THE UNITED REPUBLIC OF TANZANIA

PRESIDENT OFFICE

TANZANIA PUBLIC SERVICE COLLEGE

TANGA CAMPUS

ASSESSMENT ON THE IMPLEMENTATION OF LEGAL FRAMEWORK ON

CURRENT RECORDS MANAGEMENT IN PUBLIC OFFICE

A CASE STUDY OF NATIONAL SOCIAL SECURITY FUND (NSSF), TANGA

HAPPNESS EDGAR

DRM.09/21/TNG.2287

A research report submitted in partial fulfillment of the requirement for the award of
an ordinary diploma in records and archives management, at Tanzania Public Service
College (TPSC), Tanga Campus

January, 2024

i
 DECLARATION
I, HAPPNESS EDGAR, hereby declare that this research and its findings are my original
work and have not been presented for academic award or qualification in any education
institution. Appropriate referencing has been made where citation of other peoples work has
been done. I take full responsibility for unintended typographic errors or any shortcoming that
may be found in this research.

Signature:__________________
Date:______________________

Mr. John Julius (Research Supervisor)

Signature:__________________
Date:______________________

ii
 DEDICATION
This research report is dedicated to my Father Mr. Edgar for his moral and financial
assistance during the whole period of three years in pursuing my ordinary diploma in records,
archives and information management

i
 COPYRIGHT
This research is a copyright material protected under the Berne convention the Copyright Act
of 1999 and other international and national enactments, in the behalf, on intellectual
property. It may not be reproduced by any other means, in full or part, except for short
extracts in fair dealings, for research or private study, critical scholarly review or discourse
with an acknowledgement, without the written permission of the Manager of programs (MOP)
Studies on behalf of both the author and the Tanzania Public Service College (TPSC), Tanga
Campus.

TPSC©2024

ii
 ACKNOWLEDGEMENT
With greatness and heartfelt appreciation, I acknowledge the following persons in their
various respectful capacities for having rendered selfless contributions towards my study and
completion of this piece of work,

My sincere thanks go to my beloved father Mr. Edgar for his unconditional love and care they
have showed me since childhood. I sincerely thank my academic supervisor Mr. John Julius
for his professional guidance and commitment to assist me make this report a success.
I also thank my friends especially those whom we have been struggling together for the three
years spent at campus May God bless you all.

iii
 ABSTRACT
The main objective of this study was to assess the assessment on the implementation of legal
framework on current records management in public office. The study guided by three
objectives which were; to determine the status of legal framework at NSSF, to examine the
implementation of legal framework in managing record at NSSF and to assess the challenges
facing the NSSF management in implementing legal framework . The study used closed
ended questionnaires ass a tool for data collection the of sample 50 respondents from
Tanzania Port Authority (NSSF), Tanga Port were selected for the study.

The study revealed that there is partially availability of legal framework at NSSF, 10(20%) of
the respondents indicated that there is moderately availability of legal framework at NSSF.
The respondents also indicated that they are aware with the presences of legal framework
within the organization. The study further revealed that records staffs’ negligence behavior as the
challenges facing the NSSF management in implementing legal framework Based on the
research finding the study recommends the following; there is the need to develop and
implement records management policies, standards, guidelines and procedures that will help
improve the management of records in the county. Since NSSF is public institution, it is
important that it consults with Tanzania National Archives on developing or improving the
draft policy, which standards to adopt, coming with the guidelines and procedures for various
functions. The NSSF management needs to develop programs in records management in form
of short term courses, workshops and advanced education for those without records and
archives knowledge. The training should be on based on Training Needs Assessment and
provided to records managers, registry staff, clerical officers, action officers and secretaries
since they are the ones handling records in the organization. The NSSF management needs to
develop in consultation with records managers a records management program that will
incorporate identification of potential records legal framework to ensure effectively
management of records within the organization.

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 TABLE OF CONTENTS
DECLARATION..............................................................................................................................ii
DEDICATION..................................................................................................................................i
COPYRIGHT...................................................................................................................................ii
ACKNOWLEDGEMENT.................................................................................................................iii
ABSTRACT....................................................................................................................................iv
TABLE OF CONTENTS...................................................................................................................v
LIST OF TABLES.........................................................................................................................viii
LIST OF FIGURES...........................................................................................................................x
LIST OF ABBREVIATIONS............................................................................................................xi
CHAPTER ONE...............................................................................................................................1
INTRODUCTION............................................................................................................................1
1.0 Introduction........................................................................................................................1
1.1 Background of the study....................................................................................................1
1.2 Statement of the problem..................................................................................................2
1.4 Objectives of the study.......................................................................................................3
1.4.1 General Objective........................................................................................................3
1.4.2 Specific objectives.......................................................................................................3
1.5 Research questions............................................................................................................3
1.6 Scope of the study...............................................................................................................3
1.7 Significance of the Study....................................................................................................3
1.8 Limitations and delimitation of the study.......................................................................3
CHAPTER TWO.............................................................................................................................5
LITERATURE REVIEW..................................................................................................................5
2.0 Introduction........................................................................................................................5
2.1 Definition of Key Terms.....................................................................................................5
2.1.1 Records.........................................................................................................................5
2.1.2 Records Management..................................................................................................5
2.1.3 Legal Framework.........................................................................................................5
2.2 Theoretical Literature Review..........................................................................................6
2.3 Empirical Literature Review.............................................................................................7
2.4 Research Gap......................................................................................................................9
2.5 Conceptual framework....................................................................................................10
CHAPTER THREE........................................................................................................................11
RESEARCH METHODOLOGY.......................................................................................................11
3.0 Introduction......................................................................................................................11
3.1 Research Design...............................................................................................................11
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 3.2 Population of the Study....................................................................................................11
3.3 Sample Size and Sampling Techniques..........................................................................11
3.3.1 Sample Size................................................................................................................11
3.3.2 Sampling Techniques................................................................................................12
3.4 Data Collection Methods..................................................................................................12
3.4.1 Primary Data..............................................................................................................12
3.4.2 Secondary Data..........................................................................................................13
3.5 Data collection instruments............................................................................................13
3.5.1 Questionnaire............................................................................................................13
3.5.2 Interview....................................................................................................................13
3.6 Data Analysis....................................................................................................................13
3.6.1 Validity and Reliability.............................................................................................14
CHAPTER FOUR..........................................................................................................................15
DATA PRESENTATION AND ANALYSIS.....................................................................................15
4.0 Introduction......................................................................................................................15
4.1Level of education.............................................................................................................15
4.2 Status of legal framework at NSSF..................................................................................15
Table 4.2: the status of legal framework at NSSF....................................................................16
4.3 Implementation of legal framework in managing record at NSSF...............................16
4.4 Challenges facing the NSSF management in implementing legal framework.............17
CHAPTER FIVE............................................................................................................................18
SUMMARY OF THE FINDINGS, CONCLUSION AND RECOMMENDATIONS...............................18
5.0 Introduction......................................................................................................................18
5.1 Summary of the findings..................................................................................................18
5.1.1 Status of legal framework.........................................................................................18
5.1.2 Implementation of legal framework in managing record.....................................18
5.1.3 Challenges facing the NSSF management in implementing legal framework......18
5.2 Conclusion.........................................................................................................................19
5.3 Recommendations...........................................................................................................19
REFERENCES...............................................................................................................................20

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 LIST OF TABLES
Table 4.1: Level of education of respondents ……………………………………………..…13
Table 4.2: the status of legal framework at NSSF……………………………………............14
Table 4.3: the implementation of legal framework in managing record at NSSF…………....14
Table 4.4 challenges facing the NSSF management in implementing legal framework……..15

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 LIST OF FIGURES

Figure 2.1 Conceptual Framework ………………………………………………………...…10

viii
 LIST OF ABBREVIATIONS
DRM Ordinary Diploma in records Management

IRMT International Records Management trust

MOP Manager of program

NSSF National Social Security Fund

TPSC Tanzania Public Service College

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 CHAPTER ONE

INTRODUCTION

1.0 Introduction
This chapter presents the research problem and provides its premises. The following are main
parts of this chapter; background to the research problem, statement of the research problem,
objective of the study, research questions, significance of the study, scope of the study and
clarification of key concept of this chapter.

1.1 Background of the study

Record Legal Framework as a sensitive field in any organization needs a lot of attention. Records
ensure that evidence and other information needed to support transactions pertaining to
individuals and organizations are available. Record Legal Framework provides guidelines on
how records should be managed and handled within the organization. Maseh & Mutula (2015)
stipulated that Record Legal Framework needs to be guided by legal frameworks including
policies, Acts, regulations, and guidelines to ensure effectiveness. Legal frameworks regulate
actions and procedures followed by record management professionals and ensure effective
record management. Therefore, the availability and implementation of record management
policies, Acts, regulations and guidelines are core determinants of record management. It is to
this fact, initiatives by various governments worldwide to develop record management policies
and legislations to guide practices in their governance can be attributed. Such initiatives have
been made globally, in Africa, and Tanzania in particular, to ensure that there are legal
frameworks to guide record management practices.

In 2001, the International Standard Organization (ISO) developed ISO 15489-Information and
Documentation-Record Management as an international standard for good record management
practices in both private and public organizations. Smith (2007) revealed that public authorities
in the United Kingdom developed policy statements that guide the implementation of Code of
Practice on the management of records under the Freedom of Information (FOI) Act 2000. The
code of practice aimed at providing a framework to support standards and provide guidance on
documenting record practitioners’ actions, keeping and disposing records by complying with
laws. Other legislations developed by the UK include the Public Records Act 1958 that guided
and insisted on preserving records of continuing value in the National Archives for access. The
FOI Act of 2000 aims at disclosing information pertaining to public actions to promote
transparency and accountability in government agencies. Likewise, the federal government of
Canada formulated different legislations such as National Archives Act of 2004, Personal
Information Protection and Electronic Documents Act of 2000, Access to Information Act of

1
2000, and Privacy Act 2004 for better management of records and archives (Miller, 2004). The
legislations aimed to protect personal records and privacy of individuals, to legalize the use of
electronic records as evidence and ensure freedom of information to the public

In East Africa, several initiatives have been made to establish legal frameworks for record
management and archives administration. Maseh (2016) asserted that due to the failure to
comply with legal frameworks in managing records, public offices in Kenya are in danger of
losing vital public records. As a result, people are likely to be denied their rights, confidentiality
agreements will be breached, there will be failure to provide evidence when faced with litigation
and there will be poor service delivery because of lack of clear guidance. Recognizing these
threats, record management legislations, policies and procedures have been developed and
enacted to rescue the situation. For instance, In the Kenyan constitution of 2010, this allows
access to information held by the government (Kemoni & Ngulube, 2007). Other legislations on
record management and archive administration developed in Kenya include the Public Archives
and Documentation Service Act Cap 19 of 1965 for public records and archives management and
Records Disposal Act Cap 14 of 1962 which stipulates records retention periods and disposal
criteria (Kemoni & Ngulube, 2007). Similarly, Ugandan government established its Records and
Archives Act of 2001, Act for Records and Archives Management, and Local Government Act,
1997 amended in 2001 to ensure accountability by documenting and keeping records (Obura,
2007). The government of the United Republic of Tanzania (URT) initiated the Records and
Archives Management Act No.3 of 2002 and its regulations of 2007, ICT policy of 2003,
National Records and Archives Management Policy of 2011 and Registry Procedures Manual of
2007 to guide best practices. Tanzania High Court needs an effective record management
program to ensure all records of registered companies, granted patents and issued licenses are
available and maintained for better and consistent decision making. As it was reported by IRMT
(2011) in MDAs that, despite the developed legal frameworks, there is a problem of poor record
management resulted from ineffective implementation of legal frameworks. Due to such fact,
there is a need to investigate the problem in Tanzania High Court. Tanzania High Court is the
only agency entrusted by the URT government to ensure all business entities are operating under
legal registration hence the need for effective record management by complying with legal
frameworks to address challenges facing records management

1.2 Statement of the problem

Despite having a Legal Framework in records management including policy and acts. There is a
growing concern on management of records in the public sector in Tanzania. Records
management in Government institutions is still not implemented efficiently. Files are misplaced,
mutilated and stolen. This leads to the missing of some important records in public organizations
causing claims and beuaracracy in the services rendered by public organizations. Inadequacy in
both record management skill and number of staff dealing with records management is a
questionable issue (Mnyabula 2009).

2
Nevertheless most of the organization in Tanzania adhere with effectively and reliable legal
framework, records management policy and act application and implementation of those legal
framework is not thoroughly implemented these create a gap of knowledge on the really
improper management of records in most of the public organization. Therefore this study seek to
assess implementation of legal framework on current records management in public office to fill
the gap which has been left by other researcher and to add the body of knowledge on the
aforementioned subject.

1.4 Objectives of the study

1.4.1 General Objective
The main objective of this study is to assess the implementation of legal framework on current
records management in public office

1.4.2 Specific objectives

This study is guided by the following objectives;

i. To determine the status of legal framework at NSSF

ii. To examine the implementation of legal framework in managing record at NSSF
iii. To assess the challenges facing the NSSF management in implementing legal framework

1.5 Research questions

i. What is the status of legal framework at NSSF?
ii. What are the implementations of legal framework in managing record at NSSF?
iii. What are the challenges facing the NSSF management in implementing legal framework?

1.6 Scope of the study

This study only focuses to assess the contribution of legal framework to ensure proper records
management in public office. It is therefore restricted to departments and divisions at NSSF,
Tanga. The study is also limited to the study objectives that include examine how legal
framework ensure proper records management.

1.7 Significance of the Study

The findings of this study may be used by other researchers as basis of information and reference
when conducting associated studies, also, policy makers can use the findings of this study when
formulating policies on legal and legal framework in managing public records. Moreover, the
findings may pave the way to other researchers to verify if the findings were correct or not
correct. The finding of this research may be used by managers in different organizations on how
to manage records management system on the realization of the Organizational goals.

1.8 Limitations and delimitation of the study

The limitation of the study is explained in terms of what can influence or be a
drawback of the interpretation or application of the result. Due to unwillingness of some

3
respondents to answer questionnaires. Some provided unrelated answers and some completely
failed to provide answers as requested by the researcher. However, the researcher overcomes the
problem by being obedient and patient until they become ready. So the researcher had a task of
interviewing with questionnaires in order to fill them properly. Time constraints For the research
work to be well successful it was needed a lot of time from identification of the problem and
collection of data to the time of report writing, the researcher had time to scarce due to rise of
different personal problems. However, the researcher had rare time effectively on attaining data
and material needed so as to accomplish this study. The study was conducted to assess the
contribution of records management system in reducing records congestion. The study focused
on the the implementation of legal framework on current records management in public office at
NSSF, Tanga. The study involved the staffs of NSSF, Tanga including secretaries, records
management personnel and official and their experiences in records appraisal in the organization.
For this reason the finding of this study are constructed on single case study

4
 CHAPTER TWO

LITERATURE REVIEW
2.0 Introduction
This chapter presents the review of the literatures which are related to the applicability of legal
and legal framework in managing public records. This chapter comprises of the following issues
which include; Definition of the key terms, theoretical literature review, empirical literature
review and conceptual framework.

2.1 Definition of Key Terms

2.1.1 Records
The definition of a record is given either in physical tangible format in which it appears or in
terms of information it contains. It must be remembered that records do differ in format, size and
contents. Basing on the views of of Yusof and Chell( 1998), any definition of records is a
pragmatic one. The definition of a record changes with the change in time and the involvement
of the profession in more complex issues. Langemo( 1995 ) further postulated a record as a
memory of the organization, the raw- material for decision-making and the basis for legal
defensibility. In addition, Roberts( 1998 ), the Association of Records Managers and
Administrators inc( ARMA international ) defines record as a recorded information regardless of
medium or characteristics made or received by an organization that is useful in the daily
operations of the organization.

2.1.2 Records Management

Records is portrayed as the means of good information management, improving and enlightening
the management of the organizations ( Yusof and Chell, 1999 ). Mazikana 1990, emphasizes that
records management is concerned with the generation, receipt, processing, storage, distribution,
use and retirement of of records. Place and Hyslop ( 1982 ) further viewed records management
as the process of controlling organizational information from the creation through its final
disposition.

2.1.3 Legal Framework

Legal frameworks are legal mechanisms that exist on national and international levels.
They can be mandatory and coercive (national laws and regulations, contractual obligations) or
voluntary (integrity pacts, codes of conduct, arms control agreements). Together they form a
legal background against which anti-corruption efforts are measured. The existence of these
frameworks is a pre-requisite for fighting corruption. However, they do not suffice on their own
and must be accompanied by positive incentives and other building integrity measures (Elizabeth
Shepherd, Geoffrey Yeo, 2003).

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2.2 Theoretical Literature Review
Several scholars have conducted studies investigating the legislative framework guiding records
management in the public sector in South Africa (Ngoepe 2017; Katuu 2016; Ngoepe 2016;
Ngoepe and Saurombe 2016; Katuu and Van der Walt 2016; Ngoepe and Makhubela 2015;
Ngoepe and Makhura 2008). However, these studies did not specifically focus on the application
of legislative frameworks in managing medical records in Limpopo Province. Studies by Katuu
(2016) and Katuu and Van der Walt (2016) addressed issues relating to healthcare records and
legislative frameworks very broadly, focusing on the whole of South Africa. Katuu’s (2016)
study used literature review to discuss healthcare records management and legislative
frameworks in relation to the eHealth Strategy, the implementation of electronic document and
records management systems (EDRMS) and the utility of maturity models. Katuu and Van der
Walt (2016) used literature review and 22 interview participants from healthcare sectors in
public and private academic and research institutions to study the management of healthcare
records and legislative frameworks in the whole of South Africa. Focusing specifically on all 40
public hospitals in Limpopo, this study intensively assessed compliance with relevant legal
frameworks in the management of medical records.

It is imperative for any country to develop and implement a legislative framework that will assist
in guiding healthcare processes (Katuu 2015:94; Cullinan 2006:4), including archiving and
management of health records. The colonial regime failed to establish an effective archives and
records management legislative framework and related infrastructure to govern proper archive
and records management in African countries until independence (Asogwa 2012:199). There was
no adequate legislation and infrastructure (Asogwa 2012:199) or policies, as alluded to by
Boonstra and Broekhuis (2010:11).

The significance of an archives and records management law in any country or organization
cannot be overemphasized. Ismail and Jamaludin (2009:136- 137) and Ndenje-Sichalwe et al.
(2011:268) underscore that these laws are made to ensure mandatory establishment of a sound
organizational records management framework for any organizational business transaction. The
records management and archive law should govern how records should be created, kept and
maintained for future organizational and individual employees’ accountability (Ismail and
Jamaludin 2009:136-137; Ndenje-Sichalwe et al., 2011:268). The manner in which records are
captured, created, transmitted, used, stored, indexed, retrieved, controlled, retained and preserved
should comply with legislation and standards (Chachage and Ngulube 2006:10; Ndenje-Sichalwe
et al., 2011:268)

It is therefore the records manager’s responsibility to ensure that records management operations
are conducted in compliance with appropriate prescripts and organizational guidelines. The
records system should comply with the current business requirements, as well as with legal
environment and community expectations (ISO 15489-12001). The records creators should be
made aware of the impact of these requirements on their business actions. The records system
should be regularly assessed to check if it still complies with the requirements. The assessment
6
activities and results should also be documented and properly preserved as evidence of the
assessment (ISO 15489-12001). Moreq2 (2008:42) also attests that the establishment of ERMS
guiding documents, like policies, needs laws and regulations like “data security law and archival
law and industrial regulations”

2.3 Empirical Literature Review

Asogwa (2012:207) and Ndenje-Sichalwe et al. (2011:268) suggested that in most African
countries, legislative frameworks are not updated regularly or when the need arises. These results
in the creation, management, use and preservation of recorded information conducted according
to legislation that is not up-to-date and not in line with the current records management
technology. For instance, in most African countries the scope of archival laws covers basic
models of paper-based records archiving and the archival responsibilities of an institution. These
dated laws inhibit many archival institutions when it comes to managing electronic records. Due
to these dated laws ‘in Africa and other developing countries’, archival institutions experience
many difficulties in managing records effectively (Asogwa 2012:207;

Decman and Vintar (2013:407) argue that inadequate legislation exists for records management
in public administration, looking at the new changes, developments and ways of doing things in
different environments. There is a need for the public sector to review legislation on a regular
basis or when the situation requires it. For instance, implementation of records management
preservation solutions such as the central repository solution should coincide with the creation of
acts and regulations to ensure proper control over the management of records in the network and
in remote storage areas (Decman and Vintar 2013:417). Lott (1997: vi) and Asogwa (2012:209)
emphasise that there are still many gaps in legislative prescripts due to the fast advance of
technology. Legislative prescripts need to be reviewed and improved from time to time in
relation to the current situation and technological requirements. Healthcare professionals and
records management professionals need to embark on lifelong learning as things change or
improve over time. This situation is not exclusive to medical records management (Asogwa
2012:206-209).

Further Magara, (2010) opines that although various efforts have focused on preservation of
natural, historical and cultural heritage, there is no central strategy to integrate the libraries,
archives and museum function to effectively collect, store, preserve, coordinate and enable
access to documentary heritage in Uganda.” The central strategy in his view is the amendment
and operationalization of the Records and Archives Act 2001 and all other related legal and
policy guidelines coordinated by a functional Records and Archives Agency as entrenched in the
National Records and Archives Act, 2001. This will be possible if the Agency as stated in the
Law is established. Effective records systems will also need to be created, as well as training and
guidance for officials responsible for implementing the legal and policy frameworks for records
and archives management. This call for UN reserved effort and support from the Government of
Uganda. As Rodrigues (2008) notes, experience has shown that change happens only when there
is unequivocal political commitment to tearing down all barriers to access and well-crafted and
7
deliberate strategies can be developed that support each element of the legal provisions.
Upholding accountability, accountability and participation requires governments to send a strong
message of openness to all records and archives policy makers and managers. Strong and
engaged leadership can make all the difference, particularly in the early days of implementation
of legal and policy frameworks to manage information, records and archives.

In addition to researching legislative frameworks, it is important for the records professional to

understand – and if possible, influence – the policies and regulations, under which information
and records are created, used and managed (IRMT 2009). Regulations are usually subordinate
legislative instruments to actual laws: there ought to be a law in effect before a regulation is
established. Laws can have quite a broad scope, but regulations are usually quite detailed.
Policies can also be very broad: a policy on data management, for instance, could clarify who
owns the organization’s data and confirm that it will be stored according to accepted standards,
but the policy will not outline the specific procedures involved in ensuring those requirements
are met (IRMT 2009).

It is also important to note that policies can be difficult to enforce as they can be interpreted as
optional and desirable but not essential. IRMT (2009) some of the important records related legal
and policy issues to cover the following: acquisition of records, appraisal of records, contracting
of IT services, data management and storage, database management and use, destruction of data
on electronic storage devices, disaster recovery and business continuity, disposal of records,
electronic mail management, electronic records creation and use, information technology
procurement, network management, remote access to servers and networks, scanning and
imaging of records, Security and privacy, training of records staff, transferring and storing
records, use of wireless computer devices, web access and use.

Legal framework is a challenge as it requires decision making on implementation of records and

there is no specific ways for the process. As observed by Schellenberg (1956:20), legal
framework programs are difficult to manage in the archival context especially because they
present a major challenge of evaluation. Daniels (1988:53) concurs that implementing of legal
framework is often difficult in some of the organization, therefore presenting an argument for
keeping everything. The implementing legal framework that uses the best knowledge and
experience to anticipate records management and is therefore likely to prejudice management of
records. Ngulube (2001:259) asserts that implementing legal framework’ objective decisions will
always be fraught with social and political influences. In this regard, BNARS officers are
challenged to determine the ‘fate’ of recorded information and the judgment of each individual is
put to the ‘test’. One other major challenge is that records that could be useful to the present and
future might have been lost since appraisal that has been taking place has not been based on any
sound theoretical and functional framework (Ngulube 2001)

It follows from the above stated poor classification of records therefore that implementing legal
framework isalso non-existent. These would have been employed to dispose of some ephemeral

8
records instead of transferring and keeping all records generated, as is the case currently.
According to the BNARS (2007) the existing retention schedule for records common dates back
to 1981 and is outdated. It is also evident when going through the consignments that it was not
applied by creating agencies in government when transferring records to the records centre. This
therefore needs review and updating for publication. Records retention and disposition schedules
for specific ministries and departments are non-existent. Lack of retention and disposal schedules
for both primary and secondary appraisal pose a danger of premature destruction of records and
unguided decision making during the exercise.

Staffing levels in most of the organization in Tanzania have always been very inadequate with
the first full time Records officer only recruited in 2001. From its early years the various
department responsible in managing records operated with few records officers responsible for a
myriad of other activities. However the situation has improved with an employment and
recruitment of new records officers. A shortage of staff meant that there was no one directly
responsible in these public organization functions including managing the transfer of records to
the Records Centre. Currently the department utilizes various records personnel to assist in
records appraisal. It is with appropriate staffing levels that this problem can be resolved and
organization maintained up to date. The implementing legal framework at item level, is a slow
process compared to series level appraisal or sampling techniques, and requires a large number
of officers for it to be effective (Schellenberg, 1956)

2.4 Research Gap

The reviewed literatures suggest that there are few studies conducted in African countries
especial Tanzania which gauge the legal framework by using different tools. Some studies (e.g.
Semkuya, 2000; Franklin, 2009; Ndibalema, 2004; Ndenje, 2010; and Hatibu & Mcharazo,
2012) conducted on management of records in different institutions and organizations. For
example, Hatibu and Mcharazo (2012) examined the role of records in Tanzania, while Ndenje
(2010) investigated the significance of records management in fostering accountability in the
public service reform program of Tanzania. Semkuya, (2009) examined the management of
electronic health records of National Health Insurance Funds (NHIF) and recommended a further
study to examine readiness in the management of records in Tanzania. To date, studies assessing
the implementation of legal framework still lacking hence very little knowledge exists on this
topic. Notably, little is known about the implementation of legal framework on current records
management in public office. That the study was conducted to assess the the implementation of
legal framework on current records management in public office

9
2.5 Conceptual framework
Based on the literature review, the relationship between legal framework and
proper records management practices can be conceptualized and depicted in Figure 2.1. This
study has two research variable, independent variable and dependent variable. Independent
variables in this research are legal framework and dependent variable is current records
management. The study shows there is relationship between these two variables. Independent
variables consist Records and Archives Management Act, No.3 of 2002, National Records and
Archives Management Policy of 2011and Records Procedure Manual 2007

Figure 2.1 Conceptual Framework

INDEPENDENT VARIABLE DEPENDENT VARIABLE

LEGAL FRAMEWORK CURRENT RECORDS MANAGEMENT

Practices

 Records and Archives

Management Act, No.3 of 2002
 National Records and Archives
Management Policy of 2011
 Records Procedure Manual
2007

Source: Researcher Own Construction (2024)

10
 CHAPTER THREE

RESEARCH METHODOLOGY
3.0 Introduction
This chapter explains the research methodology. The chapter includes the following sections and
sub sections: Research Design, Research techniques, Research Population, Sampling techniques,
Judgmental sampling, Sample size, Data Collection Method, Primary data, Interview,
Questionnaire, Participant observation, Secondary data, Documentation and Data Analysis
Method.

3.1 Research Design

Research design refers to a plan which shows the strategy of an inquiry thought
appropriate to the research (Kothari, 2004). For the purpose of this study, descriptive
research design was used. The descriptive design describes phenomena as they exist. It
issued to identify and obtain information on the characteristics of a particular problem
or issue. Descriptive research design was selected because it has the advantage of
producing good amount of responses from a wide range of people. Also, this design
provides a meaningful and accurate picture of events and seeks to explain people’s
perception and behavior on the basis of the data collected. The advantage with this
design is that it helps to find views as they are in their natural setting

3.2 Population of the Study

A population is any group of individuals that has one or more characteristics in
common and that are of interest to the researcher (Creswell, 2005).Therefore, the target
population of this study included human resources officers, head of departments,
records officers who manage records and staff members. The total population size at
this organization is 100 employees.

3.3 Sample Size and Sampling Techniques

3.3.1 Sample Size
Kothari, (2004) defines sample as small group of respondents drawn from a population
about which a researcher is interested in getting the information so as to arrive at a
conclusion. This study selected respondents who are responsible on employee’s
performance management and employees themselves (staff members). Respondents
help the researcher plans and to generalize the findings (Best & Kahn, 2006).In this
study, a sample of 50 respondents of both teaching and non-teaching employees were
used by answering questionnaires for the purpose of getting the findings of the study. A
sample of 50 respondents were selected out of 100 employees because they considered
to represent and having vital information for the study by virtue of their positions.

11
Sekaran (2010) stated that, in research investigations involving several hundreds or
thousands of elements, it would be practically impossible to collect data from, or test,
or examine every element. Even if it were possible, it would be prohibitive in terms of
time, cost and other human resources. That’s why sampling to make a research feasible.
A breakdown of the sample is presented in Table 3.1

Table 3.1: Sample Composition of the Study

Participants Target Population size Sample size

Human Resource Officers 5 3
Administration Officers 5 3
Records officer 3 4
Head of departments 7 10
Staffs members 80 30
Total 100 50
Source: Researcher (2024)

3.3.2 Sampling Techniques

In this study random sampling technique was used in collecting data. Creswell, (2005)
defined random sampling as a subset of individuals that are randomly selected from a
population .The goal is to obtain a sample that is representative of the larger
population. Random sampling technique was adopted in getting the respondents to
answer the questionnaires. Kothari, (2004) says that sampling technique is used
because it guarantees desired representation of the relevant sub groups

3.4 Data Collection Methods

In this study both primary and secondary data were used as methods of data collection.
Primary data are those data which have been collected for the first time such as
questionnaire while secondary data are those data that has been collected by someone
else and exist somewhere (Kothari 2004).

3.4.1 Primary Data

Primary data is original and collected for the first time by the researcher. It is gathered
through questionnaire and interviews. By using primary data as the method, we collect
data during the course of doing experiment in experimental research (Kothari 2004). In
this study data was gathered through questionnaire and interviewing the management
and employees at NSSF, Tanga Port. The reason of using primary data as a method of data
collection is simply involves observation and questionnaire which enable the researcher to gather
information which could not be easily obtained.

12
3.4.2 Secondary Data
Secondary data are those data that are already available and were collected from
secondary sources of data such as journals, books, newspapers, websites, publications
and other documents available in libraries including research reports from distinguished
academicians (Kothari 2004).In this study secondary data collected by going through
various documents like books, journals, websites which are relevant to the theme of the
study for the purpose of gathering information.

3.5 Data collection instruments

According to Creswell (2005) no single technique or instrument may be considered to
be adequate in itself in collecting valid and reliable data. Therefore two major tools
were used to obtain adequate and reliable information for this study. These include
interviews and questionnaires of both structured and semi-structured nature. This study
used data collection tools which involve observation, interview and questionnaires.

3.5.1 Questionnaire
According to Kothari (2004), a questionnaire is a method of collecting data which uses
a set of questions for collecting data. In this method data are collected with the help of
questions. Through this method, selected respondents of this study had to answer
questions on their own and bring back to the researcher. Both structured and semi
structured questions were used in helping the researcher to get answers and relevant
information from respondent.

3.5.2 Interview

The interview method of data collection involves presentation of oral verbal stimuli and
replying in term of oral-verbal responses. This method is used through personal
interview and if possible telephone interview (Kothari 2004). In this study personal
interview was used which required a person known as interviewer(researcher) by
asking questions in face to face contact to the interviewee(respondents). The reason for
using interview as a method of collecting data was that, more depth information can be
obtained. Interview used open ended questions from which respondents were able to
discuss issues of interests in details.

3.6 Data Analysis

The secondary data are those which have already been collected by someone else
and might have been passed through statistical analysis (Kothari, 2004). Secondary
data collection enabled the researcher to get secondary data which was used as the
source of information for this research. Data were analyzed both qualitatively and quantitatively.
The reason for using both approaches is due to the fact that they complement each other. Data
from interviews will be transcribed to form notes. Then all the data from interviews and
document analysis will be re-read and organized to form codes by relating with research

13
questions and literature review. Through re-reading and reflecting from codes and data that were
collected the categories were formed and developed to themes. To make meaning, data were
theorized before being written in narrative form.

Data from questionnaires were analyzed statistically. The main tool which for data analysis was
Microsoft Excel for calculations and percentages, Tables, figures and charts used to provide a
quick picture of different situations that will be observed from the collected data.

3.6.1 Validity and Reliability

3.6.1.1 Validity of instruments

Validity is referred as the credibility or believability of the particular study (Joppe, 2000).
Validity refers to the question whether there is evidence to support the
assertion that the methods are really measuring the abstract concepts that they are
intended to measure. Another aspect of validity concerns the quality of the
researcher’s evidence regarding the effect of the independent variable on the
dependent variable (Polit, 2004). The triangulation techniques were used by questionnaires and
secondary data analysis concurrently and this was done through piloting of the data collection
instruments that were used to collect data. The data collection instruments were designed to
reveal the truth about the implementation of legal framework on current records management in
public office. Issues developed from conceptual framework were compared with issues that were
obtained from questionnaires so as to ensure construct validity, statistical analysis were used as
well.

3.6.1.2 Reliability
This is defined as the extent with which findings repeat (Joppe, 2000).Reliability
refers to the accuracy and consistency of information obtained in a study ( Beck,
2004). In surveys, reliability problems commonly resulted when the respondents did
not understand the question, are asked about something they did not clearly
remember, or asked about something they didn’t clearly know effectively (Kothari,
2004). It was planned that this research used well-structured questionnaire in order to avoid
reliability problems. To insure reliability the researcher designed the questionnaires through an
elaborated procedure which involved a series of revisions under the guidance of the study
supervisors so as to make sure that fieldwork conducted by using high quality data collection.
The use of checklist of questions helped to achieve data consistency and completeness.

14
 CHAPTER FOUR

DATA PRESENTATION AND ANALYSIS

4.0 Introduction
This chapter presents the findings from the contribution of legal framework to ensure proper
records management in public office. The specific objectives this the study are; to determine the
status of legal framework at NSSF, to examine the implementation of legal framework in
managing record at NSSF and to assess the challenges facing the NSSF management in
implementing legal framework

4.1Level of education

Table 4.1: Level of education of respondents

Level of education Frequency Percentages
Certificate Holders 10 20%
Diploma Holders 20 40%
Bachelor Degree Holders 15 30%
Masters 5 10%
Total 50 100%
Source: Researcher (2024)

The finding from Table 4.1 above shows that the respondents who were Certificate holders are
represented 10(20%), the respondents who are Diploma holders were represented by 20(40%)
while the respondents who had Bachelor Degree were represented by 15(30%), while
respondents with masters were represented by 5(10%) of the respondents.

4.2 Status of legal framework at NSSF

The first objective of this study was to determine the status of legal framework at NSSF. The
Table 4.2 below indicated that 5(10%) of the respondents indicated that there is partially legal
framework at NSSF, 10(20%) of the respondents indicated that there is moderately of legal
framework at NSSF while 35(70%) of the respondents indicated that there is excellent of legal
framework at NSSF. All of the respondents distributed with questionnaires representing 100%
of all respondents indicated that they are acquainted with records legal framework. The
respondents also indicated that they are aware with the presences of legal framework within the
organization; this is presented by 100% of the respondents distributed with questionnaires. On
response to the question, whether the organization adheres with any legal framework in
managing records, one of the interviewee responded “Mostly, we are relied on records legal
framework in managing records within the organization, and this assistant us a lots in ensuring
the records are well managed within the organization”. The study shows that there is presence

15
of legal framework in the organization, since all the respondents indicated that they are aware
with the presence of these legal frameworks.

Table 4.2: the status of legal framework at NSSF

Status Frequency Percentages
Partially 5 10%
Moderate 10 20%
Excellent 35 70%
Total 50 100%
Source: Researcher (2024)

4.3 Implementation of legal framework in managing record at NSSF

The second objective of this study was to examine the implementation of legal framework in
managing record at NSSF. Table 4.3 indicated that 20(40%) of indicated that Records and
Archives Management Act of 2002 as one of the framework used in implementing records in
organization, 20(40%) of indicated that National Records and Archives Management Policy of 2011as
one of the framework used in implementing records in organization while 10(20%) of indicated that
Registry Procedure Manual of 2007one of the framework used in implementing records in organization.
The study also found that the organization has implemented legal framework in managing records, these
concedes with the response from one of the interviewee who responded to the question whether the
organization has implemented the legal framework in managing records in the organization, the response
were “ I think the organization has managed to implements various legal framework in managing
records, this helped us to performs our works smoothly and effectively within the office when we manage
records”. The study also shows that all respondents agree with the implementation of legal framework in
managing records in the organization and this is represented by 50(100%) distributed by questionnaires
during the study.

Table 4.3: the implementation of legal framework in managing record at NSSF

Implementation Frequency Percentages

Records and Archives Management Act of 2002 20 40%
National Records and Archives Management Policy of 2011 20 40%
Registry Procedure Manual of 2007 10 20%
Total 50 100%
Source: Researcher (2024)

16
4.4 Challenges facing the NSSF management in implementing legal framework
The third objective of this study was to assess the challenges facing the NSSF management in
implementing legal framework. The Table 4.4 below indicated that 5(10%) of the respondents
records staffs’ negligence behavior as the challenges facing the NSSF management in implementing
legal framework, 15(30%) of the respondents indicated inadequate records management personnel as
the challenges facing the NSSF management in implementing legal framework, 20(40%) of the
respondents inadequate storage facilities as the challenges facing the NSSF management in
implementing legal framework. 10(20%) of the respondents unreliable records management
guidelines as the challenges facing the NSSF management in implementing legal framework. One
of the interviewee when replied on the question whether he faces any challenges in implementing
legal framework in the organization, he replied “ We face some minor challenges since the
process require a lots of procedures and needs to be discretely managed, albeit we have
managed to thwart most of the obstacles we are facing”. The study shows that all of the
respondents agree with the presence of challenges in managing legal framework in the
organization and this is represented by 100% of the respondents distributed with questionnaires.

Table 4.4: the challenges facing the NSSF management in implementing legal framework

Challenges Frequency Percentages

Records staffs’ negligence behavior 5 10%
Inadequate Records Management Personnel 15 30%
Inadequate storage facilities 20 40%
Unreliable records management guidelines 10 20%
Total 50 100
Source: Researcher (2024)

17
 CHAPTER FIVE

SUMMARY OF THE FINDINGS, CONCLUSION AND RECOMMENDATIONS

5.0 Introduction
This chapter is concerned with discussions, conclusions and recommendations. The
discussions have been presented in line with the research objectives.

5.1 Summary of the findings

The study was conducted to assess the contribution of legal framework to ensure proper records
management in public office. This study is guided by the following objectives; to determine the
status of legal framework at NSSF, to examine the implementation of legal framework in
managing record at NSSF and to assess the challenges facing the NSSF management in
implementing legal framework.

5.1.1 Status of legal framework

The finding from the study revealed that there is partially availability of legal framework at
NSSF, 10(20%) of the respondents indicated that there is moderately availability of legal
framework at NSSF while 35(70%) of the respondents indicated that there is excellent of legal
framework at NSSF. All of the respondents distributed with questionnaires representing 100%
of all respondents indicated that they are acquainted with records legal framework. The
respondents also indicated that they are aware with the presences of legal framework within the
organization; this is presented by 100% of the respondents distributed with questionnaires.

5.1.2 Implementation of legal framework in managing record

The study also shows that 20(40%) of indicated that Records and Archives Management Act of 2002
as one of the framework used in implementing records in organization, 20(40%) of indicated that
National Records and Archives Management Policy of 2011as one of the framework used in
implementing records in organization while 10(20%) of indicated that Registry Procedure Manual of
2007one of the framework used in implementing records in organization.

5.1.3 Challenges facing the NSSF management in implementing legal framework

The study further revealed that 5(10%) of the respondents records staffs’ negligence behavior as the
challenges facing the NSSF management in implementing legal framework, 15(30%) of the
respondents indicated inadequate records management personnel as the challenges facing the NSSF
management in implementing legal framework, 20(40%) of the respondents inadequate storage
facilities as the challenges facing the NSSF management in implementing legal framework.
10(20%) of the respondents unreliable records management guidelines as the challenges facing the
NSSF management in implementing legal framework.

18
5.2 Conclusion
The main objective of the study was to assess the contribution of legal framework to ensure
proper records management in public office. This study is guided by the following objectives; to
determine the status of legal framework at NSSF, to examine the implementation of legal
framework in managing record at NSSF and to assess the challenges facing the NSSF
management in implementing legal framework. The study finds that there is partially availability
of legal framework; the study also indicated that there is excellent of legal framework at NSSF.
All of the respondents distributed with questionnaires representing 100% of all respondents
indicated that they are acquainted with records legal framework. The respondents also indicated
that they are aware with the presences of legal framework within the organization. The findings
of the study suggest that NSSF management needs to develop programs in records management
in form of short term courses, workshops and advanced education for those without records and
archives knowledge. The training should be on based on Training Needs Assessment and
provided to records managers, registry staff, clerical officers, action officers and secretaries since
they are the ones handling records in the organization.

5.3 Recommendations
The recommendations of this study were formulated basing on the research objectives as
shown below;
i. There is the need to develop and implement records management policies, standards,
guidelines and procedures that will help improve the management of records in the
county. Since NSSF is public institution, it is important that it consults with Tanzania
National Archives on developing or improving the draft policy, which standards to adopt,
coming with the guidelines and procedures for various functions.

ii. The NSSF management needs to develop programs in records management in form of
short term courses, workshops and advanced education for those without records and
archives knowledge. The training should be on based on Training Needs Assessment and
provided to records managers, registry staff, clerical officers, action officers and
secretaries since they are the ones handling records in the organization.

iii. The NSSF management needs to develop in consultation with records managers a records
management program that will incorporate identification of potential records legal
framework to ensure effectively management of records within the organization.

19
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 APPENDICES
Appendix I
QUESTIONNAIRE FOR RESPONDENTS
Dear respondent,
I, Happness Edgar, a Records and Archives Management, Diploma student of Tanzania Public
Service College (TPSC), Tanga Campus. I present to you this questionnaire on the “assessment
on the implementation of legal framework on current records management in public office.” a
case study of National Social Security Fund (NSSF), Tanga. I hereby solicit for your kind and
objective responses to the items of the questionnaire. Please tick or otherwise on the appropriate
responses that are correctly and typical of you. Your responses will highly be treated with
confidentiality and anonymity because the information generated would be used for this research
purpose only. You have the assurances of my honour and respect of your personality with esteem
regard.
Thank you,
INSTRUCTION:
 Do not write your name in this paper
 Circle whichever appropriate

SECTION A: PERSONAL INFORMATION

1. Level of Education
A. Certificates
B. Diploma
C. Bachelor Degree
D. Masters

SECTION B: THE PRESENCE OF LEGAL FRAMEWORK TO ENSURE PROPER

RECORDS MANAGEMENT
2. Are you aware with the term ‘Legal Framework”?
A. Yes B. No
3. Are you aware with the presence of legal framework to ensure proper records management at
NSSF?
A. Yes B. No
4. Do you think there is presence of the presence of legal framework to ensure proper records
management at NSSF?
A. Yes B. No

22
5. If the Answer in Question 5 above is YES, What is the presence of presence of legal
framework to ensure proper records management at NSSF?
A. Partially
B. Moderate
C. Excellent
SECTION C: THE IMPLEMENTATION OF LEGAL FRAMEWORK IN MANAGING
RECORD
6. Do you think your organization staff are aware with the implementation of legal framework in
managing records?
A. Yes B. No
7. Do you think NSSF has implemented any legal framework in managing record?
A. Yes B. No
8. What are the legal framework that has been implemented by NSSF in managing records?
A. Records and Archives Management Act, No.3 of 2002;
B. National Records and Archives Management Policy of 2011
C. Records Procedure Manual 2007

SECTION D: CHALLENGES FACING THE NSSF MANAGEMENT IN

IMPLEMENTING LEGAL FRAMEWORK IN MANAGING RECORD
9. What do you think is the most challenge facing the records staffs in implementing records
legal framework in their daily of duties?
______________________________________________________________________________
___________________________________________________________________
10. Do you think NSSF management faces any challenges in implementing legal framework in
managing record?
A. Yes B. No
11. If the Answer in Question 9 Above is YES, what challenges facing the NSSF management in
implementing legal framework in managing record?
A. Records staffs’ negligence behavior
B. Inadequate Records Management Personnel
C. Inadequate storage facilities
D. Unreliable records management guidelines

23
 Appendix II
INTERVIEW GUIDE
1. Do you think your organization adhere with any legal framework in managing records?
2. Do you think your organization has implemented any legal framework in managing
record in the organization?
3. As an officer in NSSF, do you think the organization faces any challenges in
implementing legal framework the organization?

24