THE UNITED REPUBLIC OF TANZANIA

PRESIDENT OFFICE

TANZANIA PUBLIC SERVICE COLLEGE

TANGA CAMPUS

CONTRIBUTION OF EFFECTIVE RECORDS MANAGEMENT IN IMPROVING E-

GOVERNMENT

A CASE STUDY OF TANZANIA REVENUE AUTHORITY (TRA), TANGA

GLORIA EDWARD SHIRIMA

DRM.03/23/TNG.2506

A research proposal to be 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

November, 2024
 CHAPTER ONE
BACKGROUND OF THE STUDY

1.0Introduction
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 and Delimitation and
Limitation of the Study.

1.1 Background of the of the study

Organizations are increasingly changing their records management techniques from manual
(paper based) to electronic (computer based) in order to have chronology of records and efficient
management (Mnjama & Wamukoya 2013). This is done by acquiring and integrating relevant
software and hardware to build up a complete and robust electronic records management system
(ERMS) that accommodate all records management functionalities. The electronic records
management system is termed as a program developed to generate, analyze, review and store
data safely (Franks, 2013). Electronic records management system can widely be applied to
manage and create its own records based on the functionality classification in access. According
to (Fuzea 2015), the automation practices refers to an approach that enlists a detailed procedure
with defined entity or personnel in charge of managing and updating of the media records
through an electronic system.

The concept of electronic records management system, automation in an organization establishes

a wide range of operational infrastructures that are revised and shared in an electronic platform.
The repositories are termed as basic information units that capture the organization records in a
model that can be shared, certified in applications and retrieved in a way that is traced. The units
of information presented in repositories that does provide different levels of record management
automation for categorization as stated (Cox, 2013).

The successful implementation of electronic record management systems is the support of every
organization performance. This is because it increases accuracy manifold and productivity.
Effective implementation of system requires seamless alignment with business operations in
order to improve output. Most countries in Africa are investing a lot of resources in terms of
finances and manpower on electronic record management systems projects. According to (Govan
2007), the implementations of electronic record management systems are facing lots of bottle
necks when it comes to end user validation, change in project scope, undefined intention to
access authorized data and scant budget allocation in the ERMS with stiff opposition among the
users who object change.

According to Wan (2012) many Africans nations are faced with the challenges of managing
records particularly electronic records. As records are known to be key in the running of the
government daily activities, absence of proper records keeping can lead to inefficiency and
failure in the operational procedures. It can lead to the government employees being accused of
fraud improperly political embracement and inability to defend the state in cases of legal actions
or claims against the government if no records are produced.

Records are usually the evidence of any organization transaction that is documented in any
format either paper or electronic. Records creation, use, maintenance, storage and dissemination
of information have been transformed by the information communication and technology which
provides an opportunity for the government to improve the delivery of the information and
services to citizens. Many public institutions around the world have not given enough attention
to the vital need to manage the electronic records for them to be able to meet evidence
requirement, promote accountability and support the rule of law (Iwhiwhu, 2011).

Electronic systems exhibit high efficiencies in the operations in a records management

environment. Records management functionalities such as records creation,
sharing/dissemination, processing, storage, disposal, appraisal, and file tracking are efficiently
executed (Chinyemba & Ngulube, 2015). Smooth and efficient running of operations are thereof
achieved. The application of electronic systems brings forth numerous benefits to both the
organizations and clients, among them being accountability data/information integrity
authenticity& security. The high operational efficiencies and other opportunities and/or benefits
brought about by the application of system help boost service delivery in an organization.
Clients/customers satisfaction can be well met by the use of ERMS as opposed to the manual
systems.

Records and information management has in the recent past received increasing support and
attention in the public sector across the globe as governments embrace information &
communication technologies in the management of their corporate records (Mnjama &
Wamukoya, 2013). The public sector in most of the developing nations in Africa have embarked
on reforms directed at streamlining and bettering life of their citizens and modelling new
governance systems that are meant to support and promote appropriate use of technology in
records management (Chinyemba & Ngulube, 2015). This hasn’t been all way been successful
even though a lot of resources has been ploughed in a number of institutions with internal and
external oversight. Very little progress has been made in digitalization of the records linked to
many malpractices in change management. This makes the effective implementation of
electronic document management systems to remain a challenge for many countries mostly in
the Public Sector.

1.2 Statement of the Problem

Records and Information management has in the recent past received increasing support and
attention in the public sector across the globe as governments embrace information &
communication technologies in the management of their corporate records (Mnjama &
Wamukoya, 2013). The public sector in most countries in Africa have embarked on reforms
aimed at streamlining and bettering the life of their citizens, and creating e-government
machineries to establish efficient and effective management systems (Chinyemba, & Ngulube,
2015). Nevertheless, regardless of tremendous efforts and resources assigned to reforms, slight
progress has been made, and many African countries have not come close to their goal of
developing and transforming their societies to the same standards as developed countries.
Effective implementation of electronic record management systems still remains a challenge in
many countries especially in the Public Sector.

According to Wan (2012) due to the use of technology many citizens are information technology
literate and they have advanced in knowledge and they are aware of information and technology
therefore the government need to remain competitive in the changing world of technology. A
comprehensive records management system needs to be in place for the efficiency and
effectiveness of services in the Public sectors since records acts as vital institution memory and
they are central to efficient public service machinery.
A report from the Auditor General states that land issues is a sore thumb and many people are
out to lose their pieces of lands since they were not acquired in the right way. Recently we have
seen buildings being brought down because of building on riparian lands. According to a report
given by the EACC Chairman Arch Bishop Dr. Eliud Wabukala, (2015) showed that there are
still unauthorized personnel who have the accessibility of very vital lands records due to the
weak system and unsecured land registries across the country.

In 2010, the integrated records management system was installed and rolled out in the Tanzania
Government Ministries to manage records processes and functions. In spite of that, there still has
been complains by the public on unavailability of records and delay in service delivery largely
attributed by use of manual system irrespective of the integrated records management system
being in place. Therefore, this problem presents a potential study to examine the contribution of
effective records management in improving e-government with specific reference to the
Tanzania Electric Supply Company Limited (TANESCO). Tanga.

1.3 Objectives of the Study

1.3.1 General Objective
The main objective of this study is to assess the contribution of effective records management in
improving e-government

1.3.2 Specific Objectives

The study was guided by the following objectives:

i. To examine the advantages of using an electronic records management system in

implementing e-government
ii. To assess how can organizations implements an electronic records management system
effectively
iii. To evaluate the common challenges facing the organization in using an electronic records
management system

1.4 Research Questions

i. What are the advantages of using an electronic records management system in
implementing e-government?
 ii. How organizations can implements an electronic records management system
effectively?
iii. What are some common challenges in using an electronic records management system

1.5 Significance of the Study

The study will contribute in implementing effective records management in improving e-
government. The study will be beneficial to policy makers in coming up with workable strategies
towards the enactment of policies to support use of electronic records management system in
government entities and also it enlightens about electronic records management system
stakeholders on the need to efficiently and effectively advance use of electronic records
management system. On the information professional, other sectors of economy and
organizations it will help them to be able to access information at any time since the information
is available online for effective service delivery and transparency.

1.6 Scope of the study

The research will be undertaken at Tanzania Electric Supply Company Limited (TANESCO).
Tanga. The study will be conducted for a period of three months.

1.7 Delimitation and Limitation of the Study

The researcher is anticipated to encounter with time limiting factors as to the completion of the
report. There might be lack of proper sharing of documentation on optimization of ERMS given
that the information might be perceived as confidential in nature. The process of data collection
will be very involving and the researcher might not be able to have adequate information that
would be observed over a long period of time, the time constraint will influence the findings and
thus it would be good to have such a study to be conducted in a period of over five month for
valid conclusions and recommendations
 CHAPTER TWO
LITERATURE REVIEW

2.0 Introduction
This chapter discussed the literature review as presented by other authors and researchers in the
same field of the contribution of electronic records in improving organization performance

2.1 Definition of Key Terms

2.1.1 Records
Are information created, received and maintained as evidence and information by Ana
organization or agencies or person in pursuance of legal obligation and in the transaction of
business (ISO 15489-1,2001). Records should be complete, accurate and provide meaningful for
evidence in future use. Records could be official correspondence, video recordings, meeting
minutes, database, maps, photographs, invoices and personnel files (IRMT, 2011).

2.1.2 Electronic record

An electronic record is any information created, used and retained in electronic format that only
a computer can read and process, (NARA, 2012). Electronic records include email, text
messages, disaster recovery backup tape, and records that exist on portable media, such as
memory sticks and blackberry devices, (Wamukoya and Mutula, 2005).

2.1.3 Electronic Records Management (ERM)

The standard definition of ERM is the field of management responsible for the efficient and
systematic control of creation, receipt, maintenance, use and Disposition of electronic records,
including process for capturing and maintaining evidence and information about business
activities and transactions (Public Records Office, 2001). ERM requires planning, budgeting,
organizing, directing, training and control of activities associated with managing the records in
its entirety (CaIRIM, 2002).

2.2 Theoretical Literature Review

The study is based on two related models namely: information governance model and diffusion
theory.

2.2.1 Information Governance Theory

Information governance model was founded by Claud Shannon in the year 1948. The theory was
linked to relevant limits of the signal and communication operations relating to data processing.
The theory enlists data formulation on storage, quantification, retrieval and communication via
governance mechanism. Throughout, the concept of information governance has been widely
used in many organizations in conjunctions with data security and governance under different
parties on transparency, accuracy, legal compliance among others as stipulated by (Ellis, 2015).
It has enabled organizations to create logical framework that defines the role of every individual
in an organization and the approach towards information governance policies and procedures
(Roos, 2011).
 Organization can establish a consistent and logical framework for employees to handle data
through their information governance policies and procedures. These policies guide proper
behavior regarding how organizations and employees handle electronically stored information.
The model review key measures on security and governance with privacy to the data.
Organizations have set policies on the way they create, manage and retrieve their digital
information with precedent approach. The organization records are presented in a physical object
like papers, tangible object like disks or in a digital format of online databases, emails or
application data (Tough, 2013). The information becomes relevance when there is scrutiny
towards its accessibility, the central manning authority has the right to produce it to the right
people when the need arises through a governance approach. Further, information governance
gives a reflection of the best policy guide on how the records are accessed, shared in privacy and
comply with the set standards that does not infringe the rightful owners (Jeffrey & Cook, 2015).

2.3 Empirical Literature Review

Technology has changed the way of doing things globally. It has awakened the discussion on the
possible challenges and opportunities for record management. The reduction of physical records
is a shift in the focus of electronic records that has been termed as essential transformation of a
long time. Previous studies that have been done have touched on key issues that need to be
addressed. The costs associated with managing the draft copy involves a lot of manpower while
the cost associated with the transforming the digitalization process of record keeping may be
costly to the organization in the initial setup stage and later a drop in the expenses when
managing such records. Minimal errors may be recorded in digital records compared to the paper
record hence a new leaf for many organizations to consider having their digitalized records.

Ngulube (2014) acknowledges that the aim of having proper record management is to ensure
efficiency, proper maintenance, utilization and storage in rightful manner. Contrary to the
relevance of proper record management system in most organizations, the form of record
management in Africa and Kenya is very wanting as they are corrupted by system failure
(Record Management Trust, 2013). Most of the government led institutions are shooting
themselves in their foot by disrupting the system to take advantage and misuse the records.

This is indicated in scenarios where there has been deliberate destruction of the systems by
setting fire to hide evidence and also damage to the systems and records. Many cases have been
put forward to instances where system is termed to be very low, disarray and not working (Yeo,
2013). There is need to have compliance law to the government led institutions to proactively
capture, record and manage all the records with the central back up storage in independent state.
This will help such organization to be accountable to all the information they handle and also to
demonstrate good intentions in the record management as opined by (Mountain, 2012).

2.4 Knowledge Gap

The need for records management programme cannot be overstressed in the current information
age. Records Management programme economics can be achieved through: at creation to ensure
that only the vital records are created and duplications is not done. Unwanted records cannot be
kept at creation, one needs to have an effective system of determining what records needs to be
kept and for how long with effective retention/disposal systems it will be possible to empty the
filing cabinets regularly to avoid purchasing new ones for new files, the removal of all non-
current records from precious office space to low cost storage areas in the records centers where
they can be serviced economically.

The adherence and embracing of the records management programme the field of records
management would be without any effects. Since a lot of knowledge has been gathered on the
electronic record management systems, this research is done to fill the gap on the contribution
of electronic records in improving organization performance which has not been covered
adequately and proper guideline on the implementation has not been provided.

2.5. Conceptual Framework

Conceptual framework is termed as variable representation with the determinant variables placed
in the left wing of the figure and response variable places in the right wing of the figure. The
model indicates the nature of the association whereas when one factor increases and how it
impacts the other factor. In this study the independent variable is records management while the
dependents variable is e-government. The conceptual framework shows that there is relationship
between these variables since effective records management can improve the e-government
performance

Figure 2.1: Conceptual Framework

INDEPENDENT VARIABLE DEPENDENT VARIABLE

RECORDS MANAGEMENT

E-GOVERNMENT

Advantages of ERMS

Implementation of ERMS

Challenges in using ERMS

Source: Researcher’s Own Construction (2024)

 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 emulates an organized structure of inquiry that attempts to respond to the study
questionnaires in a meaningful approach (Paul, 2017). The research design is very important to
the study in providing clear information that details how the study is arranged, how data is
collected and analyzed. The study will employ an explanatory research design with causal effect
as to why electronic records in improving organization performance specific to TRA, Tanga.

3.2. The study Area

The research is about the contribution of effective records management in improving e-
government. The study location where questionnaires will be administered and information
collected is TRA, Tanga.

3.3 Study Population

The study population entails all the sets of individuals, events, elements, object or cases with
certain observable features that can be categorized for decision making. Target population
represents the total combination of the population that the researcher has a choice to analyze. The
study target population will be 56 respondents who will be the employees of TRA, Tanga. They
will include various staff within the company.

3.4 Sample and Sampling Techniques

3.4.1Sample 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 will select respondents who are responsible on secretary’s performance management and
secretaries themselves (staff members). Respondents will help the researcher plans and to
generalize the findings (Best & Kahn, 2006). A sample of 28 respondents will be selected out of
56 staff because they considered to represent and having vital information for the study by virtue
of their positions.

Glenn D (2013) simplifies formula by calculating the sample size in the study.

N
Therefore, n = 2 is applied to get sample in this study
1+ N e
Where N= Target population,
n= Sample Size

e= Margin Error

Then, N=56

e = 10%, n=?
56 56
n= 1+ 1.85 = 1.56 = 35.9= 36

The sample of 36 respondents will be selected for this study.

Table 3.1: Sample Composition of the Study

Participants Target Population size Sample size

Administration Department 14 9
Procurement & Logistic Department 14 9
Records Management Department 14 9
Accounting Department 14 9
Total 56 36
Source: Researcher (2024)

3.4.2 Sampling Techniques

Dang and Pheng (2015), defines sampling technique as the process of selecting a group of
people, elements with certain sets of behavior and organizing them to involve in the study. The
study will adopt a purposive random sampling in a stratified approach and census. The study will
incorporate strata to have mix of data based on how the department use ERMS and how it
contribution in improving organization performance. Census sampling will be used in choosing
the respondent for information staff given their small number in the institution.

3.5 Data Collection Methods

Data will be obtained from two sources namely Primary and Secondary sources. The
methodology in primary data collection included Questionnaires. The secondary data will
involve documentation/documentary review. In documentary review various annual performance
reports, journals, newsletters and websites will be visited to get various information.

3.5.1 Primary Data Collection Method

Primary data are those that are collected a fresh and for the first time and thus happen
to be original in Character (Kothari, 2004). The primary data collection will enable the
researcher to obtain firsthand information Primary data will be collected through questionnaires
that will be conducted by the researcher.
3.5.2 Secondary Data Collection Method
In data collection, Secondary data will be collected from several sources including internet,
documentations such as journal, newspaper and text books. The aim is to collect second hand
information include both raw data and published.

3.6 Data Collections Instrument

The researcher utilized primary data. Structured questionnaire were utilized in this research.
Structured questionnaires help in collecting quantitative data. Data is obtained from close-ended
questions. Structured questionnaire will be used because it is affordable to gather the data and
can be mass produced, gathering a huge amount of data that represents a sizable portion of the
target population, allowing results to be generalized. With a focus on addressing the research
questions, the questionnaires will be designed as pet research objectives.

3.6.1 Questionnaire
A questionnaire consists of a number of questions typed and printed in a definite order on a form
or set of forms. The study will use the structured questionnaires in this study because structured
questionnaires are definite, concrete and pre-determined questions. In questionnaire most of the
questions will be closed ended questions so as to give an opportunity for the respondents to
answer them effectively and to reduce fatigue in answering questions. The researcher will
distribute 23 questionnaires in accordance with the sample of the respondents

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 will enable the researcher to get secondary data which will be used as the source
of information for this research. Data will be analyzed both qualitatively and quantitatively. The
reason for using both approaches is due to the fact that they complement each other. Data from
questionnaires will be analyzed statistically. The main tool which for data analysis will be
Microsoft Excel for calculations and percentages, Tables, figures and charts will be 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
The study validity is defined as the capability of the research instrument to give precise and
accurate information with valid solutions (Marshall & Rossman, 2014). The study validity will
be achieved by having the views of the college supervisor and coordination in TRA, Tanga.
Validity was affirmed by having verifiable objectives that fitted to the contribution of electronic
records in improving organization performance with the highest impact.

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. 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 will design 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 will help to achieve data consistency
and completeness.