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Article
Publication date: 16 June 2021

Evans Nyanyu Makwae

Accountability in personnel records management is to a large extent, dependent on the availability of personnel records, there has been very little recognition of the need…

Abstract

Purpose

Accountability in personnel records management is to a large extent, dependent on the availability of personnel records, there has been very little recognition of the need to address the management of personnel records as evidence for accountability either in relation to Freedom of Information (FOI) or Open Data. It is in this regard, therefore, the purpose of this study is to investigate the legal frameworks for personnel records management in support of accountability. The study used a descriptive design which combined both qualitative and quantitative approaches where both qualitative and quantitative information was involved in the study. Founded on the records life cycle and the records continuum, the study aimed to fulfil its main objective: establishing legal frameworks for personnel records management at Garissa County Government (GCG). Purposive sampling was used to select 11 Human Resource Management Officers (HRMO), 11 Personnel Record Management Officers (PRMO) and 11 Personnel Records Management Clerks (PRMC) and 55 staff members who made the total sample of 88 respondents. Data collected were analysed using descriptive statistics with the help of a Statistical Package for Social Scientists (version 17) was used to perform the analysis of quantitative data and presented through frequency tables, percentages, means and standard deviations. Results indicated that the County Government does not have legal frameworks in personnel records management. Several challenges were identified including lack of personal records management policy, lack of integrity, lose of documents/file and poor communication system. Generally, the study shows that legal frameworks in personnel records management is very important in accountability, therefore, GCG management needs to take measure to improve legal frameworks in personnel records management infrastructure and develop personnel records management policy.

Design/methodology/approach

The study was conducted using a descriptive design. This design ensures that data collected are analysed and findings are reported to establish a better understanding of a physical or social phenomenon. The descriptive design combined both qualitative and quantitative approaches where both qualitative and quantitative information was involved in the study. The study was conducted at the County Government of Garissa’s Head Quarters; it targeted staff involved in personnel records management. Garissa town was selected because it is a centre of various activities in County Government of Garissa. The target population comprising HRMO, PRMO, PRMC and staff from different ministries who depended on the personnel records management activities. Purposive sampling was used to select 11 HRMO, 11 PRMO, 11 PRMC and 55 staff members who made the total sample of 88 respondents from the population. Questionnaire method was used to collect data from HRMO, PRMO, PRMC and staff members quickly and give more freedom (in terms of time and flexibility) to the respondents. Interviews were used to obtain more in-depth information from the PRMO, HRMO and PRMC being the individuals’ in-charge of personnel records were to provide information on legal frameworks for personnel records management at GCG.

Findings

Lack of a policy signifies a lack of accountability and awareness of the personnel records management standards, meaning that the staffs are not aware of their responsibilities towards the management of the County’s records. This is therefore likely to contribute significantly to poor performance (Mampe and Kalusopa, 2012). This then puts the County in a precarious position regarding personnel records due to lack of guidelines on classing and handling of personnel records. Lack of a policy also shows a lack of commitment in the area, purporting neglect, where responsibilities are not clearly assigned and remain unclear. Weak institutional capacity and the absence of, for example, comprehensive personnel records management policies have been cited as one of the main causes of archival (as well as records management) underdevelopment in Africa (Ngulube and Tafor 2006). From the reactions of the existence of a draft policy, the staff indicated that it covered among other things: a policy statement, scope, definition of terms, applicable legislation and procedures, mail management encompassing both incoming and outgoing mail, filing classification, retention and disposal, as well as a statement of responsibilities. The study revealed that: personnel records management in Kenya operates under the framework and guidance of the Kenya National Archives and Documentation Services – KNADS which is supported by the Public Archives and Documentation Services Act, Cap 19. Besides the Cap 19, of 1965 of the Laws of Kenya, there are also various legislations that support the management of records in Kenya including the Ministry of State for Public Service (MSPS) (DPM) Circular on personnel records reference number DPM. 12/6A Vol. I (71) of 12th March 2008, the Records Management Procedure Manual for the Public Service, May 2010, prepared by the MSPS in consultation with the KNADS to provide guidelines and procedures to be followed in the day to day management of records in the public service. It is meant to be used alongside existing laws and legislation governing records management in the service. The effective utilization of the manual as stated by the Ministry is to contribute towards the government’s quest to achieve good governance and accountability in the Public Service. Adherence to the Manual is also meant to streamline personnel records management practice leading to effectiveness and efficiency in service delivery and the Government Financial Regulations and Procedures, chapter 23, section 4:2–5 give guidelines on the retention period for financial records. The management of personnel records is guided by various legislations and circulars such as Public Archives and Documentation Service Act, (Cap.19, Laws of Kenya) revised 1991, The Employment Act Chapter 226, revised in 1977 and 2007, The Regulation of Wages and Conditions of Employment Act Chapter 229, Income Tax Act Chapter 470 revised 1989, The National Social Security Fund Act Chapter 258 revised 1989, The Service Commission Act Chapter 185 of 1967 and DPM.12/6A VOL. I (71) dated 12th March 2008 on the destruction of personnel records. Compliance to all the above legal frameworks will ensure that personnel records management in support of accountability at GCG is achieved.

Research limitations/implications

The lack of effective personnel records management programme in a county agency was in itself non-conformity to the requirements and guidelines issued by the public services, thus leading to a lot of caution on how much could be revealed regarding the same. The focus of the study was on the assessment of paper-based and electronic personnel records management within the County Government. The assessment excluded other electronic records, such as online databases, with only personnel records being considered.

Practical implications

Nonexistence of personnel records management legal frameworks implies that the responsibilities for cooperate record management to GCG plans and guidelines of managing personnel records were inefficient. As a result of the absence of written personnel records management policy, there was also a lack of guidelines for appraisal, disposition and schedules of records. On legal frameworks for personnel records management at GCG, the findings revealed that there were many policies in GCG but personnel records management policy was missing which is very crucial. Record management policy will also enhance human resource management policy. The missing of the personnel records management policy reduces the accountability to people who deal with records management in general, increases lack of integrity and indicate that there is a presence of irrational decision.

Social implications

The missing of the personnel records management policy reduce the accountability to people who deal with records management, in general, increases lack of integrity and indicate that there is a presence of irrational decision.

Originality/value

The purpose of the study was to investigate the management of personnel records in support of accountability in devolved governments: A case of GCG.

Details

Records Management Journal, vol. 31 no. 2
Type: Research Article
ISSN: 0956-5698

Keywords

Article
Publication date: 8 June 2012

Roger D. Blanc, Howard L. Kramer, Martin R. Miller and Matthew B. Comstock

The purpose of this paper is to analyze a recent US Securities and Exchange Commission order dismissing an administrative proceeding against the former general counsel of…

Abstract

Purpose

The purpose of this paper is to analyze a recent US Securities and Exchange Commission order dismissing an administrative proceeding against the former general counsel of a broker‐dealer relating to his purported failure to supervise a registered representative.

Design/methodology/approach

The paper explains the story of the general counsel of a broker‐dealer who recommended that a registered representative be fired for misconduct, the effective over‐ruling of that recommendation by the vice chairman of the firm who supervised the registered representative, the SEC's order instituting administrative proceedings (OIP) alleging that the general counsel was the registered representative's supervisor and failed in his supervisory responsibilities, an administrative law judge's finding that the general counsel was the registered representative's supervisor but was not negligent under the circumstances, the SEC Division of Enforcement's appeal of that decision, and the SEC Commissioners’ dismissal of the appeal after a split 1‐1 vote.

Findings

The paper finds that the SEC's “non‐decision” decision leaves compliance and legal personnel with no clear guidance as to when they may have supervisory responsibilities with respect to broker‐dealer personnel and the SEC has not explained whether compliance personnel have different and/or additional compliance responsibilities as compared to legal personnel.

Practical implications

The SEC and its Division of Enforcement are likely to pursue and penalize compliance and legal officers notwithstanding their efforts to alert senior management to wrongdoing by employees they do not actually supervise.

Originality/value

The paper provides expert guidance by experienced securities lawyers.

Details

Journal of Investment Compliance, vol. 13 no. 2
Type: Research Article
ISSN: 1528-5812

Keywords

Article
Publication date: 1 April 1991

Kathleen M. Lannon

This article provides the reader with a general understanding of the financial crisis of the U.S. savings and loan industry and a brief description of how the Resolution…

Abstract

This article provides the reader with a general understanding of the financial crisis of the U.S. savings and loan industry and a brief description of how the Resolution Trust Corporation (RTC) has dealt with one aspect — records management.

Details

Records Management Journal, vol. 3 no. 4
Type: Research Article
ISSN: 0956-5698

Article
Publication date: 1 February 1989

G. Lynn Shostack

It is said that entrepreneurs are great at starting companies, but not very good at sustaining them. The life stories of many companies include a crisis point when the…

Abstract

It is said that entrepreneurs are great at starting companies, but not very good at sustaining them. The life stories of many companies include a crisis point when the company outgrows its founders and professional management must be brought in.

Details

Journal of Business Strategy, vol. 10 no. 2
Type: Research Article
ISSN: 0275-6668

Book part
Publication date: 11 August 2014

Cherry-Ann Smart and Christina Stewart-Fullerton

This chapter explores the feasibility of establishing a consortium for the sharing of electronic resources between two libraries: the University of the West Indies at Mona…

Abstract

This chapter explores the feasibility of establishing a consortium for the sharing of electronic resources between two libraries: the University of the West Indies at Mona and the University of Technology, Jamaica, both of which are located in Kingston. After a description of the institutional and library contexts, the two libraries are compared in terms of missions, staffing, funding, and collections and other differences and similarities including the e-resources. To analyze the feasibility of establishing a partnership/consortium, the exploration and evaluation of formation of a consortium were done using three kinds of analysis: a literature review, interviews, and a review of existing processes and documentation. The data gathering methods and results are described followed by a potential blueprint for implementation. The researchers did not interview or solicit the views of the university administrators and governing bodies or government officials as to the feasibility of such cooperation in light of the tentative nature of the investigation. The authors however worked with the premise that with the proper infrastructure, a consortium between the two universities would be viable. Other institutions considering development or formation of potential consortia might find the approach and methods in this chapter useful as a possible methodology.

Article
Publication date: 1 May 1992

Jerry Yaffe

Over the past 12 years scores of reports and articles have beenwritten about occupational, workforce, or workplace literacy (Workforce2000 – economic and labour force…

121

Abstract

Over the past 12 years scores of reports and articles have been written about occupational, workforce, or workplace literacy (Workforce 2000 – economic and labour force changes, and skills requirements, impacting on America). Research and published materials have failed to address the impact of these issues for the vast local public sector work‐force. Reports on exploratory research on issues of occupational literacy in a large metropolitan US county government workforce. All of the 32 county departments were surveyed regarding Workforce 2000 and occupational literacy in order to assess employee skills and workplace requirements, literacy issues, leadership awareness and policies and planning. Results show a well intentioned, but poorly prepared, (and preparing) county leadership and workforce, which may well impact on the quality of future service delivery. Makes recommendations for policy and programme changes, and for continuing research.

Details

International Journal of Public Sector Management, vol. 5 no. 5
Type: Research Article
ISSN: 0951-3558

Keywords

Abstract

Details

Becoming Digital
Type: Book
ISBN: 978-1-78743-295-6

Article
Publication date: 11 February 2019

Kishor Shrestha, Pramen P. Shrestha and Mylinh Lidder

To maintain road systems in the USA, state departments of transportation (DOTs) generally use in-house workers or private contractors. Limited studies have calculated the…

Abstract

Purpose

To maintain road systems in the USA, state departments of transportation (DOTs) generally use in-house workers or private contractors. Limited studies have calculated the cost savings of hiring private contractors; however, most of them have not calculated cost savings based on life-cycle costs (LCCs). The purpose of this paper is to determine whether the LCC of chip seal and stripping maintenance activities performed by in-house workers are cheaper than those performed by private contractors.

Design/methodology/approach

The paper collected the hard cost data of chip seal and stripping maintenance activities performed by state DOT in-house workers, as well as private contractors, from 2003 to 2016 from the Nevada DOT Maintenance and Asset Management division. Statistical tests were conducted to test the research hypothesis that the LCC of chip seal and stripping activities performed by in-house workers are significantly less than those performed by private contractors.

Findings

The study results showed that the cost per unit and LCC of chip seal and striping work performed by in-house workers were significantly less than those performed by private contractors in Nevada.

Research limitations/implications

The study only collected data from Nevada DOT, so readers should use caution in generalizing the findings of this study. Additionally, factors affecting the cost of these maintenance activities for private contractors are significantly different compared to in-house contractors. Therefore, these differences may be some of the potential reasons for cost difference between these two methods.

Practical implications

The practical implications of this study are that state DOT engineers need to plan for outsourcing chip seal and stripping maintenance activities only to private contractors that are cost effective, based on life-cycle cost.

Originality/value

The LCC analysis framework developed in this study will help state DOT engineers to determine cost savings by using in-house workers for road maintenance works.

Details

Engineering, Construction and Architectural Management, vol. 26 no. 6
Type: Research Article
ISSN: 0969-9988

Keywords

Article
Publication date: 1 April 1993

Ruth Alston

Gives an objective, factual overview of what has to be done toprepare for competitive tendering in UK libraries, with particularreference to public libraries. Discusses…

Abstract

Gives an objective, factual overview of what has to be done to prepare for competitive tendering in UK libraries, with particular reference to public libraries. Discusses the national situation, the purpose of competition, its advantages and success criteria. Considers the particular experience of the pioneer enabling London Borough of Bromley. Gives a straightforward description of the steps necessary in preparing for competition: the service review and articulation of standards, and the separation of client and contractor functions. Considers the client role of writing and specification, establishing the contract strategy, implementing and monitoring the contract, together with the options for contractor side preparation. Finally, comments on the potential difficulties of the client‐contractor division.

Details

New Library World, vol. 94 no. 4
Type: Research Article
ISSN: 0307-4803

Keywords

Article
Publication date: 1 October 2005

Charles S. Gittleman and Russell D. Sacks

To describe and to discuss the implications of the US Department of the Treasury's PATRIOT Act regulations requiring “covered financial institutions” (including…

313

Abstract

Purpose

To describe and to discuss the implications of the US Department of the Treasury's PATRIOT Act regulations requiring “covered financial institutions” (including broker‐dealers, banks, and mutual funds) to maintain risk‐based procedures to ensure that: correspondent accounts held on behalf of specified non‐US financial institutions; and private banking accounts, are subject to due diligence procedures to ensure that those accounts, and the financial institutions holding those accounts, are not being used for money laundering purposes.

Design/methodology/approach

Summarizes and analyzes the adopted rules.

Findings

Since the passage of the USA PATRIOT Act, regulation relating to anti‐money laundering has been among the highest profile – and highest priority – activity of securities and financial institution regulation. Consequently, anti‐money laundering rules and regulations have become a major aspect of compliance programs at financial institutions such as banks and broker‐dealers. The rules that are the subject of this article are noteworthy in part because they continue the trend of widening the universe of “financial institutions” that are now subject to substantial anti‐money laundering regulation. The rules described in this article add substantially to the complexity of anti‐money laundering regulation at financial institutions for a number of reasons, including: firstly, placing new, broad‐based requirements on financial institutions; secondly, requiring those financial institutions to make judgments regarding both the level of risk posed by certain accounts and the appropriate diligence that may be necessary for each such account; and thirdly, interpretive and implementation challenges.

Originality/value

A summary and analysis of new anti‐money laundering regulation, which comes at a time when US regulators are placing substantial emphasis on anti‐money laundering.

Details

Journal of Investment Compliance, vol. 6 no. 4
Type: Research Article
ISSN: 1528-5812

Keywords

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