THE CONTRIBUTIONS OF RECORDS REGULATORY FRAMEWORKS IN HR RECORDS’
MANAGEMENT IN PUBLIC SECTOR: A CASE OF RAS OFFICE TABORA
Eliamani Mathayo
Faculty of Business Management,
Open University of Tanzania.
siyanga.lukumay@gmail.com
Dr.Chacha Alfred Matoka
Senior Lecturer Open University of Tanzania,
chacha.matoka@out.ac.tz
ABSTRACT
The study aimed to discover the contributions of records regulatory frameworks in HR records’
management, records’ security measures and the extent to which electronic records keeping system has
been adopted in HR records management in Public Sector case of RAS Tabora. The study used mixed
approach and had a sample of 77 respondents from the total population of 170. The study applied
probability and non -probability sampling techniques. Primary and secondary data were collected whereby
questionnaires, interview and documentation were used to collect data. The study applied descriptive
statistic and content analysis to analysed data. In the main more than 80% of the respondents indicated
knowing the contribution of records regulatory frameworks in HR records management. However some of
the respondents said that the contribution of record regulatory framework in HR records management at
RAS Tabora is average. Almost more than 80% of the respondents point out knowing records’ security
measures applied in HR records management and electronic records keeping system applied in HR
records management. Generally the study shows that despite the role of human resources records in public
sector there are factors affecting it management therefore RAS Tabora management needs to take
measure to improve personnel record keeping infrastructure and develop human resources record
management regulatory frameworks.
Keywords: Records, human resources records, records management, public sector
INTRODUCTION
Worldwide Records regulatory frameworks are key elements in the safeguarding of HR records and
infromation both papers and electronic records. Zaja (2019) states that the northern countries of Europe,
namely: Iceland, Norway, Sweden, Finland, Denmark, Lithuania, Latvia and Estonia, have taken the lead in
developing their own standards and thus carry significant weight in the development of records and archival
legislation and other similar normative regulations. Within this framework, HR records are faced with the
issue of record control, as well as the construction of an IT infrastructure that must preserve electronic
human resources records in the long run. The Open Information Archive System (OAIS) reference model
and international ISO standards provide solutions to the presented tasks and are the major models that
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underpin the development of record architecture in northern Europe.. By adapting their own standards to
legal requirements and international standards, these countries continuously create and maintain the ideal
conditions for long-term human resources record keeping.
Manag (2017) in his study on examination of the Record Management Policies for Creation and
Management of Personnel Records in Uasin Gishu County Government of Kenya. The study seeks to
answer the question: what policies are in existence for the creation and management of personnel
records?. The study was motivated by the need to improve on the management of personnel records, to
ensure that information about employees is available to take decisions and protect their rights. The
objective of the study is to establish what records management policies exist in creation and management
of personnel records. The findings of the study revealed that record keeping practices in Uasin Gishu
County Government are not adequately supported by a record keeping infrastructure, which is made up of
a policy and regulatory framework, a programme structure, resources and people. The Recommendations
from the study is that the government develops and implements effective systems and procedures
constituting policies and regulatory framework for personnel records management.
Makwae (2020),in his study on Legal frameworks for personnel records management in support of
accountability in devolved governments. The study was conducted using a descriptive design. This design
ensures that data collected are analysed and findings are reported to establish a better understanding of a
physical or social phenomenon. The study was conducted at the County Government of Garissa’s Head
Quarters, the target population comprising HRMO, PRMO, PRMC and staff from different ministries who
depended on the personnel records management activities. Purposive sampling was used to select 11
HRMO, 11 PRMO, 11 PRMC and 55 staff members who made the total sample of 88 respondents from the
population. Questionnaire method was used to collect data from HRMO, PRMO, PRMC and staff members
quickly and give more freedom (in terms of time and flexibility) to the respondents. Interviews were used to
obtain more in depth information from the PRMO, HRMO and PRMC being the individuals’ in-charge of
personnel records were to provide information on legal frameworks for personnel records management at
GCG.
Nonexistence of personnel records management legal frameworks implies that the responsibilities for
cooperate record management to organization plans and guidelines of managing personnel records were
inefficient. As a result of the absence of written personnel records management policy, there was also a
lack of guidelines for appraisal, disposition and schedules of human resources records. On legal
frameworks for personnel records management in the institution, the findings revealed that there were
many policies in the government but personnel records management policy was missing which is very
crucial. Record management policy will also enhance human resource management policy. The missing of
the personnel records management policy reduces the accountability to people who deal with records
management in general, increases lack of integrity and indicate that there is a presence of irrational
decision.
Mukred (2019) on his study established that, parastatals had to put effort to not only develop records
management policies but also implement them in manual and digital work settings. Some of the purposes
of these policies needed staff to be oriented to enable easy comprehension. Notably, government
parastatals had not yet put enough effort towards ensuring that changes in polices were notified to the
staff. This left the staff to make personal initiatives on how and where to get the records management
policy manuals. As a result, there were increased cases of loss of HR records especially when changes in
policies affect the HR records keeping system. The study recommends that the management should
employ strict measures such as assigning the task of distribution of policy manuals to staff in
departments. This could be done through sending emails to staff notifyingthem on policy change.
Like other countries, the Tanzanian government also undertook considerable initiatives in enforcing the
implementation of records regulatory framework. Kashaija (2019) assessed the implementation of legal
frameworks on current records panagement in public offices a Case of Tanzania Business Registration and
Licensing Agency (BRELA). The study targeted a population of 88 staff members of BRELA from
whom, 40 respondents were purposively sampled. Qualitative data were collected through interview
and observation while quantitative data were collected by using questionnaires. In that assesment the study
reveals that, BRELA has failed to implement the legal frameworks effectively in its records creation and
capture, classification, tracking and use, storage and protection. The study recommends that
BRELA’s top management should prioritise its record management unit to ensure effective record
management. BRELA should adopt keyword filing classification system as stipulated by Registry
procedures manual of 2007, and establishing guidelines and standards for records security, documenting
and implementing disaster preparedness and vital records plan, procedures for access control with
assistance from RAMD.
Manyeke (2022) explores the impact of the fourth industrial revolution (4IR) on data protection in records
management. It argues that 4IR technologies such as the blockchain, internet of things, cloud computing,
and artificial intelligence are present in records management. Specifically, the paper explores the
opportunities and challenges brought by 4IR technologies in data protection and HR record management in
Africa. The study adopted a qualitative approach to review the literature on technologies endorsed in
records management and the opportunities and challenges of adopting 4IR to data protection, using
published book chapters, journals, conference proceedings, journal articles, and reports. The study found
that the adoption of 4IR offers potential benefits such as improved security of records, enhanced data
protection, and risk mitigation. The study also found that embracing 4IR technologies in records
management presents security, privacy, and data protection challenges for records managers. The paper
recommends several solutions to records managers, such as a review of legislation concerning data
protection and the inclusion of data protection requirements into 4IR technologies to improve data
protection.
On the other hand, Mukred (2019) argues that the lack of core legislation and policies on information and
communication technology (ICT), cybersecurity, and data protection are some of the factors that affect
countries in the South African Development Committee (SADC) in enhancing the security of HR records.
LITERATURE REVIEW
Human resources records. Anything that pertains to employment should be kept in an employee’s personal
file. Every employee has a right to know what type of information is kept about him or her, which must be
accurate. It is also the responsibility of an employer to make sure those records are inaccessible to nonmanagement personnel who could use the employee’s personal information (i.e. social security number,
address, birth date, etc.) for nefarious purposes (Tsabedze,2020). Lwoga (2020) at the center of
organizational human resources records management program there are records regulatory framewokrs.
These policies, legislation and regulation define what HR information the organization must keep as a
record, the procedures for managing those records, their retention periods, and procedures for ensuring
their secure destruction. Hence there is a significant positive relationship between Records regulatory
framework and Human resources records management.
In addition, employees’ personnel files should have standard forms that are used universally through the
HR department; this includes disciplinary forms, salary increase orders, performance reviews and the
original employment application which should all be copied to individual personnel files. According to
Makwae (2021), all personnel files should be kept under lock and key because of their sensitive nature.
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Personnel files need to be made available to the employee upon request. The employee is not allowed to
take a personal file home; he or she can, however, request copies of anything that is in the file
The Government of Tanzania has taken very impressive steps to develop policies, laws and regulations for
the management of Government records, such as the Records and Archives Management Act and the
national Records Management Policy. These were positive changes and other countries could benefit from
Tanzania’s example. A cautionary note was that while new policies and regulations would require certain
actions to be taken, there also needed to be compliance mechanisms and accountability structures to
ensure that policies and procedures were followed. There needed to be mechanisms to monitor compliance
and to follow up with remedial action where required (Fathima, 2022).The Records and Archives
Management Department contributes to the efficiency, effectiveness and economy of the Government of
the United Republic of Tanzania by: ensuring that public offices follow good record keeping practices;
establishing and implementing procedures for the timely disposal of public records of no continuing value;
advising on best practices and established standards in record keeping in the public service; and
establishing and implementing procedures for the transfer of public records of enduring value for
preservation in the National Archives or such other archival repository as may have been established under
this Act (Act, 2002).
According to the Association of Commonwealth Archivists and Records Managers (2007), the effective
management of HR records and archives throughout their life cycle is a key component of national
development. Unorganized or otherwise poorly managed personnel records mean that government does
not have ready access to authoritative sources of administrative, financial and legal information to support
sound decision-making or the delivery of programmes and services. Nor does the government have the
means of holding itself accountable for what it has done or upholding the rights of its citizens (Association
of Commonwealth Archivists and Records Managers, 2007). Furthermore, if records are not well-organized
during the earlier stages of their life cycle, those of enduring value will not be readily identified and
safeguarded as part of the national archival heritage. However, the efficient management of records and
archives must be guided by well laid down legal and policy frameworks in the country. This is because the
legislation provides the essential framework that enables national records and archives service to operate
with authority in its dealings with other agencies of the state.
Records Life-cycle Theory
The development and application of the Records Lifecycle concept in records management is a subject of
discussion (Penn, Pennix and Coulson, 1994;Mnjama, 1996; Millar, 1997;Yusof and Chell, 2000; Shepherd
and Yeo, 2003; Ngulube and Tafor, 2006). The Records Life-cycle theory was developed in the USA after
the First World War, by the then National Records and Archives Administration (Penn, Pennix and Coulson,
1994). The records life-cycle concept had been regarded as a theory which provided the framework for the
operation of a records management programme. Though the records life-cycle concept has influenced the
development of records and archives management in many parts of the world, it has had its own critics.
The weaknesses of the records life-cycle concept, particularly, its application in managing electronic
records, were noted by Yusof and Chell (2000). The authors pointed out that the records lifecycle concept
would not be used in managing electronic records and needed to be replaced by a model which
appropriately reflected the special characteristics of electronic records.
The Conceptual Framework – here expected to be one IV and one DV
The conceptual framework explains the relationship between the dependent variable and
independent variable of this study. The dependent variable is the skill development composed of the
following indicators: effectiveness, efficiency, improved job performance, quality service delivery, and
timely service delivery, all these indicators are determined by the training which is composed of several
indicators including training, off-job training, e-learning and crosstraining.
Independent variables
Dependent variables
Records management policy
HR Records management
Records management act
Records management
standards and guidelines
Figure 1: Conceptual Framework of the study.

Effectiveness

Efficiency

Improved job
performance

Quality service delivery

Timely service delivery
Source: (Researcher, 2024)
Garland (2019) at the center of organizational human resources records management program there are
records regulatory framewokrs. These policies, legislation and regulation define what HR information the
organization must keep as a record, the procedures for managing those records, their retention periods,
and procedures for ensuring their secure destruction. Hence there is a significant positive relationship
between Records regulatory framework and Human resources records management.
3.0 Methodology
This study was conducted at Tabora Regional Administrative Secretary offices. The study employed mixed
research approach to capture expressive information about the contribution of records regulatory
frameworks in the management of human resources records in public sector.
The study population of this study comprised the employees of RAS Tabora, specifically including heads of
departments, administrative,actions officers and RMA other supporting staff across various departments.
The sample size was 77 from the total population of 170 who were selected using a purposive sampling
technique. The questionnaire and interview was used to collect data. In this study, the data analysed
majorly in quantitatively using descriptive statistics where the frequency distribution, and percentage used.
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Also, in few cases, some of the data were analysed using arithmetic mean, and standard deviation
techniques. Furthermore, a summation approach enabled the researcher to determine the magnitude of a
variable. The data presented using textual, tabular and diagrammatic forms. Similarly, for qualitative data,
content analysis was used to analyze the data.
To enhance validity and reliability, Pre-testing of the data collection tools (to make sure questions are clear
and the flow is acceptable) was done and adjusted in order to fit the context of this study. Proper works of
literature were reviewed and internal citations were made. Moreover, a Cronbach alpha test at a
significance level of more than 0.7 was applied to test for reliability.
4.0 Results
The study aimed to find out if respondents are aware of the contribution of records regulatory frameworks in
HR records management at RAS Tabora. Questionnaires, interviews, documentary reviews, and
observation were used to collect data. The analysis revealed different responses among respondents which
are presented and discussed as sub-themes.
The study examined various aspects related to the presence and importance of records regulatory
frameworks in organizations. The mean score for the presence of records regulatory frameworks in the
organization was 4.45, with a standard deviation of 0.59704. This indicates a high level of agreement
among participants regarding the existence of such frameworks within their organizations. Records legal
frameworks were identified as essential foundations for HR programs and activities, with a mean score of
4.35 and a standard deviation of 0.53228. The study highlighted that these legal frameworks play a crucial
role in facilitating sound decisions and actions within human resources. Furthermore, the Records
Management Policy of 2011 was found to outline the roles and responsibilities of different personnel
involved in human resources records management, scoring an average of 4.43 with a standard deviation of
0.52387.
Table 4.2 The Contributions Of Records Regulatory Frameworks In Human Resources Records’
Management.
Mean
STD
4.45
0.59704
Records legal framework operate as the foundation of HR programmes and
4.35
activities to facilitate sound decisions and actions
0.53228
Records Management Policy 2011 give the roles and responsibilities of different
4.43
personnel involved in human resources records management
0.52387
Presence of records regulatory frameworks in the organization
Legal and policy framework guide the successful creation, processing and
preserving HR records
HR Records management policy and legislation make your records retention
and storage decisions more defensible
HR Records Regulatory framework ensures that records are protected from
unauthorized access, and use
HR Records regulatory frameworks ensure that HR records are accessible and
usable by those who need them
Average
4.40
0.65413
4.49
0.66141
4.36
0.74178
4.52
0.75412
4.43
0.63780
It was noted that legal and policy frameworks are instrumental in guiding the successful creation,
processing, and preservation of HR records, with a mean score of 4.40 and a standard deviation of
0.65413. The HR Records Management policy and legislation were shown to enhance the defensibility of
records retention and storage decisions, scoring an average of 4.49 with a standard deviation of 0.66141.
Moreover, the study emphasized that HR Records Regulatory frameworks ensure the protection of records
from unauthorized access and use, receiving a mean score of 4.36 with a standard deviation of 0.74178.
Additionally, these regulatory frameworks guarantee that HR records are accessible and usable by those
who require them, scoring an average of 4.52 with a standard deviation of 0.75412.
Durimg the interview with key informant, it has be nooted that most cited contribution of records regulatory
frameworks in HR records’ management were to facilitate sound decisions and actions in HR Records
management and Records legal framework operate as the foundation of HR programmes and activities to
facilitate sound decisions and actions. Most of respondents from all levels of the organization gives
emphasis to the importance of personnel records in the public service sector to support first the proper
management of human resources records then by having the efficient ways of managing such records then
the human resources decision making process will be smoothened . Thus apart from decision-making and
service delivery functions, personnel records were often used in a variety of other activities in the public
service. Thus regulatory framework shall be in place to ensure personnel records are available and wellmanaged to support the decision making process.
One of the patricpant stated that,
“Maintaining human resources records helps us in making better judgments and developing
appropriate policies, resulting in enhanced effectiveness and efficiency in human resources
management. This will influence means for tracking operational progress and making
appropriate decisions to expand the productive component of the HR Department”
Regarding the contribution of records regulatory frameworks to support management of human resources
records, one action officer from RAS Tabora shared that:
“We use the General retention and disposal schedule, 2005 and Records management policy
2011 to decide the periods we should keep our HR records. Usually, most of HR records related
with HR recruitment process are kept for not less than one year basing on instruction provided in
the schedule. But the challenge is that Records retention schedule of 2005 doesn’t address for how
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long to keep the PF. So under that circumstance our office needs to develop the specific retention
policy”.
This mens that, the use of records regulatory framework has fundamentally changed the way organizations
work and operate in various sectors, including HRM. Along with technological advancements, organizations
across industries have adopted various records regulatory framework solutions to improve efficiency and
productivity in HRM administration processes. The role of policy and legislation in improving HRM
administration efficiency is increasingly recognized as a key element in achieving organizational success in
this digital era where HRM became very complex.
The study findings are similary to Malekani and Mubofu (2023) who suggested that,compliance with
records regulatory frameworks can also enhance organizational efficiency and effectiveness. By
maintaining accurate and up-to-date records, organizations can make informed decisions, track employee
performance, monitor compliance with policies and regulations, and demonstrate accountability to
stakeholders. The study’s findings highlight the consensus among respondents regarding the significant
contribution of records regulatory frameworks in human resources records management. By recognizing
the importance of these frameworks and investing in robust recordkeeping practices, organizations can
safeguard their employees’ information, mitigate risks, and improve overall operational performance.
5.0 Discussion
The significance of records regulatory frameworks in human resources records management cannot be
understated. These frameworks play a crucial role in ensuring the proper handling, storage, and disposal of
sensitive employee information. By adhering to established regulations and guidelines, organizations can
protect the privacy and confidentiality of their employees while also maintaining compliance with legal
requirements. Accroding to Andoh (2023), records regulatory frameworks provide a structured approach to
managing human resources records throughout their lifecycle. This includes processes for capturing,
organizing, storing, retrieving, and ultimately disposing of records in a secure and efficient manner. By
establishing clear policies and procedures for recordkeeping, organizations can minimize the risk of data
breaches, unauthorized access, and loss of critical information.
The study findings are similary to Manyeke and Malekani (2022) who suggested that,compliance with
records regulatory frameworks can also enhance organizational efficiency and effectiveness. By
maintaining accurate and up-to-date records, organizations can make informed decisions, track employee
performance, monitor compliance with policies and regulations, and demonstrate accountability to
stakeholders. The study’s findings highlight the consensus among respondents regarding the significant
contribution of records regulatory frameworks in human resources records management. By recognizing
the importance of these frameworks and investing in robust recordkeeping practices, organizations can
safeguard their employees’ information, mitigate risks, and improve overall operational performance.
A study carried by Freda (2014) on measurement of records management practices among the managerial
staff of university education, Winneba Kumasi and Mampong campuses adopted qualitative study with a
sample of 80 drawn from administration to carry out the study. Primary data was collected using
questionnaires while secondary data was achieved through internet, journals and university information.
Purposive sampling was used to identify respondents. SPSS was used in analysis with presentation done
through pie charts, bar charts, frequency tables and percentages. The study noted an existence of policies
and procedures that were used for creating and storing records. Documentation of records retention
schedule was also accessible which disallowed extreme retention of records that could have an effect on
retrieval and room problems. The study used two campuses from a university in Ghana whereas, this study
focused on the submission of records management within the pension department of Kenya where the
answer indicated that there are record management policies that staff were aware of, and were helping
employees in discharging their duties. This study therefore confirms Freda (2014) study that there are
policies used in creating, using and maintain of records.
6.0 Conclusion and Recommendations
In conclusion, this study reveals that, there is significant contribution of the records regulatory frameworks
in Human Resources records’ management. The findings demonstrate the contribution of Records legal
framework as it operate as the foundation of HR programmes and activities to facilitate sound decisions
and actions (0.53228), Records Management Policy 2011 give the roles and responsibilities of different
personnel involved in human resources records management (0.52387), also it guide the successful
creation, processing and preserving HR records (0.65413) and HR Records regulatory frameworks ensure
that HR records are accessible and usable by those who need them
These results underscore the significance of records regulatory frameworks in HR records
management in public sector .This mens that, the use of records regulatory framework has fundamentally
changed the way organizations work and operate in various sectors, including HRM. Along with
technological advancements, organizations across industries have adopted various records regulatory
framework solutions to improve efficiency and productivity in HRM administration processes.
It is with this understanding that the recommendations that follow are made based on the finding its argued
that human resources records management is faced with an uphill task of putting in place effective policies
and regulation to guide their management. It has further argued that to enhance and improve the
management of human resources records, training for registry staff should be introduced to equip them with
knowledge and skills in electronic records management..Furthermore RAS Tabora should Digitize its
records using modern technologies but before this is implemented, adequate research and consultation
should be undertaken to determine the viability of these methods.
The model in this study explains 38.3 of the variances in this study. Therefore, 61.7 variance still needed to
be explained, future research could include other variables to assess the Impact of the newly proposed
Freedom of Access to Information Law on personnel information held in public offices on account of
personal privacy, particulary at RAS offices Tabora
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