RECORDS APPRAISAL SYSTEM FOR THE MAKERERE
UNIVERSITY SCHOOL OF PUBLIC HEALTH (MakSPH)
MUKIIBI ALVIN
21/U/15199/PS
NANYONGA ROSEMARY
21/U/17872/PS
TUMWEBAZE SHAMMAH
21/U/18043/PS
A PROJECT REPORT SUBMITTED TO THE EAST AFRICAN SCHOOL
OF LIBRARY AND INFORMATION SCIENCE IN PARTIAL
FULFILMENT OF THE REQUIREMENTS FOR THE AWARD OF THE
DEGREE OF BACHELOR OF LIBRARY AND INFORMATION SCIENCE
OF MAKERERE UNIVERSITY
AUGUST 2024
DECLARATION
We Project Group 30, hereby declare that this project entitled “Records Appraisal System for the
Makerere University School of Public Health” is our original work and to the best of our
knowledge has not been submitted to any university/ higher institutions of learning for academic
award. The literature and citations from other people's work have been duly referenced and
acknowledged in the text, footnotes, and bibliography
S/N
REG NO
SIGNATURE
1.
NANYONGA ROSEMARY
21/U/17872/PS
…………………
2.
MUKIIBI ALVIN
21/U/15199/PS
…………………
3.
TUMWEBAZE SHAMMAH
21/U/18043/PS
i
…………………
APPROVAL
This project report has been submitted to EASLIS for examination under my approval as the
academic supervisor
Supervisors name: Mr. BATTE RICHARD
SIGNATURE: ……………………………..
DATE: ……………………………….
ii
DEDICATION
The research is dedicated to all the students, lecturers, administrators of Makerere University, and
the management and staff of Makerere University School of Public Health. To our families for
their financial and moral support. We extend our sincere gratitude to you for being supportive and
cooperative. We appreciate the time you have rendered to us in the due course of this research.
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ACKNOWLEDGMENT
In the first place, we thank God for protecting us, for guidance, and for giving us the most precious
gift of life throughout the whole process of research.
We exceedingly extend our sincere thanks to Makerere University for establishing this profound
opportunity for the students to carry out research, build their expertise, and also add to their
knowledge base in line with the fields they have done the research.
We also extend gratitude to all the students, lecturers, researchers, and library staff who made this
research a success and most especially those who actively participated by responding in the
interviews, to the questionnaires, and in the focus groups. It was a great experience that we shared
with you in the due course of the research. Thank you,
Lastly, we thank our dear supervisor, Mr. Batte Richard who relentlessly guided us, polished our
errors, made a multitude of reviews, and never got tired of the iterations in terms of supervision of
our research, Thank you for building blocks towards the success of this research. If it were not for
the efforts of the above–mentioned people, our research process would not have been a success.
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TABLE OF CONTENTS
DECLARATION ............................................................................................................................. i
APPROVAL ................................................................................................................................... ii
DEDICATION ............................................................................................................................... iii
ACKNOWLEDGMENT................................................................................................................ iv
LIST OF TABLES .......................................................................................................................... x
LIST OF FIGURES ....................................................................................................................... xi
ACRONYMS ................................................................................................................................ xii
ABSTRACT................................................................................................................................. xiii
1.0. CHAPTER ONE: INTRODUCTION ...................................................................................... 1
1.1. INTRODUCTION ............................................................................................................. 1
1.2.BACKGROUND .................................................................................................................. 1
1.2.1.CONCEPTUAL BACKGROUND ................................................................................ 1
1.2.2.ORGANISATIONAL BACKGROUND ....................................................................... 2
1.3.PROBLEM STATEMENT ................................................................................................... 3
1.4.PROJECT OBJECTIVES ..................................................................................................... 3
1.4.1.Overall objective ............................................................................................................ 3
1.4.2.Specific objectives ......................................................................................................... 3
1.5.RESEARCH QUESTIONS .................................................................................................. 4
1.6.PROJECT SIGNIFICANCE ................................................................................................. 4
1.7.SCOPE OF THE PROJECT ................................................................................................. 5
2.0. CHAPTER TWO: LITERATURE REVIEW .......................................................................... 6
2.1.INTRODUCTION ................................................................................................................ 6
2.2.RECORDS APPRAISAL AT MAKSPH: STATE OF PRACTICE .................................... 6
2.2.1.PROCEDURES AND PROCESSES ............................................................................. 6
v
2.2.2.POLICIES AND GUIDELINES.................................................................................... 7
2.2.3.TOOLS AND TECHNIQUES ....................................................................................... 7
2.3.RECORDS APPRISAL CHANLLENGES AND POTENTIAL SOLUTIONS. ................. 9
2.3.1.CHALLENGES IN RECORDS APPRAISAL .............................................................. 9
2.3.2.POTENTIAL SOLUTIONS ........................................................................................ 10
2.4.TO DESIGN A RECORDS APPRAISAL SYSTEM FOR THE SCHOOL OF PUBLIC
HEALTH MAKERERE UNIVERSITY................................................................................... 11
2.4.1.RECORDS APPRAISAL ............................................................................................ 11
2.4.2.RECORDS APPRAISAL SYSTEMS ......................................................................... 11
2.4.3.DESIGN CONSIDERATIONS ................................................................................... 12
2.5.CRITERIA AND GUIDELINES TO EVALUATE THE SIGNIFICANCE,
AUTHENTICITY, AND VALUE OF PUBLIC RECORDS? ................................................. 13
2.5.1.CRITERIA ................................................................................................................... 13
2.5.2.GUIDELINES TO EVALUATE THE VALUE OF RECORDS ................................ 14
2.6.RESEARCH GAP............................................................................................................... 15
3.0. CHAPTER THREE: RESEARCH METHODOLOGY ........................................................ 15
3.1.INTRODUCTION .............................................................................................................. 15
3.2.RESEARCH DESIGN ........................................................................................................ 15
3.3.AREA OF STUDY ............................................................................................................. 17
3.4.POPULATION ................................................................................................................... 17
3.5.SAMPLING ........................................................................................................................ 17
3.5.1.SAMPLING TECHNIQUE ......................................................................................... 17
3.5.2.SAMPLE SIZE ............................................................................................................ 17
3.6.DATA COLLECTION METHODS ................................................................................... 18
3.6.1.INTERVIEW METHOD ............................................................................................. 18
3.6.2OBSERVATION METHOD ........................................................................................ 19
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3.6.3.DOCUMENT REVIEW METHOD ............................................................................ 19
3.7.DATA COLLECTION TOOLS ......................................................................................... 20
3.7.1.INTERVIEW GUIDE .................................................................................................. 20
3.7.2OBSERVATION GUIDE ............................................................................................. 20
3.7.3.DOCUMENT REVIEW GUIDE ................................................................................. 21
3.8.DATA ANALYSIS AND PRESENTATION .................................................................... 21
3.9.DATA QUALITY CONTROL ........................................................................................... 21
3.10.RESEARCH PROCEDURE ............................................................................................. 21
3.11.ETHICAL ISSUES ........................................................................................................... 22
3.12.LIMITATIONS OF THE STUDY.................................................................................... 23
4.0. CHAPTER FOUR: DATA ANALYSIS, PRESENTATION AND DISCUSSION OF
FINDINGS .................................................................................................................................... 24
4.1.INTRODUCTION .............................................................................................................. 24
4.2.DEMOGRAPHIC CHARACTERISTICS OF RESPONDENTS ...................................... 24
4.3.RESPONSE RATE ............................................................................................................. 25
4.4.OBJECTIVE ONE: ASSESS THE EXISTING RECORDS APPRAISAL SYSTEM
PRACTICES AT THE SCHOOL OF PUBLIC HEALTH....................................................... 26
4.4.1.RECORD CATEGORIZATION ................................................................................. 26
4.4.2.APPRAISAL CRITERIA ............................................................................................ 27
4.4.3.RECORD RETENTION AND DISPOSAL ................................................................ 28
4.4.4.ACCESSIBILITY AND RETRIEVAL ....................................................................... 29
4.5.OBJECTIVE TWO: CHALLENGES AND PROPOSED SOLUTION TO THE
EXISTING APPRAISAL AT MAKSPH. ................................................................................ 30
4.5.1.CHALLENGES ........................................................................................................... 30
4.5.2.PROPOSED SOLUTIONS .......................................................................................... 31
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4.6.OBJECTIVE THREE: TO DESIGN A RECORD APPRAISAL SYSTEM PRACTICES
AT MAKERERE SCHOOL OF PUBLIC HEALTH ............................................................... 32
4.6.1.OBSERVATIONS FROM THE FIELD OF THE EXISTING RECORDS
APPRAISAL SYSTEM ........................................................................................................ 32
4.6.2.NEEDS ASSESSMENT .............................................................................................. 33
4.6.3.SYSTEM DESIGN ...................................................................................................... 34
4.6.4.IMPLEMENTATION PLAN ...................................................................................... 34
4.6.5.TOOLS AND TECHNOLOGIES................................................................................ 35
4.6.6.MONITORING AND EVALUATION ....................................................................... 35
4.6.7.CHALLENGES AND MITIGATION STRATEGIES ................................................ 35
4.7. OBJECTIVE FOUR: TO DEFINE CRITERIA AND GUIDELINES FOR EVALUATING
THE SIGNIFICANCE, AUTHENTICITY, AND VALUE OF PUBLIC HEALTH RECORDS
BASED ON LEGAL REQUIREMENTS, INSTITUTIONAL POLICIES, AND
STAKEHOLDER NEED .......................................................................................................... 36
4.7.1.CRITERIA FOR EVALUATING THE SIGNIFICANCE OF RECORDS ................ 36
4.7.2.GUIDELINES FOR APPRAISING RECORDS ......................................................... 37
5.0. CHAPTER FIVE: A RECORDS APPRAISAL SYSTEM FOR MAKERERE UNIVERSITY
SCHOOL OF PUBLIC HEALTH ................................................................................................ 39
5.1.INTRODUCTION .............................................................................................................. 39
5.2.1.Identifying Records ...................................................................................................... 39
5.2.2.Gathering Information ................................................................................................. 40
5.2.3.Evaluating Value .......................................................................................................... 40
5.2.4.Making Decisions ........................................................................................................ 41
5.2.5.Documenting the Process ............................................................................................. 42
5.3.POLICIES FOR RECORDS APPRAISAL ........................................................................ 42
5.4.CRITERIA AND GUIDELINES FOR RECORDS APPRAISAL ..................................... 44
viii
5.5.IMPLEMENTATION OF THE RECORDS APPRAISAL SYSTEM ............................... 46
6.0.CHAPTER SIX: SUMMARY, CONCLUSIONS AND RECOMMENDATION ................. 47
6.1.INTRODUCTION .............................................................................................................. 47
6.2.SUMMARY ........................................................................................................................ 47
6.3.FINDINGS .......................................................................................................................... 48
6.4.CONCLUSIONS................................................................................................................. 49
6.5.RECOMMENDATIONS .................................................................................................... 50
REFERENCES ............................................................................................................................. 52
APPENDICES .............................................................................................................................. 55
APPENDIX 2: INTERVIEW GUIDE .......................................................................................... 56
OBJECTIVE ONE: Assessing the existing records appraisal system at MakSPH ............ 59
OBJECTIVE TWO: Identifying existing challenges and possible solutions ..................... 59
OBJECTIVE THREE: Designing a records appraisal system .......................................... 59
OBJECTIVE FOUR: Defining criteria and guidelines for records appraisal .................... 59
OBJECTIVE ONE: Assessing the existing records appraisal system at MakSPH ............ 61
OBJECTIVE TWO: Identifying existing challenges and possible solutions ..................... 61
OBJECTIVE THREE: Designing a records appraisal system .......................................... 61
OBJECTIVE FOUR: Defining criteria and guidelines for records appraisal .................... 61
APPENDIX 5: INTRODUCTION LETTER................................................................................ 62
ix
LIST OF TABLES
Table 1 shows the total response rate ........................................................................................... 25
Table 2 Categories of records at MakSPH .................................................................................... 26
x
LIST OF FIGURES
Figure 1 Gender of the respondents .............................................................................................. 24
Figure 2 Age brackets of the respondents ..................................................................................... 24
Figure 3 Record categorization at MakSPH ................................................................................. 27
xi
ACRONYMS
DEPT
Department
HOD
Head of Department
MAKSPH
Makerere School of Public Health
BLIS
Bachelors of Library and Information Science
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ABSTRACT
This project was aimed at developing a records appraisal system for the Makerere University
School of Public Health. The objectives of this project were to assess the existing records appraisal
system practices, to examine the challenges and propose solutions to the existing records appraisal
practices, to develop a records appraisal system, and to define criteria and guidelines for evaluating
the significance, authenticity, and value of public health records based on legal requirements. The
study adopted the qualitative research design approach along with the case study research design
approach. Data was collected from academic staff, library staff, and administrators, and a total
response rate of 82.5% was achieved.
The project found out that MakSPH lacked standardized and proper records appraisal guidelines
and policies. This project proposed a comprehensive, records appraisal system tailored for the
Makerere School of Public Health (MakSPH). The system aims to streamline the evaluation and
disposition of records, enhancing efficiency, compliance, and data integrity through structured
processes. By adhering to international records management standards and incorporating detailed
criteria-based frameworks, the proposed system will support the School's administrative and
academic functions. Key features include a robust manual appraisal framework, standardized
procedures, and clear guidelines for staff. The anticipated benefits encompass improved records
retrieval, optimized storage solutions, and enhanced regulatory compliance. This system will not
only facilitate better decision-making but also ensure that MakSPH maintains its commitment to
excellence in public health education and research through effective records management
practices.
xiii
1.0. CHAPTER ONE: INTRODUCTION
1.1. INTRODUCTION
This chapter provides an overall explanation of what the project is all about. It consists of the
background of the study, research problem, objectives of the study, significance of the study,
scope, and limitations of the study, and definition of the key terms.
1.2.
BACKGROUND
1.2.1.
CONCEPTUAL BACKGROUND
A records appraisal is rooted in the broader field of records management, which is concerned with
the systematic control of an organization's records throughout its lifecycle. Records appraisal
specifically focuses on evaluating records to determine their value and how long they should be
retained. The concept of records appraisal has evolved in response to changes in technology,
regulations, and organizational needs. Historically, records were appraised based on their
administrative, legal, and fiscal value to an organization. However, as the volume and complexity
of records grew, new appraisal methods and approaches were developed to address these
challenges. Today, records appraisal takes into account a variety of factors, including the content
of the records, their context, and their potential research or historical value.
According to the Society of American Archivists (2020), records appraisal is the process of
determining whether records and other materials have permanent (archival) value. This involves
assessing records based on their provenance, content, authenticity, space, reliability, order,
completeness, condition, and costs to preserve them.
It is a critical component of records management, helping organizations to identify records that
should be preserved for the long term and those that can be disposed of. The goal of records
appraisal is to ensure that valuable records are retained for as long as needed, while unnecessary
records are disposed of to reduce storage costs and minimize risks.
Records appraisal considers various factors, including the content of the records, their context,
their legal and regulatory requirements, and their potential research or historical value. Based on
these factors, records are appraised and classified as permanent, temporary, or disposable. This
1
classification informs decisions about how long records should be retained and how they should
be managed throughout their lifecycle. Effective records appraisal requires a systematic approach
and expertise in records management principles and practices. Organizations need to have clear
policies and guidelines for records appraisal to ensure compliance with legal and regulatory
requirements, as well as to support efficient and effective records management practices.
Records appraisal plays a crucial role in records management by helping organizations reduce
storage costs and storage expenses. Accurate and well-appraised records provide reliable
information necessary for informed decision-making, supporting both operational and strategic
planning (Klett, 2019). Effective records appraisal requires a combination of expertise, technology,
and a clear understanding of an organization's needs and requirements.
1.2.2. ORGANISATIONAL BACKGROUND
Makerere University School of Public Health is one of the schools that comprise Makerere
University College of Health Sciences which is a constituent college of Makerere University,
Uganda’s oldest University.
The origins of Makerere University School of Public Health date back to 1957 when the
Department of Preventive Medicine was established at the Makerere University Medical School.
In 1975, the department was elevated to the Makerere Institute of Public Health. The institute was
elevated to a fully-fledged school of public health and made a constituent school of the Makerere
University College of Health Sciences in 2007.
MakSPH was initially known as the East African Institute of Hygiene and Tropical Medicine and
was founded to address the public health challenges facing East Africa. In the 1990s and 2000s,
MakSPH experienced significant growth, expanding its academic programs, research activities,
and collaborations with national and international partners. In recent years, MakSPH has gained
international recognition for its contributions to public health research and practice in Africa. The
School has been involved in a wide range of research projects, capacity-building initiatives, and
policy advocacy efforts aimed at improving public health in Uganda and beyond.
2
Makerere University School of Public Health (MakSPH) is a renowned institution in Uganda,
known for its commitment to excellence in public health education, research, and service delivery.
1.3.
PROBLEM STATEMENT
The MakSPH lacks a standardized and comprehensive records appraisal system. This has led to
retaining an excessive volume of records, leading to difficulties in managing and retrieving
important documents which slows down decision-making and affects overall productivity.
Without a standardized appraisal system, sensitive information is not properly managed or
protected increasing the risk of data breaches. Important records that house the organization's
history and activities may be inadvertently destroyed or misplaced leading to loss of institutional
memory and valuable information SAA (2020). Thus, the absence of an appraisal system
represents a significant organizational challenge that hinders the school's ability to fulfill its
mission of fostering academic excellence, research innovation, and community impact in the field
of public health. Addressing this problem through the development and implementation of a robust
and inclusive appraisal system is crucial to enhancing accountability, promoting professional
development, and advancing the overall quality and reputation of Makerere University School of
Public Health.
1.4.
PROJECT OBJECTIVES
1.4.1. Overall objective
The purpose of this project was to develop a records appraisal system for Makerere University
School of Public Health.
1.4.2. Specific objectives
The objectives of this study were;
1. To assess the existing records appraisal system practices at Makerere School of Public
Health
2. To examine the challenges and propose solutions to the existing records appraisal at
MAKSPH
3
3. To develop a records appraisal system for Makerere University School of Public Health.
4. To define criteria and guidelines for evaluating the significance, authenticity, and value of
public health records based on legal requirements institutional policies, and stakeholder
needs
RESEARCH QUESTIONS
1.5.
1. How is records appraisal carried out at the School of Public Health Makerere University?
2. What are the challenges faced by the School of Public Health in carrying out records
appraisal and potential solutions?
3. How can a functional records appraisal system be developed for the School of Public
Health Makerere University?
4. What criteria and guidelines can be established to evaluate the significance, authenticity,
and value of Public Health records?
1.6.
PROJECT SIGNIFICANCE
Developing a records appraisal system at Makerere University for the School of Public Health
would be significant not only in inefficient appraisal of records but also in streamlining the
management of records within the School of Public Health, ensuring that valuable records are
identified, preserved, and accessible, while obsolete records are disposed of promptly. This would
improve efficiency and reduce the resources needed for recordkeeping.
Preservation of Institutional Memory: The School of Public Health has a rich history of research,
education, and practice in public health.
Support for Research and Decision-Making: A well-organized records appraisal system would
provide researchers, faculty, and administrators at the School of Public Health with easy access to
relevant records, supporting their work and decision-making processes.
Implementing a records appraisal system will streamline recordkeeping processes, reducing the
time and resources required to manage records. By identifying and retaining only valuable records,
4
the system will help avoid unnecessary storage costs associated with maintaining obsolete or
irrelevant records.
1.7.
SCOPE OF THE PROJECT
The project was to develop a records appraisal system for Makerere University School of Public
Health by assessing the existing records management practices and challenges to inform the
development of a records appraisal system, criteria, and guidelines for evaluating the significance,
authenticity, and value of records
The project was to be undertaken in a period of four months starting from February to August 2024
at Makerere University School of Public Health located in Kampala the capital city of Uganda
along the new Mulago road.
5
2.0. CHAPTER TWO: LITERATURE REVIEW
2.1.
INTRODUCTION
This chapter contains reviewed literature related to the problem being investigated or researched.
Snyder (2019) notes that a literature review is a comprehensive survey of scholarly sources
relevant to a specific research question or topic. It critically evaluates, organizes, and synthesizes
existing research to provide a foundation for new investigations. The objective of this literature
review is to develop a records appraisal system in the field of public relations, especially in
academic libraries.
2.2.
RECORDS APPRAISAL AT MAKSPH: STATE OF PRACTICE
2.2.1. PROCEDURES AND PROCESSES
Masenya (2020) that appraisal for enduring value should take place as early as possible in the life
of records. It may take place simultaneously with the assessment of the continuing utility of
records. Early appraisal allows for the prompt disposal of records of no enduring value as soon as
they are no longer of continuing utility. Functional analysis also helps the archivist make early
decisions about the enduring value of records; it is much easier to analyze functions, and the
significance of the records they generate, when the functions are still being performed by the
agency, and when the responsible officials are still available to provide information. The process
of records appraisal;
1. Identifying records: Determine the records that need to be appraised by reviewing organizational
functions and activities.
1. Gathering information: Collect data about the records, including their purpose, use, format,
and volume.
2. Evaluating value: Assess the records' value based on legal, administrative, fiscal, and
historical criteria.
3. Making decisions: Decide on the retention or disposal of records based on their appraised
value.
6
2. Documenting the process: Maintain thorough documentation of the appraisal process and
decisions made.
2.2.2. POLICIES AND GUIDELINES
The International Council on Archives (2016) provides specific guidelines for the appraisal
process which involves analyzing the record's content, context, and structure to determine their
historical, administrative, legal, and cultural significance. It emphasizes that;
Records must be precisely defined. On the one hand, the definition must include records in all
media and formats created or received at all levels within an organization. On the other hand, it
should exclude other information sources, such as library material and equivalent sources of data
that may be available
Records appraisal policy must establish a framework for the continuous appraisal and appropriate
disposal of all records. Responsibility for appraisal and disposal should be assigned to the
appropriate and qualified personnel.
General guidance on appraisal, retention, and disposal of records should be issued by the records
and archives institution. Within the context of that guidance, the records manager in each agency
should draft comprehensive and detailed instructions on the appraisal, retention, and disposal of
the organization's records, in consultation with appropriate representatives of the organization and
the records and archives department.
Rules must be established for the orderly and timely transfer of semi-current records of continuing
utility to a records center and of records of enduring value to an archival repository.
Rules must be established for the systematic and timely disposal of records. Responsibility must
be assigned for ensuring that disposal action is carried out. The approval process must be simple
to avoid delays.
2.2.3. TOOLS AND TECHNIQUES
According to Jones and Brown (2018), implementing a functional records appraisal system
involves employing various tools and techniques to effectively assess, manage, and dispose of
7
records based on their value and organizational needs. Here are some commonly used tools and
techniques:
Establish clear criteria for determining the value of records for example, legal, administrative,
financial, operational, and historical. In addition, the archivist should also consider the primary
and secondary values of records.
Appraisal guidelines. Records appraisal should be done systematically and following particular
guidelines. This can be done by developing detailed guidelines that outline how records should be
evaluated based on their enduring value.
Records inventory and classification. A records inventory is a fundamental tool in the records
appraisal process. It involves creating a detailed listing of all records held by an organization.
Implement classification tools for example indexing to organize records according to their
importance and relevance. According to Smith (2018), an inventory helps ensure compliance with
legal and regulatory requirements by identifying records that must be retained, disposed of
archived.
Assessing records based on their intrinsic value to the organization, considering factors such as
their usefulness in decision-making, supporting operations, or meeting legal requirements.
Risk-based appraisal is also another technique of records appraisal. It involves the evaluation of
records based on the potential risks associated with their retention or disposal, such as legal and
regulatory compliance, financial implications, and operational continuity.
Sampling is a valuable technique in records appraisal, especially when dealing with large volumes
of records. It allows organizations to appraise a representative subset of records. Flick (2018) states
that instead of examining every single record, a statistically valid sample can provide insights into
the characteristics and value of the entire collection.
Collaborative appraisal. Involve stakeholders from different departments or disciplines in the
appraisal process to ensure diverse perspectives are considered and consensus is reached on record
value and retention decisions (Walker, 2020).
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2.3.
RECORDS APPRISAL CHANLLENGES AND POTENTIAL
SOLUTIONS.
The MakSPH generates a vast array of records, encompassing research data, administrative
documents, educational materials, and more. Implementing a comprehensive records appraisal
system is essential to manage these records effectively. This process involves evaluating records
to determine their value and the appropriate length of time they should be retained. However,
several challenges must be addressed to ensure the successful operation and implementation of the
records appraisal system.
2.3.1. CHALLENGES IN RECORDS APPRAISAL
Lack of standardized appraisal criteria: Developing and applying standardized criteria for records
appraisal can be difficult. Without clear guidelines, there is a risk of inconsistent appraisal
decisions, leading to the retention of unnecessary records and the disposal of valuable ones
(Shepherd & Yeo, 2016).
Resource constraints: Implementing a comprehensive records appraisal system demands
significant human, financial, and technological resources. Budget limitations and staffing
shortages can impede the thorough appraisal and management of records (McLeod & Hare, 2019).
Compliance with legal and regulatory requirements: Navigating the complex landscape of legal
and regulatory requirements for records retention and disposal is challenging. Non-compliance can
result in legal penalties and reputational damage. Staying updated with changing laws and
regulations is essential (Bailey, 2018).
Change management: Introducing a new records appraisal system involves significant changes in
organizational processes and culture. Resistance to change from staff, coupled with a lack of
training and awareness, can hinder the effective implementation of the system (Asogwa, 2016).
Data security and privacy concerns: Ensuring the security and confidentiality of records,
particularly those containing sensitive information, is paramount. Implementing robust security
measures to protect against data breaches and unauthorized access is a critical challenge (Duranti
& Rogers, 2015).
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Integrating legacy systems: Many organizations have legal systems with records stored in outdated
formats. Integrating these legacy records into a new appraisal system without losing critical
information can be complex and resource-intensive. Zeng, (2016)
2.3.2. POTENTIAL SOLUTIONS
Standardized appraisal criteria: Develop and apply standardized criteria for evaluating records,
ensuring consistency in appraisal decisions across the organization.
Providing ongoing training to records managers and staff on appraisal methodologies, legal
requirements, and best practices to enhance expertise and reduce subjectivity (Smith, 2019)
Johnson (2018) suggests establishing comprehensive and clear policies for records appraisal which
ensures consistency and compliance with legal and organizational requirements. Maintain regular
updates on legal and regulatory requirements related to records management through active
monitoring and collaboration with legal experts.
Resource allocation: The process of records appraisal is a complex and conspicuous one that calls
for the allocation of sufficient resources, including personnel, technology, and budget, to support
comprehensive appraisal processes and ensure compliance with organizational goals and
regulatory requirements.
Enhancing privacy and security measures: Implement stringent privacy and security protocols to
safeguard sensitive records during appraisal, ensuring compliance with relevant data protection
laws. (Hagan, 2018).
Change management strategies: Engage stakeholders early in the process, communicate the
benefits of effective records appraisal, and address concerns through transparent decision-making
and regular feedback mechanisms (Garcia, 2021).
Collaborative appraisal approaches: Engaging multiple stakeholders in the appraisal process,
including legal, IT, and institutional units can provide a more holistic understanding of the records'
value and ensure all relevant perspectives are considered. (Walker, 2020).
10
Taylor (2018) suggests regular audits and inspections to help in identifying issues in the process
of records appraisal, management, evaluating the value of records, and ensuring compliance with
appraisal policies.
2.4.
TO DESIGN A RECORDS APPRAISAL SYSTEM FOR THE SCHOOL
OF PUBLIC HEALTH MAKERERE UNIVERSITY.
2.4.1. RECORDS APPRAISAL
David (2018) emphasizes that records appraisal is the process of identifying records that should
be preserved permanently because of their evidential, informational, or intrinsic value. This
definition emphasizes the criteria of evidential, informational, and intrinsic value in determining
which records merit permanent preservation, archival, or disposal.
Records are assessed based on their evidential (providing evidence of activities), informational
(containing unique or significant information), and intrinsic (having cultural or historical value)
qualities. Appraisal considers the context in which records were created, including organizational
functions, legal requirements, and societal significance. Criteria for appraisal vary but typically
include legal, fiscal, administrative, and research value, as well as uniqueness and authenticity.
The records appraisal system for the School of Public Health is designed to efficiently and
effectively evaluate records to determine their value and the appropriate retention period. The
system aims to align with the school's mission and goals, comply with legal and regulatory
requirements, and optimize resource allocation.
2.4.2. RECORDS APPRAISAL SYSTEMS
Records appraisal systems encompass the methodologies, frameworks, and technologies used to
assess the value of records and make decisions about their retention, preservation, or disposal
(Ritchie, 2017). These systems are crucial for effective records management and archival practices.
Methodologies and Approaches:
11
Value-based appraisal: Evaluates records based on their evidential, informational, and intrinsic
value. This approach focuses on the significance of records for documenting organizational
activities, supporting decision-making, and preserving institutional memory (Cook, 2013).
Contextual appraisal: Considers the broader context in which records are created, including their
relationship to organizational functions, processes, and legal requirements. This approach helps
determine the relevance and value of records within their operational and historical contexts
(Ritchie & Anderson, 2017).
Risk-based appraisal: Assesses records based on potential risks associated with their retention or
disposal, such as legal, financial, or reputational risks. This approach prioritizes records
management efforts by focusing on mitigating risks while ensuring compliance with regulatory
requirements (Upward & McKemmish, 2017).
2.4.3. DESIGN CONSIDERATIONS
The key principles and considerations in the design of the records appraisal system include;
Yeo (2018) emphasizes that appraisal should be aligned with broader organizational policies and
strategies. The records appraisal system will be designed to support the School of Public Health's
mission, goals, and operational needs. It will focus on identifying records that are essential for
fulfilling the school's functions and activities, ensuring that they are preserved and accessible for
as long as required.
Standardization and consistency: Standardized criteria and procedures will be developed to ensure
consistency and fairness in the appraisal process. This will help in making informed decisions
about the retention and disposal of records, reducing the risk of retaining unnecessary records
while disposing of valuable ones (McLeod, 2016).
According to Penn (2017), compliance with legal and regulatory requirements is a top priority.
The system will be designed to comply with relevant legal and regulatory requirements governing
records retention and disposal. This includes identifying and integrating applicable laws,
regulations, and standards into the appraisal process to minimize the risk of non-compliance and
legal liabilities.
12
Rresource allocation: Adequate resources, including personnel, budget, and technology, will be
allocated to support the appraisal system. This will include investing in training and development
to ensure that staff have the necessary skills and knowledge to perform appraisal tasks effectively.
Stakeholder engagement: Key stakeholders, including record creators, users, and managers, will
be engaged throughout the design and implementation of the appraisal system. Their input will be
sought to ensure that the system meets the diverse needs of the school and promotes buy-in and
compliance.
Continuous Improvement: The appraisal system will incorporate mechanisms for regular review
and improvement. This will involve monitoring the effectiveness of appraisal practices, updating
criteria and procedures as needed, and adapting to changes in the school's needs and external
requirements (Duranti, 2019).
2.5.
CRITERIA AND GUIDELINES TO EVALUATE THE
SIGNIFICANCE, AUTHENTICITY, AND VALUE OF PUBLIC
RECORDS?
2.5.1. CRITERIA
According to Franks (2018), developing a robust records appraisal system involves establishing
clear criteria to ensure consistency, effectiveness, practicality, and compliance with organizational
goals and regulatory requirements. Here are the key criteria that can be established for the
evaluation of records.
Hammersley (2019) states that ethical evaluation of records involves ensuring that data collection
and reporting methods adhere to ethical standards and guidelines. Records must be evaluated for
ethical compliance, including considerations of consent, privacy, and the ethical treatment of
participants or data subjects.
Records should provide clear documentation of methodologies and procedures used in data
collection. Transparent records allow for reproducibility and verification of research findings.
Transparency in research documentation is essential for ensuring that methodologies are clearly
outlined and that findings can be independently verified (Fink, 2019).
13
Records should be objective, free from personal biases, and present information fairly. Evaluating
for bias involves assessing whether the records present multiple viewpoints or skewed information.
Records should be evaluated for objectivity by analyzing the presence of bias and the balance of
perspectives presented in the data (Cook & Campbell, 2018).
Rowley (2017) emphasizes assessing the timeliness of records involves evaluating how recent the
data is whether it reflects current trends and developments the information within the record is still
relevant and useful for current or future purposes.
Data quality is evaluated through measures of accuracy, reliability, and validity of the information
provided in the records (Franco, 2018). How well does the record document the activities,
functions, and transactions of the organization or individual? Does the record provide a
comprehensive and accurate account of the documented event or activity?
2.5.2. GUIDELINES TO EVALUATE THE VALUE OF RECORDS
Legal and regulatory compliance: Franks (2019) emphasizes the evaluation of records based on
their compliance with legal and regulatory requirements relevant to the organization. Ensuring
records adhere to retention schedules and legal mandates for preservation and disposal.
The enduring value of records. It involves evaluating the record's significance and usefulness
which can either be short-term or long-term. Assessing their relevance to organizational
operations, decision-making, and accountability as discussed by Stephens (2017).
Historical and research value. The Makerere University School of Public Health has been a huge
stakeholder in carrying out various research in public health. It is important to evaluate records
based on their significance for historical research, cultural heritage, or contributions to the existing
knowledge base.
Informational integrity and authenticity. Snowden (2018) discusses that an archivist or records
manager must ensure that records are accurate and reliable, and maintain their authenticity
throughout their lifecycle.
14
Risk and impact assessment can serve as some crucial criteria for evaluating the significance of
records, especially in determining their importance. Identify potential risks associated with
retaining or disposing of records, including legal liabilities and privacy concerns based on their
content, sensitivity, and importance.
2.6.
RESEARCH GAP
About the contemporary literature, Research has been done by different scholars in the field.
However, there is a lack of research on how an effective records appraisal system can promote the
utilization of records users, resources, and services.
Therefore, this study aims to establish the role of an effective records appraisal system in the
Makerere School of Public Health
3.0. CHAPTER THREE: RESEARCH METHODOLOGY
3.1.
INTRODUCTION
This chapter presents the research design, the area of study, the population of the study, sampling
methods, the sample size, data collection methods, data collection tools, data analysis and
presentation, data quality control, ethical issues, limitations, and delimitations.
3.2.
RESEARCH DESIGN
Various scholars (Babbie, 2021; Creswell, 2018; Yin, 2018; Bryman, 2016; Neuman, 2014 have
defined research design in different ways that attempt to say that research design is a
15
comprehensive plan and procedure that provides an answer to the research question. Creswell
(2014) explains that research design is the specific procedures involved in the research process;
data collection, data analysis, and report writing. Explicitly, it is the master plan or blueprint that
specifies procedures and methods for conducting the study and ensures that the research question
is addressed systematically and accurately. The design decisions happen to be in respect of;
What is the study about?
Why is the study being made?
Where will the study be made?
What type of data is required?
What methods will be used for data collection?
Where can the required data be found?
How will the data be collected and analyzed?
Research design entails a process of finding a definitive answer to research questions Adebiyi
(2016). It is important to note that the research design for a study is not given but rather constructed
by the researcher depending on the type of study and purpose of the study. Researchers may
employ two major types of research design; quantitative and qualitative.
The qualitative research design will be taken for this study because it provides an in-depth
understanding of the processes, procedures, policies, and the records appraisal system of MakSPH
in general. A case study is a qualitative research method that involves an in-depth, contextual
analysis of a single case according to Yin (2018). It offers a valuable method for exploring complex
phenomena and enhances the validity and robustness of findings. In addition, it is adaptable,
provides valuable insights for developing policies and programs, and offers the best approach to
understanding phenomena, beliefs, and practices.
16
3.3.
AREA OF STUDY
The study was conducted at the Makerere University School of Public Health located [Nr13] along
the new Mulago Hill Road in Kampala, Uganda.
3.4.
POPULATION
Trochim (2016), defines population as the entire group of individuals, objects, or events that a
researcher is interested in studying and about which they want to conclude. It includes all elements
that meet the criteria for inclusion in a study. For this study, the population includes all the
academic staff members (109).
3.5.
SAMPLING
Sampling involves selecting a part of the target population to observe so that one may estimate the
whole population (Thompson, 2012).
3.5.1. SAMPLING TECHNIQUE
Researchers use various techniques of sampling broadly categorized into probability sampling and
non-probability sampling.
For this study, nonprobability sampling techniques were adopted. Purposive sampling as a
nonprobability sampling technique was adopted because this method enables research to target
specific traits or characteristics within a population, ensuring that the sample includes individuals
who meet predefined criteria. The purposive technique was used to select the teaching staff and
records managers. Convenience sampling was used to select potential respondents. According to
Saunders and Thornhill (2016), convenience sampling involves choosing respondents who are
easiest to reach or most readily available. It is ideal for gaining insights about the entire population.
3.5.2. SAMPLE SIZE
Sample size refers to the number of individual observations or data points included in a study from
the population according to Wang and Cheng (2020) It is a critical aspect of research design, as
the sample size determines the accuracy, reliability, and generalization of the research findings.
17
Dattalo (2018) further emphasizes that a properly determined sample size ensures that the study
results are statistically significant and reflective of the population. One of the most widely cited
methods for determining sample size in research is the formula developed by Morgan and Krejcie.
For this study, we used Morgan and Krejcie's table of 1970 (Appendix 1) to determine the sample
size. According to Morgan & Krejcie, researchers must determine the required sample size for a
given population size with a predetermined margin of error and confidence level. Therefore for
our population size (N)109, the sample size(S) is 86.
3.6.
DATA COLLECTION METHODS
Data collection refers to the systematic process of gathering and measuring information on
variables of interest in a way that enables researchers to answer research questions, test hypotheses,
and evaluate outcomes. Effective data collection is crucial for ensuring the accuracy and validity
of the research. The methods of data collection are expounded on below.
3.6.1. INTERVIEW METHOD
According to Qu and Dumay (2019), an interview is a qualitative data collection method that
involves direct interaction between the researcher and the respondent to obtain detailed
information about the respondents' perspectives, experiences, or opinions. The interview method
is a widely utilized data collection technique in qualitative research, valued for its ability to capture
rich, in-depth information directly from participants. Interviews can be structured with a
predetermined set of questions, semi-structured, with a flexible guide allowing for in-depth
exploration, or unstructured resembling a free-flowing conversation. For this study, a semistructured interview emerged as the most viable interview method. The face-to-face nature of
semi-structured interviews helps in building rapport and trust, encouraging participants to be more
open and honest. This method allows the researcher to follow a guide with pre-determined
questions to ensure that key topics are covered while also giving the flexibility to obtain details of
the interviewee's thoughts, feelings, experiences, and nuanced insights.
18
3.6.2. OBSERVATION METHOD
Poth (2018) defines observation as a qualitative data collection method that involves
systematically watching, listening to, and recording behaviors and interactions as they occur in
their natural settings. Observation can be structured, with specific criteria and protocols, or
unstructured allowing for more flexible and open-ended data collection. This method enables
researchers to gather firsthand information on how people interact in real-life situations providing
insights into social processes, practices, and contexts that may not be accessible through other
methods such as surveys or interviews. In addition, this method is used to examine different aspects
of the procedures, criteria, and process of records appraisal at MakSPH. It is therefore for the above
advantages that this project uses d un-structured observation method.
3.6.3. DOCUMENT REVIEW METHOD
Document review also known as document analysis is a systematic procedure for evaluating and
interpreting documents to gain understanding and insights into a research topic (O'Leary, 2017).
It continues to state that this method involves the examination of various forms of documents such
as official records, reports, letters, emails, and other written materials. Document review is
particularly useful for providing a rich source of information that corroborates or challenges
findings from other data collection methods. This method also allows researchers to track changes
over time, uncover patterns, and obtain a comprehensive understanding of the subject under
investigation. Document analysis guarantees informed decision-making because the reports used
are authentic.
This study focused on those documents that were published relating to records of MakSPH for
example reports, letters, emails, meeting minutes and agendas, audits, manuscripts, and archives.
The information contained in these documents is research-specific and forms an acceptable study
base and guide for developing a records appraisal system. The advantage of using these documents
for data collection is that they provide valuable historical, contextual, and empirical data to support
research findings
19
3.7.
DATA COLLECTION TOOLS
The different methods of data collection are supported by the various data collection
Tools to see that data is collected appropriately. These included; an interview guide, observation
guide, and questionnaire.
3.7.1. INTERVIEW GUIDE
An interview guide, according to Kallio (2016) refers to a tool that consists of a list of questions
or topics that the interviewer plans to address, arranged in a logical order. It is used by researchers
to ensure that all key points are covered during an interview. The interview guide can be highly
structured, with specific questions and probes, or semi-structured allowing for flexibility and
follow-up based on the respondent's answers.
The interview guide was made up of questions on the processes, evaluation, procedures, and
policies of records appraisal at MakSPH focusing on how records appraisal is done at MakSPH
and the challenges faced in the process of records appraisal (Appendix 2)
3.7.2. OBSERVATION GUIDE
An observation guide is a systematic tool used by researchers to structure their observations during
a study. It includes pre-defined categories and criteria that direct the observer's focus, ensuring that
all relevant aspects of the environment, interactions, and behaviors are consistently recorded. This
method helps in maintaining objectivity and comprehensiveness while observing natural settings.
An observation guide can be detailed, listing specific behaviors to look for or it can be more general
outlining broader areas of interest.
While using the instrument, it included all the instructions that the researcher followed while taking
note of the physical appearances, subject, status, and process of records appraisal at MakSPH.
The purpose of this observation is to systematically assess the current records appraisal system at
MAKSPH. This guided in capturing key aspects of how records are managed, appraised, and
utilized, as well as identifying any operational challenges or areas for improvement ( Appendix 4).
20
3.7.3. DOCUMENT REVIEW GUIDE
According to Bowen (2017), a document review guide is an organized framework used by
researchers to analyze and interpret documents consistently and comprehensively. It outlines the
specific criteria, themes, and categories that may be used to evaluate the content of documents
ensuring that the analysis is focused and aligned with the research objectives. A document review
guide was used to establish criteria for selecting documents to ensure relevance, authenticity,
reliability, and credibility and to determine a plan for collecting documents including permissions
and access requirements (Appendix 3). Documents that were reviewed include reports, memos,
archives, meeting minutes, and other official documents.
3.8.
DATA ANALYSIS AND PRESENTATION
Data analysis and presentation are critical components of the research process. Data analysis
entails developing methods and techniques for organizing the collected data to extract meaning
from the information given by the respondents for the achievement of the project purpose and
objectives (Buruga, 2016). Analyzing qualitative data involves the identification analysis and
reporting of patterns or themes within the data.
3.9.
DATA QUALITY CONTROL
According to Trochim (2021), data quality control is crucial in research to maintain the integrity
and reliability of findings. In this study, various methods are used to ensure that the validity and
reliability of the data are achieved. These include pretesting of data collection instruments,
objectivity, and triangulation.
3.10. RESEARCH PROCEDURE
Research procedure encompasses the systematic steps followed by researchers to conduct a study
and produce valid and reliable results. These producers are guided by the research design,
methodology, and objectives of the study (FitzGerald, 2016). The study started with the
identification and suggestion of a topic and handing it to the Department of Library and
Information Science for review. Following topic identification, review, and approval. The
21
researchers stated project objectives, project research questions, and a research problem coming
up with a research proposal that includes introductions and methodologies under the guidance of
the project supervisor.
3.11. ETHICAL ISSUES
According to Resnik (2015), ethical considerations refer to the principles and guidelines that
ensure the rights, dignity, and well-being of research participants are protected. These
considerations are essential for maintaining the integrity and credibility of research and are guided
by ethical principles and regulations highlighting the need for transparency, integrity, and respect
for participants. The researchers emphasized the following ethical issues in the process of doing
the research project;
Informed consent: Researchers seek informed consent by explaining the study's purpose,
procedures, risks, and benefits to participants before they agree to take part for example before
starting interviews, researchers explain to participants how their responses were to be used and
assure them of confidentiality.
Privacy and confidentiality: Researchers protect participants' identities and data to ensure that
responses are anonymized and comfortable with the purpose, procedures, potential risks, and
benefits of the study.
Voluntary participation: Researchers treat participants with respect and dignity for example
participants face no pressure to take part in the study. Participants are made aware that participation
is optional and that declining to participate has no negative consequences for the individuals.
Research integrity: Researchers maintain honesty and transparency in their research for example
accurately reporting their findings even if they do not support their initial hypotheses.
Compliance with ethical guidelines: Researchers adhere to ethical guidelines set by the institution
or organization for example obtaining approval from an institutional review board (IRB) before
starting a research project involving human participants
22
3.12. LIMITATIONS OF THE STUDY
Limitations refer to factors or constraints that may affect the interpretation or generalizability of
the study's findings. Researchers need to acknowledge and discuss the limitations of the study's
results. Below are the limitations of the study;
Sampling limitations: Issues related to the selection of participants, such as a small sample size,
biased sampling methods, or difficulty in recruiting a representative sample can limit the
generalizability of the findings.
Time and resource constraints: Constraints related to time, budget, or access to resources such as
limited funding or time constraints that prevent extensive data collection can impact the scope and
depth of the research.
Ethical limitations: Restrictions related to ethical considerations, such as limitations on the types
of participants that can be included in the study or constraints on the method that can be used can
affect the study's design and implementation.
23
4.0. CHAPTER FOUR: DATA ANALYSIS, PRESENTATION AND
DISCUSSION OF FINDINGS
4.1.
INTRODUCTION
This chapter presents the findings from the study about the set objectives.
4.2.
DEMOGRAPHIC CHARACTERISTICS OF RESPONDENTS
This section presents the response rate of the population from the field. Based on the data collection
process used to obtain data from particular respondents and the challenges faced during data
collection obtaining data from the respondents. Majorly, 67% of the sample size was female and
33% were male therefore, the biggest populations were female.
Figure 1 Gender of the respondents
Gender
33%
67%
MALE
FEMALE
Figure 2 Age brackets of the respondents
24
AGE
10% 15%
17%
30%
28%
25-34
4.3.
35-44
45-54
55-64
65+
RESPONSE RATE
The project initially intended to sample eighty-six (86) respondents 78% of the total population,
but the number of respondents was significantly reduced. Of the 86 respondents, 70 were teaching
staff members,6 library staff (3 reference librarians, 2 circulation librarians, and 1 IT support and
10 administrators. 86 interview guides were developed for the 70 teaching staff 6 librarians and 10
administrators. Out of the 86 interviews expected, the study achieved 71 interviews hence resulting
in a total response rate of 82.5%. The variation in response is due to concerns about the
confidentiality of their responses, the sensitive nature of records managed, and the unavailability
of some of the respondents especially the staff as they were on holiday. The response rate for the
study is as presented in table 1 below.
Table 1 shows the total response rate
Type of respondents
Number of responses gained
%Response Rate
Staff
59
83.09%
Library staff
5
7.04%
Administrators
7
9.85%
Total
71
100%
25
4.4.
OBJECTIVE ONE: ASSESS THE EXISTING RECORDS
APPRAISAL SYSTEM PRACTICES AT THE SCHOOL OF PUBLIC
HEALTH
According to the interviews carried out with the administrators, the school lacks a specialized
department in charge of records management and therefore this task is left to the administrators.
The key stakeholders including academic and administrative staff are actively involved in the
process to accurately determine the value and establish the criteria for records appraisal. The
approach to records appraisal involves inventory and classification of records. However, the
current practices exclude regular reviews, strict adherence, and compliance with international
standards and local regulations.
4.4.1. RECORD CATEGORIZATION
According to the interview with an administrator, we found out that the majority of the records
kept and managed at MakSPH are academic records (40%), followed by administrative records
(25%), then financial records (15%), research records (10%), miscellaneous records and
compliance records with a percentage of 5% each. The records categorization is analyzed as
follows;
Table 2 Categories of records at MakSPH
category
percentage
Academic records
40%
Administrative Records
25%
Financial records
15%
Research Records
10%
Miscellaneous Records
5%
Compliance Record
5%
26
Figure 3 Record categorization at MakSPH
Chart Title
45%
40%
35%
30%
25%
20%
15%
10%
5%
0%
Academic records
Administrative
Records
Financial records Research Records
Miscellaneous
Records
Compliance Record
percentage
4.4.2. APPRAISAL CRITERIA
The respondents described the criteria for appraisal of records at the Makerere School of Public
Health (MakSPH) as a systematic process that follows guided criteria designed to assess the value
and retention needs of various documents. These criteria ensure that only records with significant
ongoing value are retained, while those that are no longer useful are appropriately disposed of.
Records are evaluated based on their utility in the administrative functions of MakSPH.
Documents such as policy manuals, procedural guides, and meeting minutes are appraised for their
role in supporting day-to-day operations and decision-making processes. Compliance with legal
and regulatory requirements is a crucial criterion. Records needed to meet statutory obligations,
such as contracts, compliance reports, and legal correspondence, are appraised for retention based
on applicable laws and regulations.
Financial records, including budgets, financial statements, and grant documentation, are appraised
for their importance in financial auditing, reporting, and accountability. The retention period is
often determined according to the value of the document or record. Academic records, such as
research projects, publications, student records, and course materials, are appraised for their
ongoing significance in supporting educational and research activities. The potential for future
research use and academic reference is a key consideration.
27
Records with historical significance, such as founding documents, milestone achievements, and
significant correspondence, are appraised for long-term preservation to maintain the institutional
memory and heritage of MakSPH. The usefulness of records in supporting current and future
operations is assessed. This includes records that are frequently referenced or used in ongoing
projects and activities. Furthermore, regarding an interview carried out with an administrator, the
frequency with which records are accessed and used is a determining factor. Records with high
usage rates are often retained longer to ensure availability for operational needs.
Records are appraised for redundancy and duplication. Duplicate records or those containing
repetitive information are identified for disposal to streamline storage and retrieval processes. The
physical condition and format of records are considered. Damaged or deteriorating records that
cannot be preserved or digitized effectively may be appraised for disposal. The cost implications
of retaining records, including storage space and maintenance.
4.4.3. RECORD RETENTION AND DISPOSAL
From the documents reviewed, MakSPH follows a structured approach to records retention and
disposal to ensure efficient and compliant records management. This process involves several key
components including retention schedules, periods, and archiving as explained below.
1. Retention schedules
Records are assigned specific retention periods based on their category and appraisal criteria.
Retention schedules are established following legal, regulatory, fiscal, administrative, and
historical requirements. These schedules outline how long each type of record should be kept
before it is eligible for disposal or archiving.
2. Retention periods
Administrative Records are typically retained for a period that supports operational needs, ranging
from 3 to 7 years, depending on the nature and utility of the records. Academic records such as
student records, course materials, and research data are retained for longer periods, often
indefinitely, to support educational and research activities for future purposes. Financial records
such as financial documents, such as budgets, invoices, and grant documentation, are retained for
28
periods defined by fiscal audit cycles and legal requirements, between 5 to 10 years. Legal and
compliance records are retained for periods specified by legal and regulatory mandates, which
depend on the nature, significance, and value of the documents.
3. Archiving
Records with enduring value, such as those with historical, academic, or significant administrative
importance are transferred to archive for long-term preservation. Archival records are stored in
controlled environments to ensure their longevity.
4.4.4. ACCESSIBILITY AND RETRIEVAL
The respondents gave their views on the accessibility and retrieval of records at MakSPH, retrieval
and accessibility of records is managed through a combination of manual and semi-digital
processes. Records are inventoried and classified according to type, function, and origin, which
aids in their organization and retrieval. Physical records are stored in designated file rooms and
cabinets, with a system in place to log the location and movement of each document. For digital
records, a basic electronic database is utilized to track and manage files, although this system is
not fully automated.
Access to sensitive records such as financial records and administrative records is only granted to
authorize personnel who can access these records through requests to the records management
team, who retrieve and deliver the necessary documents. Despite these measures, the system faces
challenges in ensuring quick and efficient retrieval due to its largely manual nature. Enhancing
this system with a centralized repository would greatly improve accessibility, allowing for faster
and more reliable access to both physical and electronic records. This transition would also support
better indexing and search capabilities, ultimately facilitating improved operational efficiency and
decision-making within the institution.
29
4.5.
OBJECTIVE TWO: CHALLENGES AND PROPOSED SOLUTION
TO THE EXISTING APPRAISAL AT MAKSPH.
4.5.1. CHALLENGES
The interviewees outlined the challenges faced in the process of the records appraisal system at
Makerere School of Public Health is critical for evaluating staff performance, setting goals, and
ensuring professional development. Outlines the challenges identified in the field and proposes
solutions to enhance the process of records appraisal.
Firstly, the reliance on a largely manual system poses significant difficulties, including a high risk
of human error during the appraisal and documentation processes. This manual approach also
causes drudgery in the records appraisal process time-consuming tasks, which can slow down the
appraisal process and affect the timely disposition or retention of records.
There is a problem of lack of advanced digital tools and automation means that the system struggles
with efficiency and consistency. Without automated workflows, the appraisal process is
inconsistent, as it heavily depends on individual staff members' interpretations and diligence. This
inconsistency has led to the retention of unnecessary records and the disposal of valuable ones.
The existing classification and inventory system, while functional, lacks the sophistication
required for handling large volumes of records. As a result, the retrieval of records is cumbersome
and slow, impacting the overall accessibility and responsiveness of the system.
Additionally, there is a challenge in maintaining comprehensive and up-to-date training for staff
involved in the records appraisal process. Inadequate training can result in inconsistent application
of appraisal criteria and procedures, further complicating the management of records.
The appraisal criteria themselves are not frequently updated to reflect changes in institutional
priorities, regulatory requirements, and technological advancements. This has led to outdated
practices that do not align with the current needs and legal obligations of the institution.
Moreover, the feedback mechanism within the appraisal process is not sufficiently structured,
limiting the ability to continuously improve and adapt the system based on practical experiences
30
and emerging challenges. This lack of structured feedback inhibits the institution's ability to
identify and address inefficiencies effectively.
Data security during the disposal phase also presents a significant challenge. Ensuring that
sensitive information is securely destroyed requires robust protocols, which may be inadequately
implemented due to the manual nature of the current system.
The physical storage space for records is limited, leading to overcrowding and difficulty in
managing and retrieving records. This spatial constraint also poses risks to the physical integrity
of the records, such as damage from environmental factors or mishandling.
Lack of clear objectives and criteria. Many staff members and appraisers expressed confusion
regarding the objectives and criteria used for appraisals. This lack of clarity has led to inconsistent
evaluations and dissatisfaction among staff.
Inconsistent implementation. There is variability in how appraisals are conducted across
departments, leading to perceptions of unfairness and bias.
Insufficient feedback and development support. Staff reported that appraisals often lack
constructive feedback and actionable recommendations for professional development.
Low staff engagement. Staff members are often disengaged from the appraisal process, viewing it
as a formality rather than a valuable tool for growth.
4.5.2. PROPOSED SOLUTIONS
Develop and Communicate Clear Objectives. Establish well-defined appraisal objectives and
performance criteria that align with the school's mission and strategic goals. In addition,
development of a handbook outlining the appraisal process, criteria, and expectations, and
distribute it to all staff.
Standardize the appraisal process. Implement a standardized appraisal form and procedure to
ensure consistency across all departments.
31
Regular audits. Perform regular audits of the appraisal process to identify and address
inconsistencies in the records management and appraisal practices. This can be done by
introducing a peer review system where appraisals are cross-checked by colleagues to ensure
fairness.
Follow-up Meetings. Schedule follow-up meetings to review progress on development plans and
adjust as necessary.
Highlight Benefits. Regularly communicate the benefits of the appraisal process, including career
advancement and skill development.
Implement an Appraisal Management System. Invest in a digital appraisal management system to
streamline the process, improve data accuracy, and facilitate easy tracking and reporting.
Training on Technology. Provide training to staff and appraisers on how to use the new system
effectively.
Feedback Mechanism. Create an online feedback mechanism to gather input from staff on the
new system and make continuous improvements. Continuously evaluate the effectiveness of the
appraisal system and make iterative improvements based on feedback. Incorporate structured
feedback sections in appraisal forms that focus on strengths, areas for improvement, and
actionable steps.
4.6.
OBJECTIVE THREE: TO DESIGN A RECORD APPRAISAL
SYSTEM PRACTICES AT MAKERERE SCHOOL OF PUBLIC
HEALTH
4.6.1. OBSERVATIONS FROM THE FIELD OF THE EXISTING
RECORDS APPRAISAL SYSTEM
From observing the practices of records appraisal at MakSPH, records are maintained manually
with physical forms and files. This involves a significant amount of paperwork and manual entry.
Each department manages its appraisal records independently, leading to inconsistencies and
difficulties in data aggregation.
32
Appraisal records are reviewed periodically, but the frequency and consistency vary across
departments.
Inconsistency in Record Keeping. There are discrepancies in how records are maintained and
updated, leading to potential inaccuracies and difficulties in tracking staff progress.
Lack of Centralized Access. Centralized access to appraisal records is limited, making it
challenging to generate comprehensive reports or conduct cross-departmental analyses.
Limited Data Utilization. Current records are not effectively utilized for strategic decision-making
or identifying trends and patterns in staff performance.
Records are assessed based on their evidential (providing evidence of activities), informational
(containing unique or significant information), and intrinsic (having cultural or historical value)
qualities. Appraisal considers the context in which records were created, including organizational
functions, legal requirements, and societal significance. Criteria for appraisal vary but typically
include legal, fiscal, administrative, and research value, as well as uniqueness and authenticity.
The records appraisal system for the School of Public Health is designed to efficiently and
effectively evaluate records to determine their value and the appropriate retention period. The
system aims to align with the school's mission and goals, comply with legal and regulatory
requirements, and optimize resource allocation.
4.6.2. NEEDS ASSESSMENT
The development of a functional records appraisal system at the Makerere School of Public Health
(MakSPH) is crucial for managing records efficiently and ensuring compliance with institutional,
legal, and regulatory requirements. This chapter outlines the methodology and steps undertaken to
design and implement a comprehensive records appraisal system tailored to the needs of MakSPH.
The first step in developing the records appraisal system was conducting a thorough needs
assessment. This involved:
33
Stakeholder Interviews: Engaging with key stakeholders, including administrative staff, faculty
members, and records management personnel, to understand their requirements, challenges, and
expectations.
Current System Analysis: Evaluating the existing records management practices to identify gaps
and areas for improvement.
Regulatory Review: Reviewing relevant regulations and standards to ensure the new system
complies with legal requirements and best practices in records management,
4.6.3. SYSTEM DESIGN
Based on the needs assessment, the design phase focused on creating a framework that addresses
identified gaps and leverages modern records management principles. The key components of the
system design include:
Appraisal Criteria Development: Establishing clear, objective criteria for appraising records based
on their administrative, legal, fiscal, and historical value.
Classification Scheme: Developing a comprehensive classification scheme to organize records
systematically, facilitating easier retrieval and appraisal.
Metadata Standards: Defining metadata standards to ensure consistent documentation of records'
attributes, enhancing their accessibility and traceability.
4.6.4. IMPLEMENTATION PLAN
The implementation plan was designed to transition smoothly from the current system to the new
appraisal framework. Key steps in the implementation plan include:
Pilot Testing: Conducting a pilot test of the new system in select departments to identify potential
issues and gather feedback for refinement.
Training and Capacity Building: Providing training sessions for all relevant staff to ensure they
understand the new procedures, criteria, and tools.
34
Phased Rollout: Implementing the system in phases across different departments to manage the
transition effectively and address any challenges as they arise.
4.6.5. TOOLS AND TECHNOLOGIES
Although the new system primarily relies on manual processes, certain tools and technologies were
introduced to enhance efficiency:
Appraisal Checklists, Creating detailed checklists to guide staff through the appraisal process,
ensuring consistency and thoroughness.
Database for Records Tracking: Implementing a basic electronic database to track records' status,
location, and appraisal decisions, improving accessibility and retrieval.
Templates and Forms: Developing standardized templates and forms for recording appraisal
decisions and other related documentation.
4.6.6. MONITORING AND EVALUATION
To ensure the system remains effective and responsive to the institution's needs, a robust
monitoring and evaluation framework was established. Regular Audits like conducting periodic
audits of the appraisal process to ensure compliance with established criteria and procedures.
Feedback Mechanisms: Implementing structured feedback mechanisms to gather input from users
and stakeholders, facilitating continuous improvement.
Performance Metrics: Defining key performance indicators (KPIs) to measure the system's
efficiency, effectiveness, and impact on records management practices.
4.6.7. CHALLENGES AND MITIGATION STRATEGIES
During the development and implementation of the new records appraisal system, several
challenges were anticipated and addressed:
Change Management: Managing resistance to change through clear communication, stakeholder
engagement, and comprehensive training programs.
35
Resource Constraints: Addressing limitations in budget and personnel by prioritizing critical
components of the system and seeking external funding or support where possible.
Data Security: Enhancing data security measures, particularly during the disposal phase, to protect
sensitive information.
4.7.
OBJECTIVE FOUR: TO DEFINE CRITERIA AND GUIDELINES
FOR EVALUATING THE SIGNIFICANCE, AUTHENTICITY, AND
VALUE OF PUBLIC HEALTH RECORDS BASED ON LEGAL
REQUIREMENTS, INSTITUTIONAL POLICIES, AND
STAKEHOLDER NEED
4.7.1. CRITERIA FOR EVALUATING THE SIGNIFICANCE OF
RECORDS
The criteria for evaluating the significance of records at MakSPH are designed to determine the
value and appropriate disposition of records based on their various attributes. The key criteria
include:
Administrative value. Records that support the daily operations and management of MakSPH.
These include policies, procedures, and internal communications that are essential for operational
continuity.
Legal and regulatory value. Records that are required to be retained by law or regulation. These
include contracts, compliance documents, and records related to legal proceedings or audits.
Fiscal value. Records that document financial transactions and are necessary for financial
management, auditing, and reporting. Examples include budgets, financial statements, and
expenditure reports.
36
Historical and research value. Records that have long-term value for historical research or that
document the significant activities and achievements of MakSPH. These include meeting minutes,
research reports, and publications.
Informational value. Records that provide important information that is useful for reference or for
informing future decisions. This includes educational materials, research data, and correspondence
with external bodies.
Operational usefulness. Records that are frequently referenced or required for ongoing projects or
programs. These records must be easily accessible and maintained until their operational utility
ceases.
4.7.2. GUIDELINES FOR APPRAISING RECORDS
Comprehensive inventory. MakSPH maintains a detailed inventory of all records, including
physical and electronic formats. This inventory captures essential metadata such as the record's
type, origin, date of creation, and current location.
Regular appraisal cycles are conducted. Appraisal activities are done at regular intervals to ensure
timely identification of records for retention or disposal. Annual reviews are maintained to keep
the records management system up-to-date.
Stakeholders are involved in the records appraisal process. MakSPH engages relevant
stakeholders, including departmental heads, legal advisors, and records management
professionals, in the appraisal process. Their insights and expertise are crucial for accurate and
comprehensive evaluations.
Documentation of all appraisal decisions is carried out. All appraisal decisions are documented,
including the rationale behind retaining or disposing of records. This documentation is stored
securely and made available for audits, research, and future reference.
Compliance with standards. MakSPH ensures that the appraisal process aligns with international
records management standards, such as ISO 15489, and adheres to local legal and regulatory
requirements.
37
There is training, capacity building, and provision of continuous training and resources to staff
involved in the records appraisal process. This ensures that all personnel are knowledgeable about
the criteria and guidelines and can perform their roles effectively.
Security and confidentiality are enforced. Implements robust security measures to protect records
during the appraisal process, particularly those containing sensitive or confidential information.
Ensures that records slated for disposal are destroyed securely and per legal requirements
Feedback and continuous improvement are encouraged by the establishment of mechanisms for
collecting feedback from staff and stakeholders on the appraisal process. This feedback is used to
make continuous improvements and address any identified issues or gaps.
38
5.0. CHAPTER FIVE: A RECORDS APPRAISAL SYSTEM FOR
MAKERERE UNIVERSITY SCHOOL OF PUBLIC HEALTH
5.1.
INTRODUCTION
This chapter outlines the design for an effective records appraisal system specifically tailored for
MakSPH. The goal is to develop a systematic approach to managing and preserving records,
ensuring they serve their intended purposes and comply with legal and institutional requirements.
This chapter will detail procedures, policies, criteria, and implementation guidelines to address
challenges and ensure efficient records management.
5.2.
PROCEDURES FOR RECORDS APPRAISAL
5.2.1. Identifying Records
Inventory Creation:
Objective: Develop a complete list of records across all departments within MakSPH.
Steps:
1. Catalog Records: Identify all types of records, including physical documents, digital files,
emails, and multimedia.
2. Record Details: For each record, include details such as title, description, format (paper,
electronic), creation date, and storage location.
3. Review Existing Systems: Assess current record-keeping systems for gaps and overlaps.
Functional Analysis:
Objective: Understand how records are generated and their purpose in organizational functions.
Steps:
1. Departmental Consultation: Conduct meetings with each department to understand their
record-keeping practices.
39
2. Workflow Analysis: Examine how records flow through the organization, from creation to
disposal.
3. Record Mapping: Create a map or diagram to visualize record creation and usage.
5.2.2. Gathering Information
Record Evaluation Forms:
Objective: Standardize data collection on records.
Steps:
1. Design Forms: Develop forms capturing details such as record type, usage frequency,
format, retention needs, and current storage.
2. Pilot Testing: Test forms with a sample of records to ensure they capture all necessary
information.
Data Collection:
Objective: Gather comprehensive data to inform appraisal decisions.
Steps:
1. Interviews: Conduct interviews with records creators and managers.
2. Documentation Review: Analyze existing documentation related to records management.
3. Practice Analysis: Review current practices and identify any inefficiencies.
5.2.3. Evaluating Value
Criteria-Based Evaluation:
Objective: Determine the value of records using defined criteria.
Criteria Examples:
•
Legal Value: Compliance with legal requirements.
•
Administrative Value: Utility for ongoing operations.
•
Fiscal Value: Impact on financial audits and accountability.
•
Historical Value: Significance for historical research and organizational history.
40
•
Research Value: Contribution to academic or institutional research.
Assessment Tools:
Objective: Use appropriate tools and techniques for appraisal.
Tools Examples:
o Risk-Based Appraisal: Assess potential risks of retaining or disposing of records.
o Sampling: Select a representative sample of records for detailed evaluation.
o Collaborative Evaluation: Engage stakeholders in the appraisal process to ensure
diverse perspectives.
5.2.4. Making Decisions
Retention Schedule:
Objective: Define how long records should be kept.
Steps:
1. Category Definition: Establish categories such as permanent, temporary, and disposable.
2. Schedule Development: Create a detailed schedule with retention periods for each record
category.
3. Review and Approval: Submit the schedule for approval by relevant authorities.
Approval Process:
Objective: Ensure decisions on records retention and disposal are formalized and documented.
Steps:
1. Decision-Making Committee: Form a committee with representatives from key
departments.
2. Approval Workflow: Establish a workflow for reviewing and approving retention and
disposal decisions.
3. Documentation: Maintain records of decisions and rationale.
41
5.2.5. Documenting the Process
Record Appraisal Reports:
Objective: Maintain detailed records of appraisal activities.
Steps:
1. Report Creation: Document each appraisal decision, including the criteria applied and
rationale.
2. Archiving Reports: Store reports securely for future reference and audit purposes.
System Updates:
Objective: Keep the appraisal system current and effective.
Steps:
1. Periodic Reviews: Schedule regular reviews of appraisal procedures and criteria.
2. Update Procedures: Adjust policies and procedures based on legal changes, organizational
needs, and technological advancements.
5.3.
POLICIES FOR RECORDS APPRAISAL
5.3.1. Policy Framework
Standardized Criteria:
Objective: Ensure consistency and fairness in records appraisal.
Steps:
1. Develop Criteria: Establish criteria covering legal, administrative, fiscal, historical, and
research aspects.
2. Implement Guidelines: Ensure all personnel use these criteria in their appraisal activities.
Responsibility Assignment:
Objective: Clarify roles and responsibilities.
42
Steps:
1. Define Roles: Specify who is responsible for records appraisal and management.
2. Assign Personnel: Appoint qualified staff to oversee and execute appraisal tasks.
5.3.2 Compliance and Legal Considerations
Legal Requirements:
Objective: Ensure compliance with laws and regulations.
Steps:
1. Identify Regulations: Research applicable legal requirements for records retention and
management.
2. Policy Alignment: Align appraisal policies with these requirements and update as needed.
Data Protection:
Objective: Safeguard sensitive and confidential information.
Steps:
1. Implement Measures: Apply measures such as encryption and access controls.
2. Regular Audits: Conduct audits to ensure data protection measures are effective.
5.3.3 Training and Development
Staff Training:
Objective: Enhance the skills and knowledge of staff involved in records management.
Steps:
1. Develop Training Programs: Create programs covering appraisal methodologies, legal
requirements, and best practices.
2. Ongoing Education: Provide regular updates and refresher courses.
Policy Communication:
43
Objective: Ensure staff awareness and understanding.
Steps:
1. Distribute Policies: Share policies and procedures with all relevant staff.
2. Conduct Workshops: Organize workshops or briefings to explain and discuss policies.
5.3.4 Resource Allocation
Budget and Personnel:
Objective: Provide necessary resources for effective records appraisal.
Steps:
1. Allocate Budget: Ensure adequate funding for appraisal activities, including personnel and
technology.
2. Staffing: Assign sufficient personnel with appropriate expertise.
Technology Integration:
Objective: Utilize technology to enhance appraisal processes.
Steps:
1. Invest in Tools: Acquire records management software and other relevant technologies.
2. Training: Train staff on how to use these tools effectively.
5.4.
CRITERIA AND GUIDELINES FOR RECORDS APPRAISAL
5.4.1 Criteria for Evaluating Records
Legal and Regulatory Compliance:
Objective: Ensure records meet legal and regulatory standards.
Steps:
1. Review Laws: Examine laws relevant to records management and retention.
2. Apply Standards: Assess records against these standards to determine compliance.
44
Enduring Value:
Objective: Assess the long-term importance of records.
Steps:
1. Evaluate Impact: Determine how records impact organizational operations and decisionmaking.
2. Consider Legacy: Assess records' potential contribution to the institution's legacy.
Historical and Research Value:
Objective: Identify records with significant historical or research value.
Steps:
1. Historical Significance: Evaluate records' contribution to understanding the institution's
history.
2. Research Contribution: Assess the value of records for future research and knowledge.
Informational Integrity and Authenticity:
Objective: Ensure records maintain their accuracy and authenticity.
Steps:
1. Integrity Checks: Regularly verify records for accuracy.
2. Preservation Measures: Implement measures to maintain records' authenticity over time.
5.4.2 Guidelines for Appraisal Decisions
Retention Guidelines:
Objective: Establish clear guidelines for record retention.
Steps:
1. Define Periods: Set retention periods based on the appraisal criteria.
2. Categorize Records: Categorize records according to their retention needs.
45
Disposal Procedures:
Objective: Develop systematic disposal processes.
Steps:
1. Create Procedures: Establish procedures for secure and compliant record disposal.
2. Ensure Compliance: Ensure disposal actions align with institutional policies and legal
requirements.
5.5.
IMPLEMENTATION OF THE RECORDS APPRAISAL SYSTEM
5.5.1 Implementation Plan
Phased Approach:
Objective: Ensure a smooth rollout of the appraisal system.
Steps:
1. Pilot Testing: Begin with a pilot phase to test procedures and gather feedback.
2. Full Implementation: Gradually expand the system across the organization, making
adjustments based on pilot results.
Monitoring and Evaluation:
• Objective: Assess the effectiveness of the appraisal system.
• Steps:
1. Regular Monitoring: Track the system's performance and impact on records management.
46
6.0. CHAPTER SIX: SUMMARY, CONCLUSIONS AND
RECOMMENDATION
6.1.
INTRODUCTION
This chapter presents the summary, findings, conclusions, and recommendations of the study.
6.2.
SUMMARY
The study was carried out at Makerere University School of Public Health to develop a records
appraisal system.
The objectives of this project were to; assess the existing records appraisal system practices, to
examine the challenges and propose solutions to the existing records appraisal practices, to develop
a records appraisal system, and to define criteria and guidelines for evaluating the significance,
authenticity, and value of public health records based on legal requirements. It adopted the
qualitative research design approach along with the case study research design approach: and in
the end developed a records appraisal system for the institution.
The project found out that MakSPH lacked standardized and proper records appraisal guidelines
and policies. This project proposed a comprehensive, records appraisal system tailored for the
Makerere School of Public Health (MakSPH). The system aims to streamline the evaluation and
disposition of records, enhancing efficiency, compliance, and data integrity through structured
processes. By adhering to international records management standards and incorporating detailed
criteria-based frameworks, the proposed system will support the School's administrative and
academic functions. Key features include a robust manual appraisal framework, standardized
procedures, and clear guidelines for staff. The anticipated benefits encompass improved records
retrieval, optimized storage solutions, and enhanced regulatory compliance. This system will not
only facilitate better decision-making but also ensure that MakSPH maintains its commitment to
excellence in public health education and research through effective records management
practices.
47
6.3.
FINDINGS
The study found that:
1. Current records management practices. Existing records management practices were
inconsistent and lacked a standardized approach. Paper-based systems were reliant, which
led to inefficiencies and difficulties in retrieving information.
2. Stakeholder engagement. Engaging stakeholders, including faculty, administrative staff,
and students, revealed a general lack of awareness about the importance of systematic
records appraisal. Stakeholders expressed a need for training and capacity building in
records management best practices.
3. Technology integration. There was a significant need for integrating modern technology to
streamline the records appraisal process. The institution's existing IT infrastructure
required upgrades to support a digital records management system.
4. Legal and regulatory compliance. Compliance with national and institutional policies
regarding records retention and disposal was found to be inadequate. There was a need to
align the records appraisal system with legal and regulatory frameworks to ensure
compliance.
5. Resource allocation. Limited resources, both in terms of funding and personnel, were
identified as a major constraint in the development and implementation of an effective
records appraisal system. There was a need for dedicated staff to manage the records
appraisal process.
6. Document classification and retention. Existing records were not properly classified,
making it difficult to appraise and manage them effectively. There was a need to develop
a comprehensive classification scheme and retention schedule tailored to the specific needs
of the School of Public Health.
7. Benchmarking and best practices. Benchmarking against best practices in records
management from other academic institutions provided valuable insights.
48
6.4.
CONCLUSIONS
The project concluded that:
The project revealed significant inconsistencies and inefficiencies in the current records
management practices. By standardizing these practices, the institution can achieve greater
consistency, efficiency, and reliability in handling records
Engaging stakeholders was crucial in identifying gaps in awareness and skills related to records
management. Ongoing training and stakeholder engagement are essential for fostering a culture
that values effective records management.
Upgrading the IT infrastructure and implementing a digital records management system are
imperative steps toward modernizing the records appraisal process. This integration will
streamline operations, enhance accessibility, and improve overall efficiency.
Ensuring compliance with relevant legal and regulatory frameworks is vital for the legitimacy and
accountability of the records appraisal system. Regular audits and alignment with these
frameworks will safeguard the institution against legal risks.
Adequate funding and dedicated personnel are necessary to support the development and
sustainability of the records appraisal system. Investing in capacity building through hiring and
training records management professionals will bolster the system's effectiveness.
Protecting sensitive information through robust security measures is crucial for maintaining the
integrity and confidentiality of records. Continuous updates and security audits will help mitigate
risks and ensure data protection.
Developing a scalable system that can adapt to future growth and changes will ensure its longterm sustainability. Continuous improvement mechanisms and regular evaluations will help
maintain the system's relevance and effectiveness
Benchmarking against best practices and standards from other institutions provides valuable
insights for developing a robust records management system. Adopting these practices will
enhance the system's quality and performance.
49
6.5.
RECOMMENDATIONS
The study recommended that:
1. Standardize records management practices. Develop and implement standardized records
management policies and procedures to ensure consistency across the institution. Regularly review
and update these policies to adapt to evolving needs and technologies.
2. Enhance stakeholder engagement and training. Conduct awareness programs and training
sessions for faculty, administrative staff, and students on the importance of records appraisal and
management. Establish a feedback mechanism to continuously gather input from stakeholders and
address their concerns.
3. Invest in technology upgrades. Upgrade the existing IT infrastructure to support a digital records
management system. Implement a reliable and user-friendly electronic records management
system (ERMS) to streamline the appraisal process.4. Ensure legal and regulatory Compliance.
Align the records appraisal system with national and institutional legal and regulatory frameworks.
Develop a compliance checklist and conduct regular audits to ensure adherence to legal
requirements.
5. Allocate adequate resources. Secure sufficient funding and allocate dedicated personnel for the
development and maintenance of the records appraisal system. Consider hiring or training records
management professionals to oversee the system's implementation and operation.
6. Develop a comprehensive classification and Retention Scheme. Create a detailed classification
scheme that categorizes records according to their function, value, and retention period. Establish
a retention schedule that outlines the duration for which different types of records should be kept
and when they should be disposed of.
7. Implement robust security measures. Introduce strong security protocols to protect sensitive and
confidential information from unauthorized access and data breaches. Regularly update security
measures and conduct security audits to ensure the system's integrity.
50
8. Focus on user needs and system usability. Design the records appraisal system with a userfriendly interface to facilitate easy access and retrieval of records. Provide ongoing training and
support to users to maximize the system's effectiveness and user adoption.
9. Ensure sustainability and scalability. Develop a long-term plan for the continuous improvement
and sustainability of the records appraisal system. Design the system to be scalable, allowing for
future growth and adaptability to changing records management needs.
51
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54
APPENDICES
APPENDIX 1: KREJCIE & MORGAN SAMPLE SIZE TABLE
55
APPENDIX 2: INTERVIEW GUIDE
Dear respondent,
We are students of Makerere University pursuing a Bachelor's degree in Library and Information
Science and as part of our program, we are conducting a research project focused on records
appraisal at the Makerere University School of Public Health, and your insights are incredibly
valuable to us.
Please be assured that all responses will be kept confidential and used solely for this research. Your
insights will contribute to shaping a more effective records appraisal system, which will ultimately
benefit MakSPH and its stakeholders.
Thank you.
OBJECTIVE ONE: Assessing the Existing Records Appraisal System
1. Can you describe the current records appraisal system in place at MAKSPH?
2. What are the main processes involved in the appraisal and management of records?
3. Who are the key personnel involved in the records appraisal system, and what are their
roles?
4. What tools or software are used for records appraisal and management?
5. How frequently are records appraised and updated?
6. What types of records are currently being appraised (e.g., administrative, research,
clinical)?
7. Can you describe any recent changes or updates to the records appraisal system?
OBJECTIVE TWO: Identifying Existing Challenges and possible solutions
1. What are the primary challenges you face with the current records appraisal system?
56
2. Are there any specific issues related to the accuracy or completeness of records? How do
you handle records that are outdated or no longer needed?
3. Are there any challenges related to compliance with legal or institutional policies? How do
you address challenges related to training or capacity-building for staff involved in records
management?
4. Do you face any technical issues with the records management software or tools?
OBJECTIVE THREE: Designing a Functional Records Appraisal System
1. What features or improvements would you like to see in a new records appraisal system?
2. How should the new system integrate with existing tools and processes?
3. What are the key functionalities that a new records appraisal system must have?
4. How can the new system better support the needs of different stakeholders (e.g.,
researchers, administrators, policy-makers)?
5. What kind of user training or support would be necessary for a new system to be effective?
6. What are your expectations regarding the accessibility and security of records in a new
system?
OBJECTIVE FOUR: Defining Criteria and Guidelines for Records Appraisal
1. What criteria are currently used to assess the significance and value of public health records
at MAKSPH?
2. How do you determine the authenticity and reliability of public health records?
3. Are there specific legal requirements or institutional policies that guide the evaluation of
records?
4. How can the new appraisal system address these criteria and guidelines?
5. What role do stakeholders (e.g., researchers, policy-makers) play in the records appraisal
process?
6. How can the guidelines be adjusted to reflect changes in public health practices or legal
requirements?
Closing
Additional Comments:
57
Is there anything else you would like to add about the records appraisal system or any other related
concerns?
Thank You and the Next Steps:
Thank the interviewee for their time and valuable insights.
Explain the next steps in the research process and how their input will be used
58
APPENDIX 3: OBSERVATION GUIDE
OBJECTIVE
ONE:
Assessing
the
•
existing records appraisal system at
MakSPH
Observation of records management and
appraisal work flow.
•
Who are the key personnel involved in the
process?
•
What tools or systems are used in the
appraisal process? (e.g., software, filing
systems)
•
Categories of records managed
OBJECTIVE TWO: Identifying existing
•
Challenges faced when appraising records
challenges and possible solutions
•
How can these challenges be addressed?
OBJECTIVE THREE: Designing a
•
What are the features of the current
records appraisal system
appraisal system?
•
Does the system intergrate well with other
tools and processes?
OBJECTIVE FOUR: Defining criteria
•
and guidelines for records appraisal
Criteria used to evaluate the significance
and value of records (e.g., relevance, legal
importance)
•
What guidelines are followed for records
appraisal based on legal and institutional
requirements?
•
How are different stakeholders involved in
the
appraisal
process?
(e.g.,
input,
feedback)
•
Are stakeholder needs and requirements
adequately addressed?
59
The purpose of this observation is to systematically assess the current records appraisal system at
MAKSPH. This guide will help in capturing key aspects of how records are managed, appraised,
and utilized, as well as identifying any operational challenges or areas for improvement.
60
APPENDIX 4: DOCUMENT REVIEW GUIDE
OBJECTIVE ONE: Assessing the
existing records appraisal system at
MakSPH
•
•
OBJECTIVE
TWO:
Identifying
existing challenges and possible solutions
•
•
•
OBJECTIVE THREE: Designing a
•
records appraisal system
•
OBJECTIVE
criteria and
appraisal
FOUR:
guidelines
Defining
for records
•
•
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What type of records are kept for example
records inventory lists, appraisal schedules,
type categorizations
Examine documents that outline roles and
responsibilities for personnel involved in
records appraisal.
Review any existing reports or records
documenting challenges in the records
appraisal process.
Identify common themes or recurring issues
mentioned in these documents.
Assess documentation related to error
handling and correction procedures.
Examine the existing procedural documents
and policies
Review how the procedures are applied in
practice
Review existing criteria for evaluating the
significance and value of records.
Assess if these criteria are comprehensive
and align with legal and institutional
standards.
APPENDIX 5: INTRODUCTION LETTER
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