment.
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Comprehensive records management
guidelines.
We need to have policies which will reflect the
current situation and simple to implement. For
instance, on the current needs like electronic
record management which is associated by
many challenges like lack of capturing
authenticity of records in electronic format.
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Provision of Training
Training must be done in order to increase
skill and professionalism among people
entrusted to keep and manage records they
lack while records management skills.
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Financial support.As records management is a very crucial issue inorganizations the management must insure inorganization, the management must ensure that,enough funds is provided on the issues concerningrecords like staffing and general maintenance ofrecords management facilities
MotivationThe most to put in consideration, in order to avoidbad perception of down grading of the recordsofficers, these people must be more motivated as ameans of upgrading them.
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Help in maintaining records that are used forevidence. We use records as evidence of the particulartransaction or activities. For instance in legalproceedings those well managed records can be of greathelp.
Help to preserve records for historical purpose.We get to know the history of the particularorganization or activities trough records available. Forinstance, the origin of the organization can be tracedback by using the records created during thatorganization creation period.
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In promoting transparency and accountabilityThrough the use of records public officialsbecome answerable on their actions taken whenconducting a certain activity. Example duringAudit.
For various decisions making.For the consistent decision making, we need tohave the complete record. For instance thedecision concerning employees records on thework performance.
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For development planning.
For the future plans development, we need to have records of the past performance as a starting point for future planning.
In investigation /research purposes.
Researchers and fact finders can use recorded information available as a source of data on certain matters.
NOTE: The above analyzed importance of record can be achieved only through good management of records.
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No office could operate successfully if it had
to rely on memory alone to keep track of every
transaction. Without records, all organized
administration would quickly come to a halt as
well as government body or business could
not survive without making records of its
activities. No office could operate
successfully if it had to rely on memory alone
to keep track of every transaction.
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Records can be defined as information captured by
individual, organization or institution in whatever
media and form for carrying out business.
Or Recorded information of any kind and in any
form, either originated or received by an
organization. Include papers, correspondence, forms,
books, photographs, films, sound recordings, maps,
drawings, and other documents.
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Types of Records:-Records are of two major types, namely
i) Types of records based on media or formatIs the way where by record is designed or created, arranged and presented include:-
a) Paper based records are those records created received and kept on the paper medium ( in a hard copy ) for stance paper file, paper report, letters financial statements etc.
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b)Electronic records are those records that
created, received, kept and accessed by using
electronic devices. Or are those records that
are held on digital form on a magnetic or
optical computer storage media. This include
things like Hard Disk, Video tape, Audio tape
and Compact Disks etc.
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ii) Types of records based on Use/Function
a) Administrative records- are those records relating to general administrative activities common to all organization, such as maintenance of resources care of the fiscal plan or other routine office matters also some time known as housekeeping record. Or records that carries administrative matters such as recruitment, planning, promotion, demotion, transfer, personnel records.
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b)Personal records- records deals with
individual information.
c)Financial records-are those records that
resulting from the conduct of business and
activities relating to financial matters and its
management such as salary slip, Bank
statement Loans, Vouchers and cheque etc.
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d) Medical record- is a history of the patient’s
treatment written by the doctor attending him
or her it may also include other notes on
patient’s diagnosis and treatment provided by
nursing and other allied/associated staff
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e) Legal records- are records generated
specifically from the process of land
acquisition by an individual or an
organization.
f) Land records- are records generated
specifically from the legal process, from the
work of the court, police and the public
prosecutors.
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Is the state of owning recorded materials includes:-
a) Private or personal records refers to the recordsrelating to private matters or affairs that created,received and maintained by non-governmentalAgencies institutions, families or individuals. Or arerecords deal with individual information.
b) Public or general records- refers to records created,received and maintained in any public sector or Agencyfor stance Ministries Department. It is also a collectionof different records that found in a certain organization.
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a) Top Secret- is a record or material required highdegree of protection because its un authorizeddisclosure could cause exceptional grave damage tothe national security example major governmentplans, vital strategic information for action pendingnegotiations economic agreements, newconstitutional development.
b) Secret- is a record or material required a substantialdegree of protection since its disclosure could causeserious damage or endanger national security.Example defense ensues, emergency and securitysystem political intelligent reports
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c) Confidential- it is record or material requiredprotection because its unauthorized disclosurecould cause damage or administrativeembarrassment or difficult or would be advantageto a foreign nation. Example intelligent reportroutine confidential report, technical informationfor organization new materials.
d) Open record- is a record which does notrequired high degree of protection.
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Records which are of their own distinct function
and content such as Land records, Legal/Judicial
records, Medical/Birth and death records and
financial records or are those records based on a
certain area of activity.
Also specialized records are the division of
records accordance with its special functions. Are
financial records, medical records, land records,
and medical records.
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a) Medical records; records that written by thedoctor who attended the patient showing thehistory of the patient and the medication thatwill be applied to such patient such as x-rays,patient file, demographic data, diagnostic resultsetc.
b) Land records; are those records that concernedwith land matters includes land use, landreforms, land management, planning, landdisputes, title deeds etc.
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c) Financial records; Records resulting from theconduct of business and activities relating tofinancial management such as salary slip, bank-pay-slip, payment voucher, budget, audit report,loans etc
d) Legal records; records that contains legalmatters, these kind of records are derived fromdifferent sources such as police, court of law andPublic Prosecution Office (PSO). Legal recordsinclude summons, subpoena, search warrant, casefile etc.
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They are used for evidence
Used for historical purpose
Used for answering questions
Used for plans development
Used for decisions making
Answering questions/queries
Cultural heritage purposes
Investigation/research purpose
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They protect the rights of an organization, itsemployees, citizens/ clients and the society atlarge.
They support good governance that isaccountability, transparency, and rule of law.
They provide evidence of organization’s policiesand rights.
They enable citizens to make informedcontributions to the governance process or claim,organization and societies at large.
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The help quick and proper decision making.
They serve as a benchmark by which future activities
and decisions are measured.
They help to achieve greater efficiency, productivity
and consistency
They help to reduce the risks associated with missing
evidence of decisions and actions
They comprise of reliable source of information on past
decisions and activities of government and private
institutions.
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As we have seen, records are the product ofadministrative and business activity. They are createdeither as a product of or to provide evidence for theactivity they document. Records supply the corporatememory; they are a source of information aboutdecisions, events and transactions that happened in thepast.
However, records are not always used for the purposefor which they were created. In both governmentoffices and archival institutions, records may be usedfor a wide range of purposes, such as the following.
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Governments need well-managed records to
uphold the rule of law, to be accountable
for their actions and to ensure that the
interests of citizens are protected.
Executives need records to enable them to
formulate policy and make decisions on the
basis of well-organized, accurate and
comprehensive information.
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Action officers and administrators need well-
structured, complete and accessible records so that
they have the information available to them to
implement policy, deliver services to citizens,
manage resources and carry out their work.
Auditors and other regulators need access to the
information in records to ensure that resources have
been used fairly and honestly, that programmes and
procedures have been carried out and that standards
have been met.
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Ombudsmen, or official ‘watchdogs’, needrecords to determine whether or not decisionsand actions have been taken fairly and equitably.
People need access to the information in recordsto ensure that their rights and interests areprotected and to enable them to make an informedcontribution to the government process.
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Historians and researchers need access to
records as evidence of what happened in the
past.
The community at large needs certain records
to be permanently preserved as archives to
enable today’s society to connect with the past.
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Decision making: Is a model represents a way oflooking at the world, a shared set of assumptions thatenable us to understand or predict behavior. It haspowerful influence on individuals and on the societybecause our view of the world is determined by our setof assumptions about it.
To put in another way, our vision is often affected bywhat we believe about the world, our beliefs oftendetermine the information that we see.
Decision making is about facing a question such as tobe, or not to be?
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Accountability: In general terms, accountability
means responsibility for actions.
It is the obligation of an individual or
organization to conduct for its activities, accept
responsibility for them, and to disclose the results
in a transparent manner. It also includes the
responsibility for money or other entrusted
property.
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Entitlement: Is a guarantee of access to benefits
based on established rights or by legislation. A right
is itself an entitlement associated with moral or social
principles, such that an entitlement is a provision
made in accordance with legal framework of a
society. Typically, entitlements are laws based on
concepts of principles (rights) which are themselves
based in concepts of social equality or
enfranchisement
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Copyright: Copyright is a legal concept,enacted by most governments, giving thecreator of original work exclusive rights to it.
Generally, it is the right to copy, but also givesthe copyright holder to be credited for thework, to determine who may adapt the work toother forms, who may perform the work whomay financially benefit from it and otherrelated rights.
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Transparency: Is the result of information being
available.
A government is transparent when the great majority
of the information that it holds about its activities,
policies and decisions is accessible for the general
public.
Privacy: In general, the right to be free from secret
surveillance and to determine whether, when, how,
and to who one’s personal or organizational
information is to be revealed.
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The rule of law: Means that all people are
equal before the law, all must obey the law, the
governors and the governed all must obey the
law; no one is above the law.
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Providing evidence about a certain activity
Providing reference about the past event
Supporting decision making in different
matters
Providing laws, policies and regulations
Providing planning in different issues
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Records which are of their own distinct function and
content such as Land records, Legal/Judicial records,
Medical/Birth and death records and financial records
or are those records based on a certain area of
activity.
Also specialized records are the division of records
accordance with its special functions. are financial
records, medical records, land records, and medical
records.
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i) Medical records
ii) Financial records
iii) Land records
iv) Legal records
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i) Medical records; records that written by the
doctor who attended the patient showing the
history of the patient and the medication that
will be applied to such patient such as x-rays,
patient file, demographic data, diagnostic
results etc.
ii)Land records; are those records that
concerned with land matters includes land use,
land reforms, land.
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iii) Financial records; Records resulting from theconduct of business and activities relating tofinancial management such as salary slip, bank-pay-slip, payment voucher, budget, audit report,loans etc.
iv) Legal records; records that contains legalmatters, these kind of records are derived fromdifferent sources such as police, court of law andPublic Prosecution Office (PSO). Legal recordsinclude summons, subpoena, search warrant, casefile etc.
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Introduction.
Hospitals deal with the life and health of their patients.Good medical care relies on well-trained doctors andnurses and on high-quality facilities and equipment.Good medical care also relies on good record keeping.
Without accurate, comprehensive, up-to-date andaccessible patient case notes, medical personnel maynot offer the best treatment or may in fact misdiagnosea condition Associated records, such as X-rays,specimens, drug records and patient registers, must alsobe well cared for if the patient is to be protected.
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Medical records
A medical record is documentation of medicaland health care services provided to a patient atthe directions of a physician, nurse or othercaregiver.
Is a legal document providing a chronicle (awritten account of important or historical eventsin the order of their occurrence) of a patient'smedical history and care, (the Purdue UniversityHealth Center)
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These records include documentation of
medical observations and opinions by
these professionals as well as the
treatment and diagnostic documentation,
such as X-rays, and laboratory work and
can be a paper record, electronic record
or both.
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Medical records:
Facilitate good care
Allow a subsequent caregiver to understand
the patient's condition and the basis for the
current investigations or treatments
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Provide a method of communicating
with other team members satisfy legal
and ethical obligations: medical
regulatory authority (College), hospital,
and legislative requirements for clear and
legible records
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Act as evidence: if your career is later questioned,it shows events as they happened. Clinical recordsthat contain sufficient information to securecontinuity of care will also contain the informationrequired for all other purposes. In the event of acomplaint, clinical negligence claim or disciplinaryproceedings, the doctor’s defense will in large partdepend upon the evidence available in the clinicalrecords. If essential information is missing, or foundto be inaccurate, cases may be lost when they couldotherwise have been won.
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Coordinate and Combine Information fromMultiple Providers: PHRs (personal healthrecords) can promote better health care byhelping your patients manage information.
Help to Ensure Patient Information isavailable: Online PHRs can ensure yourpatients’ information is available inemergencies and when your patients aretraveling
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Reduce Administrative Costs: Your
organization can reduce administrative costs
by using a PHR to provide patients with easy
access to electronic prescription refill and
appointment scheduling applications.1 With
PHRs, your staff can spend less time searching
for patient-requested information and
responding to patient questions.
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Enhance Provider – Patient Communication:Many PHRs allow direct, secure communicationbetween patients and providers. PHRs can makecommunicating with your patients faster and easier.With open lines of communication, you can beinformed and intervene earlier if health problemsarise and improve the provider – patient relationship.
Encourage Family Health Management: Having asystem for tracking and updating health careinformation can help caregivers – such as thosecaring for young children, elderly parents, or spouses– manage your patients’ care and coordinate
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1. Clinical department
Clinical Services is composed of professionals
belonging to four clinical disciplines: Psychology,
Rehabilitation Services (return to a former condition or
position, repair or renovate),Social Work, Vocational
and Educational Services. Staff in each of these clinical
disciplines are involved in patient treatment from
admission to discharge.
Staffs in all these disciplines generate medical records.
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2. OPD (Out Patient Department)
When a person attends and receives healthcare
services in the hospital without being admitted, he or
she is referred to as an OUTPATIENT
outpatient visits are documented in the same medical
record as inpatient notes
• Outpatient visits are documented in a separate
outpatient record/card; or are documented in a patient
held health record. The ideal situation is when both
are filed in the one folder under one number.
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This system is of benefit to the patient, as all their
health information at that hospital is in one place
for their continuing care. It also benefits the
doctor, who is able to refer to previous notes
when treating the patient for a new episode of a
previous illness or for a new illness.
3. Pharmacy is a place where medicinal drugs are
prepared or sold. Or it is the science or practice of
preparing and dispensing medicinal drugs.
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Copies of order forms for stock, and alldelivery notes, should be kept for an agreednumber of years. Original orders are usuallypassed to the finance department for payment.From the moment that drug supplies arereceived in the hospital, a full record should bekept of each quantity that passes from onecustodian to another (for example, from bulkstores to the hospital pharmacy, and from thereto wards or departments or to individualpatients).
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• Full records need to be maintained of items received,issued or dispensed, as well as details of the staffinvolved in preparing, checking and dispensingdrugs, so that each stage of the process is documentedand can be traced if necessary
• At the final stage, when the recipient is an individualpatient, relevant documentation should be included inhis or her case notes.
• All drug records, both those maintained in thepharmacy and those kept in the wards or otherdepartments, should be preserved for an agreedlength of time in case they are needed.
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4. Mortuary
◦ Is a room or building in which dead bodies
are kept until burial or cremation.
◦ It keeps the records of the receipt, temporary
storage, body viewing and removal of
bodies; post-mortem examinations, and the
demonstration of Post Mortem findings in
cases of clinical interest and for teaching
purposes.
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◦ The Mortuary operates 24 hours a day to
receive bodies from the hospital, police cases
and referrals from local and other health
institutions requiring storage or for medical
legal examinations.
◦During all those activities, records are
generated and should be well maintained.
Other records generated are:-
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Investigations into the cause of death by performing a PM examination of the Body
• the demonstration of PM findings in cases of clinical interest or for teaching purposes;
• the viewing and/or identification of a body;
• accommodating visiting relatives .
Post-mortems may be required on:
• deaths occurring in hospital,
• people brought to the department who are dead on arrival; deaths occurring outside the hospital.
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5. X-ray
• Whether the patient has been referred to the hospital
by an external medical practitioner, or whether the X-
ray has been requested from within the hospital, the
patient should be registered before the X-ray is made.
• Requests for X-rays should be made on a standard
form. The design of the form should include
designated spaces for the patient’s name and
unitary file number, as well as the date of the
request and the name, signature and department of
the requesting clinician.
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• A day book or register should be maintained to record the
receipt of X-ray requests and,
• if applicable, the assignment of the next available X-ray
number which should then be written on the request form.
Following the production and examination of the X-ray film,
the radiologist’s comments are usually written on the request
form so that the form also serves as the report. Two signed
copies of the report are needed, one to be kept for reference in
the X-ray department, the other to be forwarded to the
clinician who made the request. This second copy will in due
course be placed on the patient’s file.
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6. Maternity office
◦Maternity notes carry records like:
◦ patient’s name, address and hospital number
◦ Past and present health..
◦Medicines or drugs that you are taking.
◦ The health of close family members.
◦ Information about any previous pregnancies
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Information about this pregnancy (date of your first
antenatal (before birth; during or relating to
pregnancy) visit and the date your baby is expected).
The results of blood tests, blood pressure readings,
urine test results, measurements of your bump and
the position in which your baby is lying later in
pregnancy.
Any problems you've experienced during your
pregnancy.
Details of your ultrasound scans.
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A customized growth chart for your baby (which is
added after your first ultrasound scan).
Details of any reasons you had to go to the antenatal
ward or day assessment unit at your local hospital.
Information regarding post-operative deaths, plus
obstetric information such as deliveries, maternal
deaths, multiple births, foetal deaths(an unborn
human more than eight weeks after conception)and
infant deaths(a very young child or baby) are
recorded hence a source of medical records.
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7. Laboratory Is a room or building for scientific
experiments, research, or teaching, or for the
manufacture of drugs or chemicals.
• It carry testing ordered by physicians for patients
under their care.
• Laboratory Services collects testing samples from
patients in the hospital wards, performs testing,
analyzes results, and conducts research in the
reference laboratory. In that way a laboratory act as asource of medical records too.
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Introduction
While all records can be used as evidence, and so have
value, some records are generated specially from the
legal process from the work of Court, the Police and
Public Prosecutors. By this module outline the good
ways on how to care records created by the institutions
of the judiciary, police as well as public prosecutor.
Legal records are information that are generated from
the legal process undertaken by the court (judiciary),
the police and public prosecutors.
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Or are those records generated specifically from legal
process or matters. They provide proof of the
activities the organization or person with the country
at large.
In legal context the term record has been rooted in the
medieval Latin word. “Recordum” which means the
testimony of witness.
Hence a record comes to mean a text of evidential
weight.
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There are various ways or means that helps to obtain
legal record in the organization that involves some of
activities as follows:-
1. Criminal court
Decide if a person has committed a criminal
wrong ( civil wrong are handled in civil court).
Decide the legal penalty if a person has
committed a wrong rules on matters of law in
relation to judicial process.
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2.Police
◦ Investigate the reported crimes
◦Arrest suspected offenders
◦Gather evidence
◦ Conduct the prosecution of minor offence
3.Public Prosecutors
◦ Conduct the prosecution of major offences
◦Advice law officers, police and government
departments about criminal law matters.
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i) Summons - a document which call some before the court of law or police
ii) Crime report- a document which shows a report on a particular crime
iii) Arrest warrant- a document which arrest someone to arrest an offender
iv) R.B- Register Book
v) PF3- Police Form no.3 it assist an injury person to get treatment in the hospital
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Legal records are very sensitive to the core operation
of any organization or country . in this case therefore
they should be effectively cared for
Document activities and so may serve as admissible
evidence in an court of law. And they serve as
evidence as evidence of rights and obligations of
individuals, organizations, and government.
Legal records document the responsibilities of the
parliament, government, and ultimately the citizensof the country.
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Legal records provide proof of the activities of
the organizations or persons within the
country. If legal records are not created,
maintained and made accessible government
and citizens may be unable to enforce their
rights.
Legal records enforce and support the agency’s
laws or bindings rules example the court,
police or public prosecutor.
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Acts as reference to various cases. Example in
countries using common law system whereby
depending on precedent and continuity which
requires past decision to be understood and
applied in similar circumstances and in
government.
They contribute to accountability in
organization and in government.
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Legal records are essential for protection of
human rights in the court of law (justice)
Also they essential for continuation of
previous cases in case of appeal ( viewing how
the previously cases were judged.
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Introduction
Therefore Financial Records can be simply defined as
records or information resulting from the conduct of
business and other activities related to financial
management in an organization ( IRMT 1999).
Finance- is a branch of economics concerned with
resource allocation as well as resource management
acquisition and investment. Simply finance deal with
matters related to money and the market.
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Accounts- A records of financial transaction
for an asset or individual such as at a Bank. Or
are the financial records of an organization
that register all financial transaction and must
be kept at its principal office of place of
business.
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Ensuring resources are matched to objectives.
Financial records management ensures that
money is allocated in accordance with the
government’s or organization strategic
priorities. This is achieved by controlling the
budget approved by legislature.
Ensures efficiency in provision of service.
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Ensures transparency to the government and other
institutions in the course of undertaking financial
business functions.
Financial records forms a base for making
evaluation of performance on financial matters in
the organization.
Also enhance accountability of government
officials as well as private sectors on the basis of
undertaking financial management functions,
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Enhance economic stability through government
reforms such as economic reforms, social reforms
Enables the accounting and auditing functions to
take place in a wise way for audit purpose to
check or evaluate how money was used or spent.
Essential for preparation of budget example
government budget or institutions.
Also financial play a great role on financial
control
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Financial decision making in an
organization.
Helps in case of proper use of resources
Reduce unnecessary costs.
Helps in legal proceedings are all
documents which show continuation of a
case.
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These sources are obtained on depending with various activities that leads to such records to be created are:-
Bill payment
Salary payment
Good receive note
Purchase order
Audit report
Budget report
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Introduction
The term land defined by various scholarssuch as Lawyers, Economists, Layman andLand Act No 4 of 1999. Whereby eachdefinition defined differently according to theirperspectives:-
Lawyers, states that is anything which attachedon below and over the Earth’s surface such asHouse, Trees, Mountain and Valleys.
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Economists states that Land is classified into three
group that is Land as a apace, Land as a factor of
production and Land as consumption good or capital
whereby Land as space refers as a room and surface
within which and upon life make place for stance
contain valleys.
Layman also states that is a gift of nature from the
creator where life of living things takes place. For
example Human being, Wild animal and Plants
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Land Act No 4 of 1999 cap 113, this Act states that the Land
includes the surface of Earth, the Earth below the surface and
all substance other than Minerals and Petroleum forming
naturally growing on the land building and other structure
permanently affixed to Land.
Land records; are those records that concerned with land
matters includes land use, land reforms, land management,
planning, land disputes, title deeds etc. or refers to
information, documents related to land matters such as
ownership, possession, Land use, plan and Land Management
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i) Mortgage (Credit Security).
ii) Land register.
iii) Land Act and regulation e.g. Act No. 4of 1999.
iv) Title deeds.
v) Certificate of occupancy /lease.
vi) Offered letters.
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They help to solve conflicts. This can be between
land users and uses as well as harmonize peace
It helps to provide good decision making for
example land reform, conveyance also help
provision of good decision without biasness this
is due to the use of recorded information hence
gives out right decision to both sides.
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They help also to increase accountability or
supporting. This is due to undertaking various
activities such as land village land reserved land and
general land also by so doing all workers perform
their duties by following rules and regulations.
Also help in education matters such as research,
planning, and mapping activities. Land records play
great
Help to know how land is used throughout the country
for various activities
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It helps in case of geographical expression this
is also a part of land records as the size, shape,
type of soil through the basic live hood.
Legal status of a land is the most important
factor that needs to be considered so it helps to
confirm whether the owner has complete
authenticity over the land.
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i) Land conflictii) Land registration iii) Land registryiv) Ministry of landv) Land tribunalsvi) Title deedsvii)Boundariesviii)Lease
1/5/2015MUSHI SYLVANUS, L.