RECORDS MANAGEMENT AND PROCUREMENT PERFORMENCE AT

SERERE DISTRICT LOCAL GOVERNMENT, UGANDA

BY

PETER CARLOS EBIAU

18/MPP/KLA/WKD/0013

DISSERTATION SUBMITTED TO THE SCHOOL OF MANAGEMENT

SCIENCE IN PARTIAL FULFILMENT OF THE REQUIREMENTS FOR THE

A WARD OF MASTER’S DEGREE IN PUBLIC PROCUREMENT

OF UGANDA MANAGEMENT INSTITUTE

OCTOBER, 2022

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 DECLARATION
I, PETER CARLOS EBIAU 18/MPP/KLA/WKD/0013, declare that this dissertation
entitled “Records management and procurement performance at Serere District Local
Government” is my own original work and it has not been presented and will not be
presented to any other institution for any academic award. Where other people’s work has
been used, this has been duly acknowledged.
SIGN ……………………………… DATE………………………………..

PETER CARLOS EBIAU

18/MPP/KLA/WKD/0013

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 APPROVAL

This is to certify that this dissertation by PETER CARLOS EBIAU

18/MPP/KLA/WKD/0013 entitled, “Records management and procurement performance

at Serere District Local Government” has been submitted for examination with our

approval as Institute supervisors.

SIGN………………………………. DATE:…………………………………………….

KIWANUKA MICHEAL (PhD)

SUPERVISOR

Uganda Management Institute

SIGN………………………......................... DATE: ……………………………………..

GLADYS MUHAMA (PhD)

SUPERVISOR

Uganda Management Institute

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 DEDICATION

This dissertation is dedicated to my family members most especially my dear wife, my

children and my parents for their financial support and moral encouragement.

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 ACKNOWLEDGEMENT

I am deeply indebted to my research supervisors Dr. Kiwanuka Micheal (PhD) And Dr.

Gladys Muhama (PhD) for their patience with my inadequacies as they guided me

through the research process. Without your parental and professional input, this research

would have been difficult to elevate to its current level.

I acknowledge with gratitude the contributions and co-operation made by the respondents

from Serere District Local Government for their willingness to provide the necessary

information when I visited their institution during the research process. Without their

cooperation, this study would have been impossible to accomplish.

I also thank my colleagues at Uganda Management Institute, persons who dealt with

secretarial work and those who read through the questionnaires and perfected the draft

report.

I deeply treasure the contributions of all the above persons and my colleagues, I ask God

Almighty to richly bless them.

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 TABLE OF CONTENTS

DECLARATION............................................................................................................................i

APPROVAL...................................................................................................................................ii

DEDICATION..............................................................................................................................iii

ACKNOWLEDGEMENT...........................................................................................................iv

TABLE OF CONTENTS..............................................................................................................v

LIST OF TABLES........................................................................................................................vi

LIST OF FIGURES.....................................................................................................................vii

LIST OF ACROYMNS..............................................................................................................viii

ABSTRACT..................................................................................................................................ix

CHAPTER ONE............................................................................................................................1

INTRODUCTION.........................................................................................................................1

1.0 Introduction................................................................................................................................1

1.1 Background to the study............................................................................................................1

1.1.1 Historical background.............................................................................................................1

1.1.2 Theoretical background..........................................................................................................3

1.1.3 Conceptual background..........................................................................................................4

1.1.4 Contextual background...........................................................................................................5

1.2 Statement of the Problem...........................................................................................................6

1.3 The purpose of the study............................................................................................................7

1.4 Objectives of the study..............................................................................................................7

1.5 Research Questions....................................................................................................................7

1.6 Hypotheses of the study.............................................................................................................8

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1.7 Conceptual framework...............................................................................................................8

1.8 Significance of the Study...........................................................................................................9

1.9 Justification of the study..........................................................................................................10

1.10 Scope of the Study.................................................................................................................10

1.10.1 Content scope......................................................................................................................10

1.10.2 Geographical scope.............................................................................................................10

1.10.3 Time Scope.........................................................................................................................11

1.11 Operational definitions..........................................................................................................11

CHAPTER TWO.........................................................................................................................13

LITERATURE REVIEW...........................................................................................................13

2.1 Introduction..............................................................................................................................13

2.2 Theoretical review...................................................................................................................13

2.3 Records Creation and Procurement Performance....................................................................14

2.4 Records Maintenance and Procurement Performance.............................................................16

2.5 Records retrieval and Procurement Performance....................................................................18

2.6 Summary of reviewed literature..............................................................................................20

CHAPTER THREE.....................................................................................................................21

METHODOLOGY......................................................................................................................21

3.1 Introduction..............................................................................................................................21

3.2 Research design.......................................................................................................................21

3.3 Study Population......................................................................................................................21

3.4 Sample Size and selection.......................................................................................................22

3.5 Sampling Techniques and Procedure.......................................................................................22

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3.5.1 Simple random sampling......................................................................................................22

3.5.2 Purposive sampling...............................................................................................................23

3.6 Data collection methods..........................................................................................................23

3.6.1 Primary data..........................................................................................................................23

3.6.1.1 Questionnaire survey.........................................................................................................23

3.6.1.2 Interview............................................................................................................................23

3.6.2 Secondary data......................................................................................................................24

3.6.2.1 Documentary review..........................................................................................................24

3.7 Data collection instruments.....................................................................................................24

3.7.1 Self-Administered Questionnaire.........................................................................................24

3.6.3 Documentary Review Checklist...........................................................................................25

3.8 Quality control of the instruments...........................................................................................25

3.8.1 Validity of instruments.........................................................................................................25

3.8.2 Reliability of instruments.....................................................................................................26

3.9 Procedure of data collection....................................................................................................27

3.10 Data Analysis.........................................................................................................................27

3.10.1 Quantitative analysis...........................................................................................................27

3.10.2 Qualitative analysis.............................................................................................................27

3.11 Measurement of Variables.....................................................................................................28

3.12 Ethical Considerations...........................................................................................................28

CHAPTER FOUR.......................................................................................................................30

DATA PRESENTATION, ANALYSIS AND INTERPRETATION......................................30

4.1 Introduction..............................................................................................................................30

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4.2 Response rate...........................................................................................................................30

4.3 Findings on background characteristics...................................................................................30

4.3.1 Gender characteristics of the respondents............................................................................31

4.3.2: Age of the respondents........................................................................................................31

4.3.3: Education level of respondents............................................................................................32

4.3.4 Duration of the respondents in the organization...................................................................33

4.4 The influence of records creation on procurement performance.............................................34

4.4.1 Bivariate correlation results for Record creation..................................................................40

4.4.3 Hypothesis statement one.....................................................................................................41

4.5. The influence of records maintenance on procurement performance.....................................42

4.5.1 Bivariate correlation results for Record Maintenance..........................................................50

4.5.2 Hypothesis statement two.....................................................................................................52

4.6: The influence of records retrieval on procurement performance...........................................52

4.6.1 Bivariate correlation results for Records retrieval................................................................57

4.6.2 Linear regression results for Records access and Procurement performance.......................58

4.6.3 Hypothesis statement three...................................................................................................59

4.7 Regression matrix results for Procurement records management and procurement

performance process......................................................................................................................59

4.8: Procurement Performance......................................................................................................60

CHAPTER FIVE.........................................................................................................................64

SUMMMARY, DISCUSION, CONCLUSIONS AND RECOMMENDATIONS.................64

5.1 Introduction..............................................................................................................................64

5.2 Summary of key findings.........................................................................................................64

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5.2.1 The influence of records creation on procurement performance..........................................64

5.2.2 The influence of records maintenance on procurement performance...................................64

5.2.3 The influence of records retrieval on procurement performance.........................................64

5.3 Discussion of findings.............................................................................................................65

5.3.1 The influence of records creation on procurement performance..........................................65

5.3.2 The influence of records maintenance on procurement performance...................................67

5.3.3 The influence of records retrieval on procurement performance.........................................69

5.4 Conclusion...............................................................................................................................71

5.4.1 The influence of records creation on procurement performance..........................................71

5.4.2 The influence of records maintenance on procurement performance...................................72

5.4.3 The influence of records retrieval on procurement performance.........................................72

5.5 Recommendations....................................................................................................................73

5.5.1 The influence of records creation on procurement performance..........................................73

5.5.2 The influence of records maintenance on procurement performance...................................74

5.5.3 The influence of records retrieval on procurement performance.........................................74

5.6 Limitations of the study...........................................................................................................74

5.7 Suggestions for further studies................................................................................................75

REFERENCES............................................................................................................................76

APPENDICES.................................................................................................................................i

APPENDIX ONE: QUESTIONNAIRE FOR DISTRICT MANAGEMENT,

ELECTED LEADERS AND DISTRICT STAFF........................................................................i

APPENDIX 2: INTERVIEW GUIDE FOR THE CAO, HEADS OF

DEPARTMENTS AND SERVICE PROVIDERS.....................................................................vi

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APPENDIX 3: DOCUMENTARY REVIEW CHECKLIST..................................................vii

APPENDIX IV: KREJCIE & MORGAN (1970) MATHEMATICAL TABLE..................viii

LIST OF TABLES

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Table 3.1: Study Population and Sample Composition.....................................................22

Table 3.2: Results of content validity for research tools...................................................26

Table 3.3: Reliability test results of research instruments.................................................26

Table 4.4: Response Rate..................................................................................................30

Table 4.5: Age of the Respondents....................................................................................32

Table 4.6: Duration of the respondents in the organization...............................................33

Table 4.7: The influence of records creation on procurement performance......................34

Table 4.8: Correlation results for Record creation............................................................40

Table 4.9: linear regression results for records creation....................................................41

Table 4.10: The influence of records maintenance on procurement performance............42

Table 4.11: Bivariate correlation results for Record Maintenance and Preservation........51

Table 4.12: linear regression results for records maintenance and preservation...............51

Table 4.13: The influence of records retrieval on procurement performance...................52

Table 4.14: Bivariate correlation results for Records retrieval and Use............................57

Table 4.15: Regression matrix results for procurement records management..................59

Table 4.16: Procurement Performance..............................................................................60

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 LIST OF FIGURES

Figure 1.1: Conceptual framework......................................................................................9

Figure 4.2: Gender of respondents.....................................................................................31

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 LIST OF ACROYMNS

CAO: Chief Administrative Officer

HOD: Head of Department

PPDA: Public Procurement and Disposal Act

USA: United States of America

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 ABSTRACT

The study examined the relationship between procurement records management and

procurement performance under the Serere District Local Government Program. The

specific objectives used include determining the influence of record creation, determining

the influence of records maintenance & preservation and examining the influence of

records retrieval. The study adopted a cross sectional survey design. An accessible

population of 101 respondents was identified with 93 forming a sample. An 87%

response rate was realized. Findings obtained include a positive relationship (.708**) for

record creation, another positive relationship (.763**) for records maintenance &

preservation and a positive relation (.824**) for records retrieval. The following are

concluded for record creation: Fewer Serere District Local Government staff possesses

records creation skills, competencies and qualification. Record maintenance and

preservation conclusion include: record weeding is crucial for better record sorting;

records were safer when stored in metallic or wooden equipment and skilled records staff

were key to improved records keeping. Records retrieval and use conclusions are only

authorized persons could be allowed access to Serere District Local Government records.

Recommendations made include: training staff on customized record courses, Serere

District Local Government management review to integrate and mainstream records into

its strategic plan, always work within PPDA guidelines, organize for records awareness

workshops, value time to better records weeding, emphasize records ethical practice,

Serere District Local Government management to review internal records control and

policies as well as avoid informal records communication.

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 CHAPTER ONE

INTRODUCTION

1.0 Introduction

In Uganda, never before has there been a growing interest in procurement performance

than it is today. Procurement management today appears on the agenda of researchers,

academia, policy makers and practicing procurement officials and this could be a

function of many factors (De Wet & Du Toit, 2016). Yet, as Palmer (2016) claims,

millions of dollars get wasted due to inefficient and ineffective procurement structures,

policies and procedures which result into poor service delivery.

In the area of procurement, records management is enshrined in the PPDA Act of 2003,

procurement Entities. The study focused on records management and procurement

performance at Serere district local government, Uganda. This chapter presents the

background to the study, the statement of the problem, the general objective, the

objectives of the study, the research questions, the hypotheses, the conceptual framework,

the significance, the justification, the scope of the study and the operational definitions.

1.1 Background to the study

This section presents the background of the study under four dimensions that’s

historical, theoretical, conceptual and contextual perspectives.

1.1.1 Historical background

Historically, procurement performance can be traced way back in the 3000 B.C as

practiced by the Egyptians and much more obtained a lot of attentions in current years.

Procurement performance became so much important in current organization due to its

much more significance in managing procurement budgets in public organizations

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(Luzzini, et al. 2015). It started more with developing plans and later it enrolled as vital

elements of control, monitoring and budgeting. For example, in Swaziland, their

procurement performance arose as a call for the Government of the Kingdom to develop

contract plans, select vendors and administer contracts to ensure that organization

performance becomes efficient and effective whereas in USA, procurement performance

arose as a way of controlling procurement corruption that had succumbed the public

sector organization. Therefore, having contract plans, vendor/supplier selection

techniques and contract administration mechanisms emerged into the field of contract

performance (Weele & Raaij, 2014).

In several African countries, few articles have rigorously analyzed and empirically

tested the factors that actually affect a government agency's decision to manage

contracts. Within the relatively scarce empirical evidence on contracting decisions and

management (Dzuke & Naude, 2017), there is yet little information on the effectiveness

of contract management specific to public procurement.

In Uganda, the procurement function has become increasingly important over the past

decades since procurement and supply has become a major determinant of corporate

success. The enactment of the Public Procurement and Disposal Act PPDA (2003) and

the Regulations of 2014 are some of the reforms that were meant to promote efficiency,

effectiveness, accountability and value for money in public procurement. Many

developing countries Uganda inclusive have not managed to advance the purchasing

profession either because of lack of managers (Supervisors) to recognize the profession

or because top management does not support and fully understand the required

competences for effective development of the purchasing and supply chain function

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(Sipman & Agaba, 2006). In the same regard, PPDA (2012) revealed that while Uganda

has been a leader in Africa in the implementation of public procurement reforms which

started in 1997 and led to the enactment of a procurement law in 2003 (PPDA Act of

2003), the Government still loses in excess of UGX 300 billion annually, in poorly

managed procurement processes (Tumutegyereize. 2013; PPDA, 2017). In Uganda,

Government has taken a number of steps to support Records Management and Archives

in the country, given its current poor state. These include the following, among others:

Circular No. 2 of 1976 was fully implemented in 1988. In 1990, a Department of Records

and Information Management was created in the Ministry of Public Service. In 1994, the

Department was moved from Office of the President to the Ministry of Public Service.

Between 1990 and 2001, registries were developed in all ministries. Some records staff

was given basic training in Records Management (Nyamungu, 2011).

1.1.2 Theoretical background

The study was guided by Records Lifecycle Theory. This theory was developed at the

National Records and Archives Administration of the United States of America in the

1930s, is based on the concept that a record has a life. The lifecycle approach to records

divides the life of records into stages, that is, a record is born (created), it lives (used and

maintained) and it (disposed of) (Penn and Coulson, 1994).

As articulated in the works of Schellenberg (2016), the lifecycle theory suggests that

records move from one phase to another, over time, in a linear rather than a cyclical

way, from creation, receipt and use, to disposal. Creation, receipt and use form the

primary stages of a record’s life, while preservation in an archive provides an

opportunity for secondary use. Described in this way, the theory contributes to the

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creation of strict demarcation of responsibilities between archivists and records

managers as it identifies what will happen to a record at different stages. Hence records

managers are the key players in primary uses and archivists are managers of records for

their secondary uses. However, there are weaknesses in the theory such as its strict

separation of records management responsibilities. The challenges posed by the

management of organizations in particular have increasingly led to recognition of the

inter-dependence of responsibilities between records management and archives

administration.

Yusuf and Chell (2018) argue that phase of records management can be treated in

isolation in the Electronic Environment; all phases need to be managed in a continuous

way. As noted by one scholar; successful management of records can only be achieved if

managed as a continuous process. Yusuf and Chell pointed out that the records lifecycle

theory could not be used in managing records and needed to be replaced by a model

which appropriately reflected the special characteristics of records. The thought manages

the examination with a theoretical system for assessing the relationship among record

management and procurement performance.

1.1.3 Conceptual background

The key concepts in this study are records management measured in terms of records

creation, records maintenance and records retrieval and procurement performance.

According to Tagbotor and Agbanu (2015), record management involves professional

information beginning from the time a-company creates or gets record via their

processing, storage, retrieval, as nicely as, distribution till their removal or everlasting

retention in a company’s archives.

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Peltier (2016) defines records management as the area of general administrative

management concerned with achieving economy and efficiency in the creation,

maintenance, use and disposal of records of an organization throughout their life cycle,

and in making the information they contain available in support of the business of that

organization.

Procurement performance refers to the ability of the procurement function in the

organization to fulfill its mission through sound management, strong governance and a

persistent rededication to achieving results (Tumuhairwe and Ahimbisibwe, 2016).

Procurement performance comprises the actual output or results of an organization as

measured against its intended outputs or goals and objectives (Richard et al., 2009).

According to Osebe, Maina, Jand Kurgat (2018), procurement performance is defined as

the process of quantifying the efficiency, effectiveness, transparency and quality of

products. In summary, it is simply the measure of how well an organization’s

procurement unit achieves its goals and objectives. In the study, procurement

performance will be measured in terms of compliance with guidelines, minimization of

corruption, minimization of waste, transparency, economical audit trail and ease to trace

payments.

According to Caravaca, (2017), records creation means the recording of information on

paper, printed forms, punched cards, tape, disk, or any information transmitting media.

"Records creation" includes preparation of forms, reports, state publications, and

correspondence; "Records disposition authorization" means the official document

utilized by an agency head to request authority for the disposition of records. The public

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records commission shall determine and order the proper disposition of state records

through the approval of records disposition authorizations;

Records maintenance: David, R. (2017) defines Records Maintenance (RM) is the

supervision and administration of digital or paper records, regardless of format. Records

management activities include the creation, receipt, maintenance, use and disposal of

records. In this context, a record is content that documents a business transaction.

Documentation may exist in contracts, memos, paper files, electronic files, reports,

emails, videos, instant message logs or database records. Paper records may be stored in

physical boxes on-premises or at a storage facility. Digital records may be stored on

storage media in-house or in the cloud.

The ISO 15489-1: 2001 standard ("ISO 15489-1:2001") defines records maintenance as

"[the] field of management responsible for the efficient and systematic control of the

creation, receipt, maintenance, use and disposition of records, including the processes

for capturing and maintaining evidence of and information about business activities and

transactions in the form of records"

Records retrieval refers to the process of location of a specific file, document or record

and then delivering it so it can be used. Retrieval requires a completed records retrieval

Form and must include the box title and date of transfer.

1.1.4 Contextual background

Serere District is located in Eastern Uganda and was formerly part of Soroti District in

Teso District. The District is currently divided into the counties of Kasilo, Pingire and

Serere. The District came into effect on the 1st July 2010 having been curved out of the

Old Soroti District with effect from 17 th August 2011. Serere commenced to operate,

6
however with ineffective procurement as a result of poor records management due to

staff at the district not having the skills in records management and procurement.

The procurement and disposal audit conducted in Serere District Local Government in

2012 confirmed ineffective procurement as a result of poor records management which

was not in accordance with Section 7 (j) of the PPDA Act, 2003. The overall audit

objective was to review the entire procurement and disposal system of Serere District to

obtain assurance that contracting and procurement activities and processes for the

financial year ended June 2012 were administered with due diligence and were

compliant with the Public Procurement and Disposal policies and procedures as laid out

in the PPDA Act No 1 of 2003 and the LG (PPDA) Act 2006 and LG (PPDA) Reg. 2006

(Agaba & Shipman, 2006).

Procurement records management is an important function in the procurement

performance, as it provides a basis for internal and external audits that are needed to

determine compliance with the procurement legal and institutional framework. The

PPDA Act requires that the user department properly maintain, use and retrieve

procurement records. Despite the well-laid-down guidelines on how procurement

records should be kept, records are poorly kept, leading to gross inefficiency and

ineffectiveness on the side of public organizations. Performance report (2018) indicates

that procurement record management is characterized by the following: extremely

deficient filing and documentation that cannot facilitate audit trail; procurement records

are often fragmented and scattered in various locations and departments; signed contract

documents for goods, works and consulting services are often not complete; and contract

variations are not properly authorized or recorded in some cases, where the equipment

7
supplied is different from those contracted. The report indicates that procurement record

management is characterized by the following: extremely deficient filing and

documentation that cannot facilitate audit trail; procurement records are often

fragmented and scattered in various locations and departments; signed contract

documents for goods, works and consulting services are often not complete; and contract

variations are not properly authorized or recorded in some cases, where the equipment

supplied is different from those contracted

1.2 Statement of the Problem

Effective information management in procurement performance is an increasing number

of turning into a relevant thing for procurement performance globally. In Uganda, local

governments are attaching at maximum importance to information management as a

method of stepping up nice report preserving systems. Serere district has applied some

of information management guidelines which include; information creation, information

up keeps and information disposition. These are supposed to enhance at the procurement

overall performance with the intention to lessen at the bad information preserving

systems, shoddy works (Ndagire, 2020).

Notwithstanding all the above mentioned, much of the archives are not even

computerized which makes the performance of duties more difficult, costs

organization‘s time, money resources, and makes them vulnerable to security breaches,

prosecution and embarrassment. The poor effectiveness and efficiency in operations may

be as a result of poor records management, and if the organization does not embark on

proper records management practices it will lead to low organizational effectiveness and

efficiency (Annual Audit Report 2017/18; PPDA Audit Report, 2015). Clearly if no

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prompt mediations concerning establishing appropriate record management systems, this

will extraordinarily influence the procurement performance in Serere district. It based on

the above study that this study examined how records management can influence

procurement performance in Serere District Local Government.

1.3 The purpose of the study

The purpose of the study was to examine the influence of records management on

procurement performance in Serere District Local Government, Uganda.

1.4 Objectives of the study

The study will be guided by the following objectives;

i. To examine the influence of records creation on procurement performance in

Serere District Local Government.

ii. To examine the influence of records maintenance on procurement performance

in Serere District Local Government.

iii. To examine the influence of records retrieval on procurement performance in

Serere District Local Government.

1.5 Research Questions

The study answered the following research questions below;

i. To what extent does records creation influence procurement performance in

Serere District Local Government?

ii. What is the influence of records maintenance on procurement performance in

Serere District Local Government?

iii. How does records retrieval influence procurement performance in Serere District

Local Government?

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1.6 Hypotheses of the study

The following hypothesis guided the study;

H1: Records creation has a significant influence on procurement performance in Serere

District Local Government.

H1: Records maintenance and preservation has a significant influence on procurement

performance in Serere District Local Government.

H1: Records retrieval has a significant influence on procurement performance in Serere

District Local Government.

1.7 Conceptual framework

Conceptual framework is defined as an interconnected set of ideas (theories) about how

a particular phenomenon functions or is related to its parts (Svinicki, 2010).

Records Management Procurement Performance

(Independent Variable) (Dependent Variable)

Records Creation
 Referencing
 Classification
 Indexing
 Compliance with guideline
Records Maintenance
 Shelving  Improved Service Delivery

 Filling  Minimization of time wasting

 Archiving
 Ease of conducting an audit trail

Records retrieval
 Records accessibility
 Record confidentiality

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Source; Adopted from the ISO 154891-1:2001 standard and Moullin, 2004 with

modification by the researcher.

Figure 1.1: Conceptual framework

The framework above clarifies the connection between records the management and

procurement performance. Records management is estimated in expressions of

information presentation involving referring to, notwithstanding classification and

ordering, smoothening higher procurement in general performance. While information

management obliges of signs including: racking, filling, stockpiling, documenting

helping the privilege safeguarding of information clearing a way for higher procurement

generally speaking performance. Moreover, is information recovery, each and every

other unprejudiced variable includes the utilization, recovery and spread clarifying who

utilizes, recovers them and the manner in which procurement measurements streams

from one stop to each other, all pointed toward higher procurement generally speaking

performance.

On the contrary hand, procurement generally speaking performance is checked in light

of the fact that the set up factor. This variable obliges of the consistence with

minimization of waste, simplicity of doing review trail, all discovered through ensuring

that correct information are overseen. Finally, the structure shows the association among

procurement information management and procurement by and large performance.

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1.8 Significance of the Study

The study will help policy makers within public and private sector to identify the crucial

areas in their organizations and make appropriate decisions to ensure that procurement

records management is followed up to the dot to improve the procurement performance.

The study will contribute to the quest for knowledge on the effect of records

management on procurement performance and provide possible solutions to the problem

statement.

It is envisaged that this study will create new knowledge and awareness in the area of

procurement management to the researcher, various stakeholders and Serere district in

reviewing their strategies while implementing subsequent projects.

The academia, research institutions, public and private sectors will benefit from the

findings and make decision from an informed point of view. The research report will be

used by future researchers who wish to explore more on the research problem or other

topics in project performance.

1.9 Justification of the study

There isn't any observational evidence featuring the effect of record management on

procurement performance in Serere district. Except if there might be a finished skill of

the manner in which record management sway the procurement by and large

performance in Serere district which isn't generally in actuality reflected, there might be

need to fill an ability hole. Regardless of the several research on procurement

management, the component of procurement generally speaking performance regarding

the matter of management has been in enormous part disregarded particularly in Serere

district, pressure is creating on open substances to improve by and large performance of

12
the manner in which they get products, contributions and works contracts anyway also

right record management for obligation and review purposes.

1.10 Scope of the Study

The scope of the study was presented in terms of content, geographical and time scope.

1.10.1 Content scope

The study focused on the influence of records management on the performance of the

procurement in Serere District. The aspects under records management to be considered

for the study was limited to (records creation, records maintenance and records

retrieval).

1.10.2 Geographical scope

The study was carried out in Serere District Local Government. It was made by Act of

Parliament and got practical on the 01 July 2010; Serere District is situated in Eastern

Uganda. It's named after its 'chief town', Serere, where the district headquarters are

located. Serere District is lined by Soroti District toward the north, Ngora District

toward the east, Pallisa District, Kaliro District and Buyende District toward the south.

Kaberemaido District lies the west of Serere District. The district headquarters are found

around 35 kilometers (22 mi), by street, south of Soroti, the biggest town in the sub-

district. This district is around 205 kilometers (127 mi), by street, upper east of

Kampala, the capital of Uganda and the biggest city around there.

1.10.3 Time Scope

The study covered a period of 10years (2010-2020) because this period is adequate

enough for the researcher to acquire information that will be fresh and recent for proper

investigation of the variables of interest.

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1.11 Operational definitions

Procurement: This refers to the procurement of goods, services and works by a

procuring entity using public funds (World Bank, 2013).

The statutory definition of “records” is: “books, papers, maps, photographs, machine

readable materials, or other documentary materials, regardless of physical form or

characteristics, made or received by an.

Records management is a systematic, organized, planned and controlled process of

managing or tracking the life cycle of records. A record can be a tangible paper object or

it can be in digital or electronic form (Patricia Faulhaber, 2019).

Records creation means the recording of information on paper, printed forms, punched

cards, tape, disk, or any information transmitting media. "Records creation" includes

preparation of forms, reports, state publications, and correspondence; "Records

disposition authorization" means the official document utilized by an agency head to

request authority for the disposition of records. The public records commission shall

determine and order the proper disposition of state records through the approval of

records disposition authorizations;

Records Creation refers to the creation of the records during the course of the

procurement function.

Records maintenance: is the supervision and administration of digital or paper records,

regardless of format. Records management activities include the creation, receipt,

maintenance, use and disposal of records. In this context, a record is content that

documents a business transaction. Documentation may exist in contracts, memos, paper

files, electronic files, reports, emails, videos, instant message logs or database records.

14
Records Maintenance and Preservation refers to the maintenance of procurement records

in terms of storage and retrieval.

Records retrieval is defined as the matching of some stated user query against a set

of free-text records. These records could be any type of mainly unstructured text, such

as newspaper articles, real estate records or paragraphs in a manual. User queries can

range from multi-sentence full descriptions of an information need to a few words.

Document retrieval is sometimes referred to as, or as a branch of, text retrieval. Text

retrieval is a branch of information retrieval where the information is stored primarily in

the form of text.

15
 CHAPTER TWO

LITERATURE REVIEW

2.1 Introduction

This chapter presents the review of relevant theory and literature on the influence of

records management on procurement performance. The review of literature is presented

along the three study objectives of determining the influence of records creation, records

maintenance and records retrieval on procurement performance.

2.2 Theoretical review

This research will be based on the records life cycle theory which provides a conceptual

guide for the development and implementation of records management procedures

(Shepherd & Yeo, 2003). According to the theory, there are five key elements in the

cycle, which also represent the stages in managing records in any media by following set

procedures from the time the records are created or received, through distribution, use

and maintenance, until they are finally destroyed or permanently archived (Joseph,

Debowski and Goldschmigt 2012). The theory is relevant to this study because if records

at Serere District Local Government should be managed consistently and accurately,

procedures must be applied from creation to disposition. Several authors (Samson &

Terziovski, 2019) also applied the records life cycle theory to the study of records

management in universities and found that the cycle provides better understanding of the

nature of records, records management and records management procedures.

16
The theory focuses on managing records through stages. By applying this theory, Serere

District Local Government assessed compliance with standard records management

procedures at each stage of the records life cycle. At the creation stage, Serere District

Local Government created records from internal sources or receive them from an

external source. The records’ physical form (paper or electronic) and information

content will be established in this phase. Records management staff will introduce

procedures to follow to establish the creation of complete and accurate records that

provide evidence of the university’s business functions and activities. The context of the

records will be interpreted appropriately, i.e. who has created or added to the record,

when, during which business process, and how is the record related to other records.

This stage typically consists of initial records being placed into a physical file folder.

The creation stage of the life cycle is very important because it lays the foundation for

the lifespan of the records life cycle (Shepherd & Yeo 2003). Then, the records will be

distributed to the persons responsible for their use. Records are commonly distributed by

postal systems, messengers, courier companies and email systems (ReadSmith, Ginn &

Kallas 2002). Serere District Local Government used the records in decision-making by

referring to them in answering queries. A record will be used only for the intention for

which it was created and never for an individual employee’s personal gain or purpose.

The procedures to follow will require ensuring that only authorized users are allowed

access to the records

Maintenance of the records was required while they are in use and afterwards (Joseph et

al. 2012). Serere District Local Government protected the records against both

environmental and human interferences so the information they carry is secure. Serere

17
District Local Government stores the records to preserve their integrity. At the disposal

stage, the university will destroy some records in accordance with consistent and

documented disposal procedures while those to be stored longer, such as policies and

contracts, will be transferred to the archives by following archival procedures. By

applying this theory, Serere District Local Government easily determined whether the

procedures required to manage records are developed to ensure that services are

delivered effectively

2.3 Records Creation and Procurement Performance

According to Hare & McLeod (2015), the creation phase is the root of the life plan of

the record. This is the stage where records and information are initially created or

obtained. Records are created and accumulated as organizations perform their daily

business. They are created for a purpose and as evidence of official business. In this

particular study, records creation has been categorized as recording, referencing,

classification and indexing as presented in the laid literature below.

Alpha-Numeric Filing System Tagbotor et al., (2015) emphasizes that alpha-numeric

filing is one of the most indexing systems because of how accurately it identifies folders

contents and the system involves the use of numeric numbers and alphabetical letters to

index a record. According to Gledhill, (2015), alphanumeric filing involves using both

letters and numbers. In line with this also (Netshakhuma, 2018) argues that

alphanumeric filing system is alphabetical filing (arranged from A-Z) and numeric filing

system (ordered from the smallest to the largest).

Chronological filing system Chronological filing is the filing by date. Usually you will

find this used for bills of lading, copies of freight bills, cancelled cheques, also in some

18
banks or as a reserve file. It is normally used only where there is little or no reference

made to the record once the transaction is complete; geographical filing system;

Geographical filing systems operate generally by province or country, and then

alphabetically or numerically by account name or number. Reasons for this type of filing

can be several. Countries have different laws and licenses; a commercial enterprise may

have to consider these constraints as of primary importance; subject filing system and

according to (Callaghan & Groves, 2015).

Numerical filing systems: if a numerical record identification system is used, then a

numerical filing system is used (Ware & Mabe, 2015). There are two main systems of

filing records numerically: straight numeric and terminal digit. This filing method

reflects exactly the chronological order of the creation of records. Straight numeric filing

is typically used when serial health record numbers are assigned, however, a unit health

record number may also be filed in straight numerical order. The advantages of straight

numeric filing include: people are used to this "logical" order and training is easy, easy

to retrieve consecutive numbers for research or inactive storage; the disadvantages,

however the disadvantages include; easy to misfile, one must consider all the digits of

the number in order to file the record; easy to transcribe numbers where one digit is

wrongly written or read, for example: 1 for 7 and easy to transpose numbers (reverse

digits), for example, record number 194383 is filed as 193483 (Ware & Mabe, 2015).

Mosweu and Kenosi (2018) says that records are vital to virtually every aspect of the

governance process. The effectiveness and efficiency of the public service across the

range of Government functions depends upon the availability of and access to

information held in records. Badly managed records adversely affect the broad scope of

19
public service reforms, and development projects are often difficult to implement and

sustain effectively in the absence of well managed records. He further argued that,

relevant and accurate public records are essential in preserving the rule of law and

demonstrating fair, equal, and consistent treatment of citizens hence an ethical way of

operation required and followed in the field of procurement to realize better procurement

performance.

Document classification is a problem in library science, information science and

computer science (Unegbo, 2018). The task is to assign a document to one or more

classes or categories. This may be done "manually" (or "intellectually") or

algorithmically. The intellectual classification of documents has mostly been the

province of library science, while the algorithmic classification of documents is mainly

in information science and computer science (Kemoni, Ngulube and Ambira, 2019). The

problems are overlapping, however, and there is therefore interdisciplinary research on

document classification. The documents to be classified may be texts, images, music,

etc. Each kind of document possesses its special classification problems. When not

otherwise specified, text classification is implied (Hawash, B., et al. 2020). It further

highlights that failure to effectively maintain procurement records means that: decisions

are taken on ad hoc basis without the benefit of records; fraud cannot be proven; and

meaningful reporting and audits cannot be carried out. Therefore, it is presumed that

records maintenance and preservation have a significant influence on procurement

performance

2.4 Records Maintenance and Procurement Performance

20
Records upkeep and protection is made of pointers including reinforcement, racking,

filling, stockpiling and chronicling. These pointers are connected to the writing checked

on as itemized beneath.

It is undisputable that amazing realities management is identified with fine hierarchical

yields. Different creators have investigated the significance of incredible realities

management l in extraordinary settings. For instance, Danso (2015) assesses realities

management practice at wellness focuses in Ghana and their favors in the amazing

management of realities. The creators contend that information is the greatest

fundamental and significant resource for any association. Hence recorded information is

a significant resource that necessities incredible management through the association.

Proficient management of realities is significant in ensuring clean get passage to

information and customary annihilation of repetitive information (Danso, 2015). Further,

it moreover allows organizations to fulfill money related and crime prerequisites. It is

undisputable that amazing realities management is identified with fine hierarchical

yields. Different creators have investigated the significance of incredible realities

management l in extraordinary settings. For instance, Danso (2015) assesses realities

management practice at wellness focuses in Ghana and their favors in the incredible

management of realities. The creator contends that information is the greatest

fundamental and significant resource for any association. In this manner recorded

information is a significant resource that necessities incredible management l through

the association. Proficient management l of realities is significant in ensuring clean get

passage to information and common annihilation of excess information (Danso, 2015).

21
Further, the regional Archives of Saskatchewan (2015) likewise records the remarkable

performance for appraisals management. The record fights that immeasurable

evaluations parking space and recuperation depends upon fruitful snippets of record

management procedures and rules. Standard Archives of Saskatchewan (2015) keeps

wording that paying little heed to the way that a portion of those performances may

nearly go from one relationship to some other; they may be astonishing performance

which could help in the green experiences management. These performances consolidate

having made technique and rules related with the submitting and class of experiences.

These rules and ways of thinking should be profited to all staff Provincial Archives of

Saskatchewan (2015). These standards and strategies need to in addition be cutting edge

and objected to a standard foundation and should be on a very basic level based totally at

the affiliation's experiences management l meld and the apparent assistance plans.

In some other article, Mountain (2015) fights that incredible performance are

fundamental in snippets of record management as it awards relationship to reliably and

proactively management all media, record, and information. They also word that

contemplating the way that the dynamism of genuine guidelines and their reality of

solicitation keep up to influence in different countries, it changes into key for all cordial

occasions to put into impact the first rate performance for stunning snippets of record

management as a technique for showing careful religion assumptions to cling to the

incredible performance in a benefit and standard way (Mountain, 2015).

Likewise, packs need to guarantee that they meet all prison necessities, show attempted

first rate snippets of record management through consistency in performance, and study,

survey, and improve the appraisals management programming in a tenacious manner.

22
Dzifa and Reindolf (2015) did a glance at assessment of experiences management and

getting for the most part performance and the effects of the district showed that, tertiary

establishments constantly practice preeminent evaluations management. The resultant

exposures furthermore showed that basic of the establishments are transcending to

revamp snippets of record management from the typical appraisals management

structures. The use of front line progressions has made green evaluations management as

necessities be higher institutional in common performance.

Dewah and Mutula (2015) suggested that lamented events in a lawful development are

held worth in see back from getting lacking or insufficient snippets of record for the

clarification that the solid general guideline is that theory of steadfastness is considered

till attempted past any sensible shortcoming. Appropriately, the meaning of confirmation

is responsibilities of the aggravated party to uncover case the restrictive insistence in a

lawful plan. Concerning this astuteness, right procurement appraisals management l can

offer a course to any case that transmits an impression of being hazy

2.5 Records retrieval and Procurement Performance

Storage and protection, Cuming and Thompson, (2017) establishes statutory necessities

for the garage and protection of fitness care facts, fitness data, which include healthcare

facts, need to have suitable protection safeguards in region to save you unauthorized use,

disclosure, loss or different misuse. For example, all facts containing private fitness data

ought to be stored in lockable garage or steady get admission to regions whilst now no

longer in use. Control over the motion of paper primarily based totally fitness care facts

is important (Khumalo, 2017). A monitoring device is needed to facilitate set off

retrieval to help patient / purchaser care and remedy and to maintain privacy. Steady

23
bodily and digital surrounding sought to be maintained for all statistics hung on laptop

structures via way of means of the usage of legal passwords, display savers and audit

trails. If left unattended, no private fitness data ought to be left at the display.

As shown by the Cheng, (2018), there might be no enormous tying down structures

without tending to report guaranteeing performance. Other than being a consistence

measure, record are essential for responsibility and shocking all-around performance.

Sound genuine variables and genuine elements management l reinforces getting

remarkable performance (Association of Public Procurement Professionals, 2013).

Getting our bodies need to get mindful of genuine components and the genuine variables

they solidify as a basic asset. Moreover, Casadesús de Mingo, and Cerrillo-I-Martínez

(2018) battles that shopping our bodies needs to guarantee genuine components in their

choices, sports and exchanges to fulfill the necessities of affiliation commitment and

consistence with obtaining law, methodology and plans.

Notwithstanding the way that organized through governments (Bigirimana, Jagero, &

Chizema, 2015), genuine elements parking spot has been conflictingly applied with

moderately couple of affiliations presenting a full-time capacity to the undertaking. That

being said, the association of genuine components management has been pushed through

the need to crush huge proportions of paper as opposed to adequately management,

oversee, and utilize genuine elements and aptitude of the working environment. As

spending plans have fixed and governments have become to period to "do extra with

less," email, Web ways, information bases, and diverse robotized projects had been

normally applied without respect for acclimating to current genuine elements or for

ensuring the system and affirmation of genuine components.

24
Considering everything, Abdullah, Yusof and Mokhtar, (2019), inspected getting

substances on basic records which included; deals to actuate obtaining techniques; age

of the posted business or endorse waitlist; increment of the referencing records and any

changes or explanations; document of bid receipt and bid openings; inciting of all offers

got; the assessment report; development of game plans management grant decision

increase of the thought with respect to outstanding assessed bidder; duplication of the

settlement report and settlement alterations/groupings/extrade orders; and duplicates of

settlement management l files for example story check of all bills made beneath the

settlement and record assertion of performance of settlement for example transport and

records for parts or appointed wonder affirmation for responsibilities or works. The

study disclosures discovered negative when in doubt performance on report getting with

the different focal procurement genuine factors debilitated in imperative of the

substances.

2.6 Summary of reviewed literature

The outline of writing above offers research that spotlight the effect of record creation,

management and record recovery and use at the general presentation of the procurement

work. The outline of writing uncovers that higher record management impacts into

higher generally speaking performance of the procurement units in procurement

elements. The ahead of time research propose that higher record creation, insurance and

recovery use is identified with more prominent amazing and green procurement

capacities. Albeit the above research spotlight the meaning of record management at the

general presentation of the procurement work, a few holes were sorting out along with

utilization of especially the guide machine this is more slow in aiding procurement by

25
and large performance in contrast with the advanced machine, infringement of record

moral codes, requesting circumstances of forcing a computerized machine because of

conviction and record management. The study provides empirical evidence on the extent

to which records management influences procurement performance in public entities in

Uganda with specific reference to the Serere District Local Government.

26
 CHAPTER THREE

METHODOLOGY

3.1 Introduction

This chapter presented the research design, study population, sample size and sampling

procedures that were used. It also presented the methods and instruments of data

collection, validity and reliability of the instruments, procedure for data collection, data

analysis, and measurement of variables and finally the measurement of variables and

ethical consideration.

3.2 Research design

The study used a cross sectional study design. Across-sectional was adapted simply

because study will examine on the phenomena (procurement performance and records

management) at a single / particular point in time and for the shortest period of time

(Creswell, 2012). While using the cross-sectional design, the researcher applied both

qualitative and quantitative approaches to collect detailed facts Bell, et al. (2018). By

using the quantitative approach, the researcher described numerical data, statistics and

statistical inferences which focused on relationships between variables, which assumed a

sample to be representative of the population and used statistics to generalise findings

(Amin, 2005) while qualitative approach helped in collating narrative and descriptive

facts, to make a deeper exploration on how the procurement performance affects record

management.

27
3.3 Study Population

The study population was 120, this included the District appointed officials i.e. head of

departments (11), sub-county chiefs (10), sub accountant (10), evaluation committee

(08) and contract committees (07) and 30 elected leaders, Chairpersons LCIII and

councilors, District staff (32) and service providers (10) in contract work. The reason for

this is that, such groups influences policy decision making and implementation of

programs, some of them occupy strategic positions which influence local government

functions e.g. CAO, DCP, HOD, Registrars, Records Officer, head of the registry,

District councilors etc. The researcher believes that the information that was given

represented the total population of 120 (Krejcie and Morgan, 1970).

3.4 Sample Size and selection

The sample size was determined using the Krejcie and Morgan’s table (1970), as

indicated below.

Table 3.1: Study Population and Sample Composition

Category Study Population Sample Size Sampling

Technique
CAO 1 1 Purposive Sampling
Heads of departments 11 10 Purposive Sampling
District management 35 32 Sampling random
(sub county chiefs, sub sampling
accountants,
evaluation committee
and contract
committees)
Elected leaders 30 28 Simple random
Sampling
District staff 32 28 Simple random
Sampling
Service providers 10 10 Purposive Sampling
Total 119 109

28
Source: Serere District Local Government district development plan 2015/16 –

2019/20

3.5 Sampling Techniques and Procedure

This study used two sampling techniques namely purposive and simple random

sampling to select respondents.

3.5.1 Simple random sampling

Simple random sampling was used to randomly select the respondents to participate in

the study from the population (Lauren, 2020). Simple random sampling was used to make

statistical inferences about the target population and give each member of the population

an equal chance of being selected. Simple random sampling was used to select the

executives, (sub county chiefs, sub accountants, evaluation committee and contract

committees), elected leaders and District staff. The choice of this technique ensured least

bias and results were used to ensure the generalizability of research findings

(Denscombe, 2017).

3.5.2 Purposive sampling

A purposive sample refers to a non-probability sample that is select basing on the

characteristics of the study population and the study objectives. The participants were

identified and selected basing on their proficiency and understanding of the study subject.

Purposive sampling was used to select CAO, Heads of departments and the Service

suppliers.

3.6 Data collection methods

3.6.1 Primary data

3.6.1.1 Questionnaire survey

29
The study used the questionnaire technique to guide in the data collection. The use of a

questionnaire on this study was crucial in particular due to the fact such data was

acquired using a closed ended questionnaire which permitted smooth correlation and

regression of the respondent’s attitudinal disposition on the unbiased and based

variables. Secondly, the usage of a questionnaire permits busy respondents fill it at their

convenient time. It additionally permits respondents express their perspectives and

reviews without worry of being victimized as observed with the aid of using Amin

(2005). The technique was will used to select District executives, (sub county chiefs, sub

accountants, evaluation committee and contract committees), elected leaders and District

staff.

3.6.1.2 Interview

The interview approach displays the head to head interaction among the researcher and

the interviewee. This approach was performed in a manner that, appointments for

interviews was made and confirmed. Thereafter, schedules were drawn and the

interaction took place. More, the approach permits the researcher to gain precious

information on the impact of records management on procurement overall performance

in Serere district. The desire for this approach is that, it gives the researcher with a

possibility to evolve questions, clarify the questions with the aid of using the use of the

correct language, clean doubts and set up rapport and explore for greater records,

(Sekaran & Bougie, 2016). The approach was applied on CAO, Heads of departments

and the Service providers.

3.6.2 Secondary data

3.6.2.1 Documentary review

30
The technique includes looking into secondary record about the subject being

scrutinized. This strategy was utilized on the grounds that it empowers the researcher to

get to information at his helpful time, get information that is smart in that the witness'

consideration in acquiring them will empower the researcher to get information in the

language of the respondent (Oso & Onen, 2008). Among the records review included

receipts, assessment reports, contract management reward choices and agreement

performance report, diaries, articles and district yearly procurement performance reports.

3.7 Data collection instruments

The instruments used in this study included the self-administered questionnaire,

interview guide and document review checklist as detailed below

3.7.1 Self-Administered Questionnaire

The SAQ was designed, printed out and administered to key respondents. The SAQs

was self-administered with closed ended questions on record management and

procurement performance in Serere district which was easily interpreted by the

respondents.

All questions included a list of non-compulsory answers from which the respondent

were asked to choose the maximum suitable solutions. The questionnaire included

closed ended questions that were developed to assist respondents make short decisions;

in addition, closed ended questions assisted the researcher code the information effort

lessly for next evaluation and narrowed down the error gap while reading record as

observed by Saunders, et al., (2015). The instrument were administered to respondents

including members of the District management, (sub county chiefs, sub accountants,

31
evaluation committee and contract committees), elected leaders and District staff (See

appendix I)

3.7.2 Interview Guide

According to Helevik (2019), an interview guide contains a list of open ended questions

regarding the areas and topics that are to be covered by a study. It guided the

conversation between the interviewers seeking for information from interviewee. The

interview guide helped the researcher to establish what to ask about, in what sequence,

how to pose questions, and how to pose follow-ups. Yin (2011) stated that the interview

guide helps to direct the conversation towards the topics and issues under study and it is

possible to obtain data required to meet specific objectives of the study. The interview

guide was helpful to the researcher when soliciting information from the key informants

since probing allows obtaining greater depth of information. The instrument was used to

select CAO, Heads of departments and the Service suppliers.

3.6.3 Documentary Review Checklist

A documentary review checklist was used to collect more in-depth data on procurement

management and performance of the procurement units. The study came up with a

checklist which was used to provide in-depth qualitative information which may not be

possible to collect with the closed ended questionnaire. Among the materials reviewed

were bid receipts, evaluation reports, contract committee reward decisions and contract

implementation report, (see appendix III).

3.8 Quality control of the instruments

32
3.8.1 Validity of instruments

Validity is the extent to which a test measures what it claims to measure, ( Kothari, 2014).

This was determined using expert judgment and content validity index (CVI). The

researcher used the opinions of experts and supervisors to determine which questions are

valid or not valid. CVI was used by drafting the questionnaire with two options of

“Valid” and “Not valid” and a ratio index was computed to determine whether the

instrument is over and above the 0.7 or 70% cutoff for concluding that the instrument is

valid or not (Bannigan, & Watson, 2018). The researcher employed the formula below;

CVI = Number of items rated as relevant

Total number of items in the questionnaire

Table 3.2: Results of content validity for research tools

Dimensions No of Items Relevant CVI

Records Creation 08 07 0.777

Records Maintenance 09 08 0.888

Records retrieval 05 04 0.88

Procurement performance 07 6 0.857

Table 3.2 presents average of 0.870 and (0.777, 0.888, 0.88 & 0.857 respectively) on

all four variables had a CVIs that were above 0.7, imply that the tool was validity since it

was appropriately answering / measuring the objectives and conceptualization of the

study. According to Mugenda & Mugenda (2003), the tool can be considered valid where

the CVI value is 0.7 and above as is the case for all the four variables provided above.

3.8.2 Reliability of instruments

Reliability, a measure of the internal consistency and stability of the instrument was

determined by both pretesting and Cronbach’s α coefficient. About 10 questionnaires

33
were pretested to ensure consistency of the responses. On the other hand, the researcher

obtained Cronbach Alpha coefficient values for each construct and variable from the field

results to guide data cleaning until the coefficients are over and above the 0.7 threshold

upon which it can be concluded that the results used are reliable (Nunnally and Bernstein,

1994). The reliability of instruments was established using Cronbach Alpha Coefficient

which tests internal reliability and the average reliability test result for research was 0.84

which is recommended as given below in 3.3.

Table 3.3: Reliability test results of research instruments.

Study variables Cronbach’s Alpha

Records Creation 0.745

Records Maintenance 0.986

Records retrieval 0.876

Procurement performance 0.765

Average Cronbach Alpha coefficient for variables 0.843

3.9 Procedure of data collection

After acquiring approval of the research proposal by the Uganda Management Institute,

the researcher received a field attachment letter from the School of Management

Science, Uganda Management Institute (Uganda Management Institute Guidelines for

Proposal and Dissertation Writing for Masters in Management Programme, 2017). On

receiving the letter, the researcher addressed it to the Serere district authorities where

permission was sought. Upon being granted the permission, the researcher trained and

used research assistants to manage the questionnaires even as the researcher was totally

accountable for all interviews. The exercise took a period of three weeks.

34
3.10 Data Analysis

Data was analyzed both quantitatively and qualitatively.

3.10.1 Quantitative analysis

According to Samuels (2020), this type of analysis was used to compute numeric data

about the study. The completed questionnaires were sorted, numbered and their contents

was populated into Statistical Package for Social Sciences (SPSS) and cleaned for errors

and also checked for consistency of the results. While using this data, descriptive

statistics using the counts, percentages (%) standard deviations and mean scores was

extracted. Inferentially statistics were used to explain bivariate correlation for

determining the relationship (positive (+) or negative (-) at a 95% confidence level

(p<0.05). The regression analysis was further done to explain the variance in that

procurement performance will have as explained by records management.

3.10.2 Qualitative analysis

Qualitative analysis contained thematic and content analysis and was based on how the

findings will relate to the research questions. Content analysis was used to edit

qualitative information and reorganize it into meaningful shorter sentences. Thematic

analysis was used to prepare record into themes and codes were identified (Marsh et al,

2020). After data collection, information of same category was assembled collectively

and their similarity with the quantitative information created, after which a record was

written. Qualitative information was interpreted by composing explanations or

35
descriptions from the records. The qualitative information was illustrated and

substantiated by citation or descriptions.

3.11 Measurement of Variables

Variables including procurement records management measured in terms of records

creation, records maintenance and preservation and records retrieval. Procurement

performance were measured in terms of compliance with guidelines, minimization of

corruption, and minimization of waste, economy, audit trail and ease to trace payments,

these items were measured using a 5 point Likert Scale and therefore these were

measured on ordinal scale as they were numerical in nature. All bio-data including

education, gender and are were measured using the nominal scale.

3.12 Ethical Considerations

Fleming and Zegwaard (2018) defines ethics as the standards of behavior that guides a

researcher's conduct regarding the rights of people who are the subject of the research

work or get affected by it.

Confidentiality: The participants were guaranteed that the identified information was

not be made available to anyone who is not involved in the study and it remained

confidential for the purposes it is intended for, (Amin, 2005).

Informed consent: The prospective research participants were fully informed about the

procedures involved in the research and were kindly asked to give their consent to

participate (Amin, 2005). Consent was sought from the study participants allowing

voluntary participation, anonymity, privacy, confidentiality while explaining the study

objectives to participants.

36
Allot of emphasis was placed on avoiding misrepresentation or distortion in reporting

the data collected during the study and avoiding collection of personal or seemingly

intrusive information. To minimise bias, the study employed the services of a research

assistant to administer the questionnaire to the respondents.

Anonymity: The participants remained anonymous throughout the study and even to the

researchers themselves to guarantee privacy. The respondents were informed that indeed

their names were not being required (Mugenda & Mugenda, 2013). Last but not least, all

sources of literature will be acknowledged throughout the study.

37
 CHAPTER FOUR

PRESENTATION, ANALYSIS AND INTERPRETATION OF RESULTS

4.1 Introduction

This chapter presents, analyzes and interprets the findings. The findings are presented

according to the objectives of the study. The study focused on lean production systems

and Procurement Performance focusing Serere District Local Government as a case

study. The study was specifically premised on the following research objectives: To

determine how Records Creation affects Procurement Performance at Serere District

Local Government, to determine how Records Maintenance affects Procurement

Performance at Serere District Local Government and to determine how records retrieval

affects Procurement Performance at Serere District Local Government.

4.2 Response rate

The response rate for the study is presented in Table 4.4 below.

Table 4.4: Response Rate

Instrument Target Actual Response Response rate (%)

Questionnaire 88 77 88

Interviews 22 18 81

Total 110 95 86

Source: Primary Data (2022)

From Table 4.4 above, out of the 88 questionnaire administered, 77 were returned

correctly filled representing 88%. Out of the 22 respondents that were targeted for

interviews, only 18 were actually interviewed implying a response rate of 81 %. The

38
overall response rate, therefore Was 86%. This response rate was deemed good enough

since it was over and above the 50% recommended by Amin (2005). 4.3 Findings on

background characteristics

The demographic characteristics (education level, sex, among others) for the 77

respondents were examined and findings are presented in the next subsections

4.3.1 Gender characteristics of the respondents

The gender characteristics of respondents were investigated for this study, and findings

are presented in Figure 4.2 below.

Figure 4.2: Gender of respondents

Female
45%
Male
55%

Source: Primary Data (2022).

Figure 4.2 shows that the majority of the respondents were male 33(54%) and female

were 28(46%). This may be attributed to the nature of Serere District Local Government

working force where in most institutions the males contribute a bigger percentage of

workers as compared to the females. It is also important to note that although there were

gender disparities in favor of the males, it is evident that the study was ultimately gender

representative since 45% for females is also a significant representation of the sample and

39
the population at large. Therefore, the results revealed that views of both female and male

employees in Serere District Local Government were represented in this study.

4.3.2: Age distribution of the respondents

The study looked at age distribution of the respondents by age using frequency

distribution. The results obtained on the item are presented in Table 4.5 below.

Table 4.5: Age of the Respondents

Age bracket Frequency Percentage

20-30 15 19

31-40 37 48

41-50 12 16

Above 51 13 17

Total 77 100

Source: Primary Data (2022)

From the above Table 4.5, the majority of respondents who took part in the study were

between 31-40 years making a total percentage of 48%, 19% were between the age of 20-

30 years, those between 41-50 years were 16%, and those that who were above 51 years

and above were 17%. This indicated that all categories of respondents in reference to

different age groups were represented in this study.

4.3.3: Education level of respondents

The respondents were also asked to indicate their education levels which is illustrated in

the Figure 4.3 below.

40
 60

50

40

30
Percentage
20

10

0
Certificate Ordinary Bachelor’s Master’s Degree
Diploma Degree

Source: Primary Data (2022)

Figure 4.3 presents respondents by education. Statistics show that Serere District Local

Government is dominated by 28(36%) degree holders, 15(19%) were certificate holders,

14(18.0%) were ordinary diploma holders, while 11(14%) were masters’ holders meaning

that Serere District Local Government staff that engaged in procurement records

management were literate; could read and write hence were in position to fully

understand the questionnaire and provide reliable and factual answers to the researcher.

Furthermore, this literate staffs were found to possess good records management skills,

knowledge and competences to perform better procurement. Additionally, the presence of

a hierarchical structure with a team of qualified personnel with competence, integrity and

other skills needed ensured that the educated Serere District Local Government team

contributed towards better strategic, management and operational decisions pertaining to

procurement performance.

41
4.3.4 Duration of the respondents in the organization

Table 4.6: Duration of the respondents in the organization

Duration the organization Frequency Percentage

Below five years 21 27
6-10 years 40 52

11-15 years 13 17
Above 15 years 3 4
Total 77 100
Source: Primary Data (2022).

The illustration above reveal that respondents 21(27.0%), that had worked for a period

less than 5 years, another proportion 43(56.0%) had stayed for a period between 6-10

years while 13(17.0%) had stayed between 11 – 15 years and 3(4%) had worked for a

period over 15 years meaning that the Serere District Local Government as an institution

has created a conducive working environment, very stable for most of its staff to perform

their duties and responsibilities including procurement records management geared

towards better procurement performance.

More, it can be observed that Serere District Local Government staff had successfully

completed the probation period and had fully been confirmed on their jobs. These staff

understood the value of creating procurement records, preservation & maintenance as

well as records retrieval hence essential components required to ensure that a complete

records cycle is followed while managing the procurement exercise with key stakeholders

at the Serere District Local Government .

42
4.4 Empirical findings

This section presents the empirical findings of the study according to the objectives. The

empirical findings are analyzed using descriptive statistics, qualitative analysis and

testing hypotheses for the respective findings

4.4.1 The influence of records creation on procurement performance

The first objective in the study was to establish the influence of records creation on

procurement performance in Serere District. To observe the influence, Eight (8) question

items were administered to respondents to establish the extent to which they agreed with

them. The response to each item was measured on a five-point Likert scale where code 1

= Strongly Disagree, 2 = Disagree, 3 = Not sure, 4 = Agree and 5 = Strongly Agree. The

findings are presented in the table 4.7 below

Table 4.7: The influence of records creation on procurement performance

Questions on Records creation SA A N D SD Mean Std dev

(1) (2) (3) (2) (1)

At Serere District Local 34% 44% 0% 22% 0% 4.00 1.158

Government, creation of complete (26) (34) (0) (17) (0)
and self-contained files with
documents for each procurement
activity exists
Records at Serere District Local 14% 70% 0% 16% 0% 3.83 .865
Government are prepared based on (11) (54) (0) (12) (0)
a well-structured and logical file
classification scheme
Records management is 0% 43% 0% 21% 36% 2.49 1.363
mainstreamed and integrated with (0) (33) (0) (16) (28)
strategic plans at Serere District
Local Government
Records of bid receipts are prepared 17% 57% 26 0% 0% 3.91 .653
at Serere District Local Government (13) (44) % (0) (0)
(20)
Records of Approved Evaluation 29% 56% 1% 14% 0% 3.99 .939
reports are prepared at Serere (22) (43) (1) (11) (0)
District Local Government

43
 Records of contract committee 6% 57% 20 13% 4% 3.49 .941
award decisions are created at Serere (5) (44) % (10) (3)
District Local Government (15)
The records of contract 6% 73% 0% 17% 4% 3.61 .975
implementation report are created at (5) (56) (0) (13) (3)
Serere District Local Government
Records creation is done within the 20% 42% 0% 38% 0% 3.42 1.196
framework of the PPDA Act at (15) (32) (0) (30) (0)
Serere District Local Government
Source: Primary Data (2022)

From the Table 4.7 above, 60(78%) staff agreed that at Serere District Local

Government, there is creation of complete and self-contained files with all key

documents for each procurement activity; while none were neutral and 17(22%)

represented the staff who disagreed.

Similarly, 65(84%) with a mean score of (3.83) reveal that staff indicated that records at

Serere District Local Government were prepared based on a well-structured and logical

file classification scheme that captures all procurement activities, with none neither

agreeing nor disagreeing and 12(16%) disagreeing meaning that files relative to specific

subject had been created and kept as records. Secondly, it can be noted that Serere

District Local Government has a logical file classification scheme including services,

goods and works among others for instance Serere District Local Government.

To support the findings, one official said:

“Minus records, there is no evidence pertaining to proper procurement in Serere

District Local Government” While another respondent said,

“The presence of a good file classification scheme at Serere District Local

Government, we are able to clearly identify records linked to procurement.”

Time spent searching for missing or misfiled procurement or any other record is non-

productive. A good file classification system embedded in a well-established records

44
management system helps boast easy records retrieval required for decision making

during the procurement exercise.

Further, the staffs were in position to differentiate several documents coupled with filing

them depending on the subject matter at hand hence enabling them to create complete and

self-contained files pertaining to several activities. Lastly, it can be said that the Serere

District Local Government staff were clearly aware of the varying file classifications

including file numbering, reference numbers on the official or confidence files among

others. This can be supported interview information obtained where a district

procurement officer said:

“Yes records staff have been sent on several records management courses to

acquire skills required for its proper operation”

While another said:

“At Serere District Local Government, register of files opened, which contains a

description and opening dates of all files that were actually opened according to

the subject provisions in the filing system”. By implementing a file management

procedure, including opening, indexing and retrieval capability, in charge staff

can easily obtain and assemble pertinent information quickly for current

decisions and future planning purposes including procurement decisions.

And another Official from the Serere District Local Government office said,

“With a good records management system in place, any organization can easily

upgrade its recordkeeping systems so that information retrieval is enhanced, with

corresponding improvements in office efficiency and productivity.” A well

designed and operated filing system with an effective index allows information

45
 flow, facilitates the retrieval and delivery of valuable information required by

stakeholders or users to aid their day to day operations.

On whether the procurement records management is mainstreamed and integrated with

the overall records management, yielded the following answers including: mean of

(2.49), percentage scores of 33(43%) agreeing, none neither agreed nor disagreed and

majority 44(57%) disagreed respectively. More, 33(43%) staff agreed to the fact that

records management is mainstreamed and integrated with strategic plans at Serere

District Local Government compared with 44(57%) disagreeing. These findings can be

attributed to the fact that there is still lapse in Serere District Local Government records

management mainstreaming and integration hence affecting procurement performance in

terms of delay which affects decision making. This is in line with an interviewee, who

stressed that:

“Keeping records helps an organization or business to address well-defined

objectives which will add value, either directly to the bottom line or toward the

achievement of the organization's goals and objectives.” Good record keeping

enables staff within any organization to meet the legal obligation applicable to

that particular work meaning that records including procurement enable the

review of processes and key decisions hence crucial to an organization’s stability.

While another said:

“In today's business environment, including Serere District Local Government, the

managers with relevant data first often win, either by making the decision ahead of the

operations, or by making a better, more informed decision.” The task of file management

supports in establishing and maintaining cover control over files will bring specific

46
benefits of which expandability and flexibility to meet the needs of the office including

the procurement.

With a standard deviation score of (.653) and mean score of (3.91) clearly reveal that

Serere District Local Government staff fully agreed that records of bid receipts were

prepared at Serere District Local Government while 20(26%) were not sure meaning that

records for bid receipt for instance PP form 34 were printed and readily available for

bidders submitting bids are recorded hence evidence for proper procurement

management. While another coordinator said:

“Receipts are available and filed in each particular procurement files.”

Effective record keeping entails responsible staff being in position to file documents in

respective files for future reference. It’s further important that a staff is held responsible

for such records.

One of the interviewees commented that:

“Every business day, records are created and have become the backbone of

background data for past and future management decisions and planning.”

Based on this context, it’s important that records accurately reflect the transaction or

activity that has transpired or taken place for easy tracking. In cases where the activity

does not exist, it’s advisable that these be created accordingly and form evidence required

in form of a record hence good record management practices.

More, 65(85%) respondents agreed that the records of approved evaluation reports were

prepared at Serere District Local Government, however, 1(1%) were neutral and 11(14%)

disagreed respectively. On whether records of contract committee award decisions are

created at Serere District Local Government fetched the following, 49(63%) agreement,

47
15(20%) were not sure and 13(17%) disagreed. Based on these facts, it can be said that

Serere District Local Government has a team of procurement staff with key skills,

competences and qualifications to fully execute their procurement roles and duties linked

to the procurement evaluation processes, and prepare timely reports to boast decision

making hence a foundation for better procurement performance. To support the findings,

one Serere District Local Government coordinator commented that:

“By preparing evaluation records, it means that one has formally put together a

piece of evidence about the present and future, especially an account of an act or

occurrence kept in writing” While another official lamented that, “Awards

decision report clearly represent proof of existence and that can be used to

recreate or prove state of existence, regardless of medium or characteristics.”

It’s important that procurement practices are ethically followed by responsible personnel

including transparency and autonomous in the decisions undertaken for instance

decisions on procurement evaluation reports or award decisions among others during

after the critical procurement process or exercise. This is likely to clearly define the

proper procurement performance activity hence key to the Serere District Local

Government .

Interesting results including a standard deviation score of (.975), (79%) agreed that

records of contract implementation report were created at Serere District Local

Government compared with 16(21%) that disagreed and none were neutral. Still,

47(62%) staff agreed that records creation are done within the framework of the PPDA

Act at Serere District Local Government, 30(38%) disagree and none were not sure

respectively this is similar to the argument provided above as a team of staff are in place

48
to handle records. Further, it can be argued that a letter of the contracts manager is on file

and the report of implementation hence it’s evident enough to show that records of

contracts implementation report are in place or practiced and prepared in line with the

PPDA Act.

In an interview, one official said:

“Contract implementation reports are numerous on file and can be easily

retrieved”

While another respondent said:

“A well designed and operated filing system with an effective index can facilitate

retrieval and deliver information to users as quickly as they need it”.

Records should be within limits of control. It should be decided in advance how long

particular records about procurement are retained. Having too much record that is out of

control can pose retrieval problems.

4.4.1 Bivariate correlation results for Record creation

In this particular study, there was need to establish the relationship between record

creation and procurement performance in selected districts in the central region of

Uganda with the results presented in Table 4.7 below representing the relationship.

49
Table 4.8: Correlation results for Record creation

Record Procurement
creation performance
Record creation Pearson Correlation 1 .708**

Sig. (2-tailed) .000

N 77 77
Procurement performance Pearson Correlation .708 1
**
Sig. (2-tailed)
.000
N 77
77
**. Correlation is significant at the 0.01 level (2-tailed).

Source: Field data (2022)

Table 4.8 above, shows bivariate correlation results obtained from the primary data. The

results presented include the correlation score of (.708**), the sig. score of .000 (sig (2-

tailed)), at 99% confidence level and n= (77) showing the number of questionnaires

completed. The R score of (.708**) reveals a positive and statistically significant

relationship between records creation and procurement performance of Serere District

Local Government program in selected districts in the central region of Uganda. Based on

the results obtained, it can be said that, by Serere District Local Government adopting

strict recording of files, proper referencing, classification and indexing there is a likely

hood that procurement performance will improve.

50
Table 4.9: Linear regression results for records creation

Model R R Square Adjusted R Std. Error of

Square the Estimate

1
.708a .501 .495 .48713
a. predictors: (constant), Records creation

Source: primary data

Table 4.9 comprises of the linear regression specifically the (model summary) with R

(.708**), R2 (.501**), adjusted R2 (.495) and standard estimate of error (.48713). The

adjusted R2 score of .495 reveals a 49.5% variance records creation had on procurement

performance. The percentage of 50.5% was attributed to other factors other than records

creation.

4.4.3 Hypothesis statement one

Hypothesis statement one that, “Records creation positively influences procurement

performance” was affirmed

4.5. The influence of records maintenance on procurement performance

The second objective in the study was to establish the influence of records maintenance

on procurement performance in Serere District. To observe the influence, Nine (9)

question items were administered to respondents to establish the extent to which they

agreed with them. The response to each item were measured on a five-point Likert scale

where code 1 = Strongly Disagree, 2 = Disagree, 3 = Not sure, 4 = Agree and 5 =

Strongly Agree. The findings are presented in the table 4.10 below

51
Table 4.10: The influence of records maintenance on procurement performance

Questions on Records Maintenance and SA A N D S Me Std

Preservation (5) (4) (3) (2) D an dev
(1)
Procurement records are managed within 25% 63% 9% 0% 3% 4.08 .757
the procurement cycle and within the (19) (49) (7) (0) (2)
records life cycle of creation, use,
maintenance, preservation and disposal.
The official procurement documents are 12% 62% 0% 26% 0% 3.60 1.003
kept in official, approved, and registered (9) (48) (0) (20) (0)
files whose existence is documented in an
approved procurement file scheme
The official procurement files are 22% 52% 20% 6% 0% 3.90 .821
centrally maintained under care and (17) (40) (15) (5) (0)
custody of a responsible and designated
officer
There is clear referencing, coding, titling 31% 33% 0% 36% 0% 3.58 1.271
and logical physical arrangement (in (24) (25) (0) (28) (0)
secure filing cabinets) of procurement
files in order to permit fast and efficient
document retrieval.
There is regular removal of closed 12% 57% 13% 13% 5% 3.57 1.031
procurement files and documents from the (9) (44) (10) (10) (4)
current system to facilitate ease of access
to active files.
There is establishment of a departmental 27% 69% 0% 4% 0% 4.19 .629
records center for preservation, (21) (53) (0) (3) (0)
maintenance and control of closed
procurement documents retired from the
current system.
There is close collaboration and co- 52% 19% 0% 0% 29% 3.39 1.101
ordination of the different records (40) (15) (0) (0) (22)
management units in a Procuring Entity
such as main records office (registry),
secret, accounts, confidential and
personnel registries.
There is greater use of electronic storage 3% 15% 0% 27% 55% 1.84 1.182
systems under the Serere District Local (2) (12) (0) (21) (42)
Government Program
Establishment of a departmental records 13% 71% 1% 14% 1% 3.78 .883
center for preservation, maintenance and (9) (55) (1) (11) (1)
control of closed procurement documents
retired from the current system.

52
Source: Primary Data, (2022) From Table 4.10 above, A proportion of Serere District

Local Government staff totaling 49(63%) agreed that procurement records are managed

within the procurement cycle and within the records life cycle of creation, use,

maintenance, preservation and disposal. This is further supported with the mean score of

(4.08) obtained as well as a standard deviation score of (.757) meaning that the staff at

Serere District Local Government engage in the backing up, shelving, filling, storage and

archiving of relevant procurement documents and files from time to time. Interpret

please.

It can further be said that, procurement staff fully aware of the roles as good record

custodians within the Serere District Local Government parameters. This staffs are in

position to avail key file requests and other valuable documents when called for by

management and other stakeholders to aid decision making within the organization. In

one of the interviews held, an interviewee stressed that:

“Records are important because of the information they contain that is essential

for every activity carried out in the organization. Without proper information a

decision maker is never certain about the outcome of her decision.”

On whether the official procurement documents are kept in official, approved, and

registered files whose existence is documented in an approved procurement file scheme

under the Serere District Local Government program majority indicated that the agreed

with 57(74%), none were not sure and 20(26%) disagreed. Similarly, with a mean score

of (3.90), standard deviation score of (.821) and a percentage score of 57(74%) clearly

reveal that the official Serere District Local Government procurement documents were

shelved in official, approved, and registered files whose existence is documented in an

53
approved procurement file scheme. This can be argued out that Serere District Local

Government has a well-organized file plan which enables staff to easily access the

required files or information on time.

One of the Serere District Local Government coordinators argued that:

“The Serere District Local Government has established physical location where

records including files, other items or goods can be stored safely without

damage.”

From a specific context, records can contain personal and confidential information which

must not be disclosed to unauthorized persons. It’s important that one ensures that

records storage areas are secure, where necessary some of the records are protected

passwords and sensitive records are not left lying around idle. All these reveal qualities of

good record keeping practices specifically records preservation and maintenance.

While another said:

“Serere District Local Government has a sound records management system

which implies that Serere District Local Government records are managed in

terms of its records management programme governed by its internal records

rules and regulations or policies”.

The official procurement files are centrally maintained under care and custody of a

responsible and designated officer had the following answers including 49(64%)

agreement, none neither agreed nor disagreed and 28(36%) disagreed respectively. In

addition, mean score of (3.57), percentage score (69%) indicated positively that Serere

District Local Government had a clear referencing, coding, titling and logical physical

arrangement (in secure filing cabinets) of procurement files in order to permit fast and

54
efficient document retrieval, however, (18%) disagreed and (13%) reserved their

comments meaning that centrally maintained under care and custody of a responsible and

designated officer is linked to the fact that Serere District Local Government has a

qualified record assistant responsible for overseeing the management of records.

One interviewee observed that,

“Inadequate shelves, boxing and microfilming have much contributed to loss of

records in terms of missing, misplaced, and deleted”.

While another said,

“There are personnel to handle the procurement records. These have the skills

and competencies to handle and manage records.”

It’s important that records are supported by records personnel, whose responsibilities

include performing day to day creation, processing, storing and managing of records with

an aim of keeping the records preserved and thereafter drive proper procurement

performance.

Another said:

“The purpose and essence of any records management system is to have the right

information in the right place in the right order, at the right time, for the right

person and at the lowest cost”

This phrase is linked to the fact that stay know which records one should deal with have

continuing value. Good record keeping includes taking proper care of records which have

archival value and will be retained permanently. This is important to record management

and better procurement performance.

55
Further still, 55(71%) staff agreeing compared with 22(29%) staff who disagreed that

Serere District Local Government had an establishment of a departmental records centre

for preservation, maintenance and control of closed procurement documents retired from

the current system, meaning that the Serere District Local Government as an institution

has several weeding policies in place that allow the removal, proper maintenance and

preservation of closed files among other valuable documentation for future retrieval and

use, however, after 7 years they are destroyed. More, Serere District Local Government

possess a library facility with numerous documents including procurement documents

that can be assessed and use. During one of the interview held, one interviewee said,

“Reliable records including a database of files and other documents are created

and maintained in an accessible, intelligent and usable manner to support the

business and accountability requirements of Serere District Local Government:”

Another responding official said,

“Serere District Local Government creates and maintains a records culture

which promote effective and efficient records management to facilitate efficient

and timely decision-making internally”

It is practically good that records are created, maintained and preserved as a records

cycle. Records must be preserved for a certain period (years) before being weeded out.

While on the other hand, other records should be maintained as historical records.

Results obtained reveal that a great deal of Serere District Local Government staff

reflected by mean score of (1.84) and a disagreed percentage and frequency scores of

65(82%) that there was no greater use of electronic storage systems under the Serere

District Local Government program. The results meant that Serere District Local

56
Government still uses established manual records management systems to manage its

internal procurement records movement and filing. Despite its merits, the manual system

has negatively affected proper records movement as compared with the electronic system.

In a related interview, one official observed that:

“The manual system is more reliable than the electronic one, as this is what we

use here; it’s easier to use the traditional than an electronic system”.

Every system has its related vices, however, while comparing the two systems in line

with procurement performance is the electronic system when put in place has more

advantages compared to its demerits as it tends to be faster, reliable and accessible among

others.

A departmental records centre for preservation, maintenance and control of closed

procurement documents retired from the current system has been established yielded:

64(84%) agreement, as compared with 12(15%) disagreement and 1(1%) not sure.

Similarly, 57(74%) respondents disagreed that closed records control tools such as file

inventories and file movement registers were maintained by the records assistant in

charge of the procurement records management, however, 20(26%) meaning that a

storage facility is in place to support the storage of procurement documents. In one of the

interactive session held, a key respondent commented that, “Given the level of records

loss, there is need for both on-site storage of records and off-the site records.” On the site

storage system helps maintain records within any organizations parameters. However, in

case of business disaster plan, the off-the-site tends to be better as the possibility of losing

information is minimal hence core for better records management and procurement

performance.

57
While another said:

“Serere District Local Government as an Institution has registers of all files

opened. These registers contain file descriptions, opening and closing dates of all

files, and the subject among others. These are essential for records control”

The importance of possessing file registers in an organization is that, created documents

are recorded (based on the day to day operations helps) and tracked. In addition, any file

(record) moved from one destination to another or in case of file misplacement or loss

can easily be tracked.

Furthermore, results obtained on whether the closed records control tools such as file

inventories and file movement registers were maintained had the following scores

including: 57(74%) disagreement and 20(26%) agreed. The results meant that despite

Serere District Local Government having closed control tools to monitor file inventory

and movement, these were still ineffective to help in monitor some of the files including

the procurement one. As a result, these tools were seen to contribute to the reduced

procurement performance as files with factual and reliable information files were missing

and inaccessible to aid decision making. “The only problem with the existing closed

record control tools in place is that they are rarely adhered too” said a Serere District

Local Government interviewee

While another informant said:

“Serere District Local Government records users are aware and adhere of the

internal record policies, procedures, and tools for managing these records and

they are apply them consistently to all records”

While another interviewee:

58
 “The full co-operation of the staff is necessary to file documents into the filing

system and to protect the Serere District Local Government records against loss

and damage”

Being informed of the internal record policies, procedures and tools used to ensure good

record practices are essential in ensuring proper records management in any organization

including Serere District Local Government. Following such policies means adhering to

numerous rules including procurement performance.

Furthermore, mixed results on whether staff at Serere District Local Government co-

operated and supported proper record keeping practices from the senior management staff

included many of the respondents agreeing 39(51%) as compared with 38(49%)

disagreed to the statement. In addition, 46(60%) representing a handful of Serere District

Local Government staff agreed that the Serere District Local Government records were

managed in accordance with the requirements of ISO 15489, the international standard

for information and documentation-records management, nonetheless, 31(40%)

disagreed. Based on the findings, it can be argued out that, Serere District Local

Government management gives support to purchase equipment for storage of records and

other documents that support better procurement performance. Some of the equipment

purchase include: wooden and metallic shelves, tender boxes. More, as procurement is a

new phenomenon, all standards pertaining to this field of study are in place and have

been ethically followed. In one of the face to face sessions held, one respondent said,

“Standards need to be frequently followed for the betterment of the internal

operations of Serere District Local Government”.

59
The art of synergy among staff calls for executing work in totality. The cooperation and

support for better record keeping are core to the better procurement performance as

records are readily available to create, maintenance and preservation coupled with their

retrieval and use. More, the availability of quality records procedures means there are

ethical procedures to follow by all staff geared towards bettering procurement

performance.

4.5.1 Bivariate correlation results for Record Maintenance

In this particular study, there was need to establish the relationship between record

maintenance and procurement performance in selected districts in the central region of

Uganda with the results presented in Table 9 below representing the relationship.

Table 4.11: Bivariate correlation results for Record Maintenance and Preservation

Record Performance
maintenance Procurement
Record maintenance Pearson Correlation 1 .800**

Sig. (2-tailed) .000

N 77 77
Performance Procurement Pearson Correlation .800** 1

Sig. (2-tailed .000

N 77 77
**. Correlation is significant at the 0.01 level (2-tailed).

Source: Primary Data (2022)

Table 4.11 above, shows bivariate correlation results obtained from the primary data. The

results presented include the correlation score of (.800**), the sig score of (sig (2-tailed)),

at 99% confidence level and n= (77) showing the number of questionnaires completed.

The R score of (.800**) reveals a positive and statistically significant relationship

between records maintenance & preservation and performance procurement of Serere

60
District Local Government program in selected districts in the central region of Uganda.

Based on the scores obtained, it can be said that, the presence of record backup,

availability of shelving facilities, proper filling, timely storage and archival of records

would result into better procurement performance.

Table 4.12: Linear regression results for records maintenance and preservation

Model R R Square Adjusted R Std. Error of the Estimate

Square

1 .800a .640 .635 .41398

a. predictors: (constant), Records maintenance and preservation

Source: primary data

Table 4.12 comprises of the linear regression specifically the (model summary) with R

(.800**), R2 (.640**), adjusted R2 (.635) and standard estimate of error (.41398). The

adjusted R2 score of .635 reveals a 63.5% variance records maintenance and preservation

had on procurement performance. The percentage of 36.5% was attributed to other

factors other than record maintenance.

4.5.2 Hypothesis statement two

Hypothesis statement two that, “records maintenance and preservation significantly

influences procurement performance” was affirmed.

4.6: The influence of records retrieval on procurement performance

The second objective in the study was to establish the influence of records retrieval on

procurement performance in Serere District. To observe the influence, Eight (8) question

items were administered to respondents to establish the extent to which they agreed with

them. The response to each item were measured on a five-point Likert scale where code 1

61
= Strongly Disagree, 2 = Disagree, 3 = Not sure, 4 = Agree and 5 = Strongly Agree. The

findings are presented in the table 4.13 below

Table 4.13: The influence of records retrieval on procurement performance

Questions on records retrieval SA A N D SD Mean Std dev

(1) (2) (3) (2) (1)

I fully understand the concept of 8% 61% 19% 9% 3% 3.62 .859

records retrieval (6) (47) (15) (7) (2)
There are well stipulated rules and 12% 57% 0% 26% 5% 3.44 1.153
regulation pertaining to records (9) (44) (0) (20) (4)
retrieval
There is proper use of records during 22% 17% 0% 53% 8% 2.92 1.384
the procurement processes (17) (13) (0) (41) (6)
Records are used to undertake 27% 46% 0% 27% 0% 3.73 1.143
decisions on the implementation of the (21) (35) (0) (21) (0)
Serere District Local Government
Program
There is co-operation and support for 46% 45% 0% 9% 0% 4.27 .868
proper recordkeeping practices from (36) (35) (0) (7) (0)
the senior management staff
There is a linkage between 26% 33% 1% 37% 3% 3.42 1.301
procurement and payment files in (20) (25) (1) (29) (2)
accordance with the PPD Act
There is easy access to information in 43% 31% 0% 26% 0% 3.91 1.216
the records section (33) (24) (0) (20) (0)

There are formal channels through 30% 61% 1% 4% 4% 4.09 .906

which information flows in Serere (23) (47) (1) (3) (3)
District Local Government
Source: Primary data (2022)

Findings as presented in Table 4.13 above show that many of the Serere District Local

Government staff, represented by a mean score of (3.62), and a frequency and percentage

of 53(69%), fully understood the concept of records retrieval as compared with 15(19%)

that were reserved and 9(12%) that disagreed respectively. Similarly, 53(61%)

respondents agreed that there are well stipulated rules and regulation pertaining to records

retrieval, however, 24(31%) disagreed. Based on the results, more of the Serere District

62
Local Government staff were aware that records access was a way of utilizing of

procurement records during the procurement process although a combined margin of

(31%) either disagreed or were not sure attributed to the fact that they were not much

involved in the use of the records as per their roles.

In addition, as a result of records control, it can be argued that internal rules and

regulations for instance file movement registers and tracking systems were in place upon

which the Serere District Local Government staff were required to operate effectively and

therefore could access and use the records to avoid their loss of records. One interview

said,

Here at Serere District Local Government records controls in form of access and

use are frequently exercised to ensure that only authorized Serere District Local

Government persons have access to the agricultural and financial related

information, thus preventing information from being damaged.

Without accurate and reliable records controls, and effective systems to manage them,

organizations cannot be held accountable for their decisions and actions, and the rights

among other aspects.

While another Serere District Local Government official said,

Records retrieval information or records from being used. Controls ensure the

protection of privacy and confidentiality, and prevent the inappropriate

disclosure of information that could harm the entity or infringe the privacy rights

of individuals. Controls specifically internal are key to the protection of records

within any organization controls range from general to application control. These

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 should over the time be honored and followed to ensure proper records

management hence vital to procurement performance.

Disagree responses (mean of 2.92, disagree percentage of 61%) dominated the responses

that were provided by the respondents. While respondents constituting 71(91%) agreed

that co-operation and support for proper recordkeeping practices from the senior

management staff was evident with only (9%) disagreeing respectively. The

disagreement of proper record use can be attributed to the fact that records including

files, vouchers, receipts, requisitions and other documentation had gone missing

whenever spot checks and other audit investigations took place. Numerous document

manipulations had been exhibited by some staff especially during the biding process

hence undermining the role of proper records use. On the other hand, proper record use

and management support cannot be left unanswered as procurement documents are

readily available for internal Serere District Local Government staff to frequently refer

too, facilities for instance wooden shelves, filling cabinets were readily availed to the

concerned staff. In support of these findings is an interviewee, who argued that,

At times several loose documents are not filed hence frequently displaced”, while

another respondent said, “Loss of any records is a danger to any organization

including as records create a basis for decision making.

Staff will always have a direct role to play in implementing records management in any

organization. Key stakeholders will have overall responsibility for the management of

records in their respective unit, while other staff will have responsibility for ensuring that

the records they create are captured and managed in line with the organization’s records

management procedures.

64
When asked whether records are used to undertake decisions on the implementation of

the Serere District Local Government Program, answers provided included: 56(73%)

agreement, with none being sure and 21(27%) disagreed respectively meaning that Serere

District Local Government records provide a platform of valuable information upon

which Serere District Local Government management base to undertake strategic

decisions for the betterment of services delivered. This valuable information comprising

of feedback from key stakeholders and recommendations highlighted when weaknesses

in the entire procurement system are documented.

In one of the interviews held, an official observed that,

There is no way records do not provide a foundation for strategic decisions.

The effective management of records including records retrieval and use to ensures that

sound decisions (including procurement) can be made based on full, accurate and up to

date information, as well as ensuring that the rationale for and the impact of such

decisions can be traced, scrutinized and justified as required.

Interesting results were obtained in the study about the fact on whether a linkage existed

between procurement and payment files in accordance with the PPDA Act in Serere

District Local Government exist. These include 45(59%) agreement, 31(40%)

disagreement and 1(1%) not sure meaning that before the Serere District Local

Government accounting officer would sanction payments based on proof of requests

that would have been provided and checked for errors to ensure that they were in line

with the PPDA prescribed guidelines. Furthermore, it could be argued that the

procurement staff worked hand in hand with the accounts session and ensure that they are

ethically executing their defined duties and responsibilities.

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 Here, any payments should be in line with the PPDA rules and regulations. It’s a

financial requirement.

Following key financial procedures upon which Serere District Local Government staff

internally as well as external clients for instance bidders’ is likely to result into better

financial operations for the Institution and hence mane the PPDA rules and regulations

more functional.

Majority of the Serere District Local Government staff 67(74%) indicated positively that

there was easy access to information in the records section with 10(26%) disagreeing.

Similarly, 70(91%) respondents agreed, a mean of (4.09, standard deviation score

of .906) show that formal channels through which information flows in Serere District

Local Government exist, with 1(1%) being neutral and 8% (6) disagreeing meaning that

records checks were available and frequently referred too during records access. Formal

channels including memos were in place to act as formal means or channels of

communication.

All users should be aware of the policies, procedures, and tools for managing

records and they should be capable of applying them consistently to all records.

The full co-operation of the users is necessary to file documents into the filing

system and to protect records against loss and damage. Without this, there will be

no records to manage said one Serere District Local Government official

Based on the above qualitative phrase, it can be argued that by having an operational

records management system in place including policies, procedures and tools ensures that

sound decisions can be undertaken by top management based on full, accurate and up to

66
date records or information, as well as ensuring that the rationale for such strategic

decisions can be traced, and justified as required

4.6.1 Bivariate correlation results for Records retrieval

In this particular study, there was need to establish the relationship between Records

retrieval and procurement performance in selected districts in the central region of

Uganda with the results presented in Table 13 below representing the relationship.

Table 4.14: Bivariate correlation results for Records retrieval and Use

Records Performance of
retrieval procurement
Records retrieval Pearson Correlation 1 .824**

Sig. (2-tailed) .000

N 77 77
Performance of procurement Pearson Correlation .82 1
4**
Sig. (2-tailed)
N .000
77 77
**. Correlation is significant at the 0.01 level (2-tailed).

Source: Field data (2022)

Table 4.14 above, shows bivariate correlation results obtained from the primary data. The

results presented include the correlation score of (.824**), the sig score of .000 (p<0.01),

(sig (2-tailed), at 99% confidence level and n= (77) showing the number of

questionnaires completed. The R score of (.824**) reveals a positive and statistically

significant relationship between records retrieval and procurement performance of Serere

District Local Government program in selected districts in the central region of Uganda.

Based on the scores obtained, it can be said that, proper records use coupled with timely

records retrieval and dissemination would result in to better procurement performance

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4.6.2 Linear regression results for Records access and Procurement performance

The linear regression technique was applied to ascertain study factors that were

significant in predicting procurement performance of Serere District Local Government

program in selected districts in the central region of Uganda. The technique was used to

determine and explain the variance records creation had on procurement performance.

Table 4.15: Linear regression results for Records access

Model R R Square Adjusted R Square Std. Error of

the Estimate

1 .824a .679 .674 .39102

a. predictors: (constant), Records retrieval

Source: Primary Data (2022)

Table 4.15 comprises of the linear regression specifically the (model summary) with R

(.824**), R2 (.679**), adjusted R2 (.674) and standard estimate of error (.39102). The

adjusted R2 score of .674 reveals a 67.4% variance records retrieval had on procurement

performance. The percentage of 32.6% was attributed to other factors other than records

creation.

4.6.3 Hypothesis statement three

Hypothesis statement three that, “records retrieval significantly affects procurement

performance” is accepted

4.7 Regression matrix results for Procurement records management and

procurement performance process

The regression matrix technique was used to determine the effect of procurement records

management (IV) on the procurement performance (DV) with the following representing

the results that emerged.

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Table 4.16: Regression matrix results for procurement records management

Model R R Square Adjusted R Std. Error of the Estimate

Square

1 .908a .824 .817 .29350

a. predictors: (constant), Records creation, Records maintenance & preservation, Records

retrieval

Table 4.16 presents the matrix linear regression results for procurement records

management and procurement performance process. The combined R score of the

variables was (.908**), R2 (.824**), adjusted R2 (.817) and standard estimate of error

(.29350). The combined adjusted R2 score of .817 reveals 81.7% (.817 x100%) variance

that procurement records management had on procurement performance process, with the

least remaining percentage of 18.3% attributed to other factors not part of the study.

4.8: Procurement Performance

The (7) items on Records Maintenance were structured basing on the objectives of the

study. Items were measured on a five-point Likert scale where code 1 = strongly

Disagree, 2 = Disagree, 3 = Not sure, 4 = Agree and 5 = strongly Agree. The items are

statistically tabulated and presented in the table 4.7 below with the frequencies and

percentages according to the responses collected.

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Table 4.17: Procurement Performance

Questions on Procurement Performance SA A N D SD Mean Std dev

(1) (2) (3) (2) (1)
Under the Serere District Local 34% 44% 0% 22% 0% 4.00 1.158
Government , there are clear well laid (26) (34) (0) (17) (0)
down regulations to guide the procurement
process
Under the Serere District Local 14% 70% 0% 16% 0% 3.83 .865
Government , there are mechanisms to (11) (54) (0) (12) (0)
ensure that the procurement process
complies
Under the Serere District Local 0% 43% 0% 21% 36% 2.49 1.363
Government , there are well-defined (0) (33) (0) (16) (28)
regulations and procedures open to public
scrutiny
Under the Serere District Local 17% 57% 26 0% 0% 3.91 .653
Government , there are clear, standardized (13) (44) % (0) (0)
tender documents containing complete (20)
information
Under the Serere District Local 29% 56% 1% 14% 0% 3.99 .939
Government , there is equal opportunity (22) (43) (1) (11) (0)
for all in the bidding process
Under the Serere District Local 6% 57% 20 13% 4% 3.49 .941
Government , there are effective means for (5) (44) % (10) (3)
fighting waste and corruption and (15)
improving financial accountability
Under the Serere District Local 6% 73% 0% 17% 4% 3.61 .975
Government , there is integration of the (5) (56) (0) (13) (3)
public procurement system with national
budgeting procedures
Under the Serere District Local 20% 42% 0% 38% 0% 3.42 1.196

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 Government , there are clear well laid (15) (32) (0) (30) (0)
down regulations to guide the procurement
process
Source: Primary Data (2022)

From the Table 4.17 above, 60(78%) staff agreed that at Serere District Local

Government, Under the Serere District Local Government, there are clear well laid down

regulations to guide the procurement process; while none were neutral and 17(22%)

represented the staff who disagreed.

Similarly, 65(84%) with a mean score of (3.83) reveal that staff indicated that under the

Serere District Local Government, there are mechanisms to ensure that the procurement

process complies, with none neither agreeing nor disagreeing and 12(16%) disagreeing

meaning that files relative to specific subject had been created and kept as records.

Secondly, it can be noted that Serere District Local Government has a logical file

classification scheme including services, goods and works among others for instance

Serere District Local Government.

To support the findings, one official said:

“Minus records, there is no evidence pertaining to proper procurement in Serere

District Local Government” While another respondent said,

“The presence of a good file classification scheme at Serere District Local

Government, we are able to clearly identify records linked to procurement.”

On whether Under the Serere District Local Government, there are well-defined

regulations and procedures open to public scrutiny: mean of (2.49), percentage scores of

33(43%) agreeing, none neither agreed nor disagreed and majority 44(57%) disagreed

respectively. More, 33(43%) staff agreed to the fact that records management is

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mainstreamed and integrated with strategic plans at Serere District Local Government

compared with 44(57%) disagreeing. These findings can be attributed to the fact that

there is still lapse in Serere District Local Government records management

mainstreaming and integration hence affecting procurement performance in terms of

delay which affects decision making.

With a standard deviation score of (.653) and mean score of (3.91) clearly reveal that

Serere District Local Government staff fully agreed that Under the Serere District Local

Government, there are clear, standardized tender documents containing complete

information while 20(26%) were not sure meaning that records for bid receipt for

instance PP form 34 were printed and readily available for bidders submitting bids are

recorded hence evidence for proper procurement management.

More, 65(85%) respondents agreed that Under the Serere District Local Government ,

there are effective means for fighting waste and corruption and improving financial

accountability, however, 1(1%) were neutral and 11(14%) disagreed respectively. On

whether records of contract committee award decisions are created at Serere District

Local Government fetched the following, 49(63%) agreement, 15(20%) were not sure

and 13(17%) disagreed. Based on these facts, it can be said that Serere District Local

Government has a team of procurement staff with key skills, competences and

qualifications to fully execute their procurement roles and duties linked to the

procurement evaluation processes, and prepare timely reports to boast decision making

hence a foundation for better procurement performance.

Interesting results including a standard deviation score of (.975), (79%) agreed that Under

the Serere District Local Government, there is integration of the public procurement

72
system with national budgeting procedures compared with 16(21%) that disagreed and

none were neutral. Still, 47(62%) staff agreed that records creation are done within the

framework of the PPDA Act at Serere District Local Government, 30(38%) disagree and

none were not sure respectively this is similar to the argument provided above as a team

of staff are in place to handle records. Further, it can be argued that a letter of the

contracts manager is on file and the report of implementation hence it’s evident enough to

show that records of contracts implementation report are in place or practiced and

prepared in line with the PPDA Act.

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 CHAPTER FIVE

SUMMMARY, DISCUSION, CONCLUSIONS AND RECOMMENDATIONS

5.1 Introduction

The study investigated the relationship between records management and procurement

performance at Serere district local government, Uganda. This chapter provides

summaries of the findings from the study, discusses the empirical results in view of the

research objectives, and draws conclusions and finally recommendations.

5.2 Summary of key findings

5.2.1 The influence of records creation on procurement performance

The study findings revealed that there was a positive significant relationship between

records creation and procurement performance of Serere District Local Government. In

particular, the positive effect implied that a change in records creation contributed to a

moderate change in public procurement performance whereby improvement in records

creation caused improvement in public procurement performance and vice versa.

5.2.2 The influence of records maintenance on procurement performance

The findings established that records maintenance and preservation had a positive

significant relationship with performance procurement of Serere District Local

Government. The positive relationship meant that records maintenance and preservation

had a positive contribution on public procurement performance whereby improvement in

records maintenance and preservation caused an increase in public procurement

performance in government agencies and vice versa.

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5.2.3 The influence of records retrieval on procurement performance

The findings established that records retrieval had a positive significant relationship with

performance procurement of Serere District Local Government. The positive relationship

meant that records retrieval had a positive contribution on public procurement

performance whereby improvement in records retrieval caused an increase in public

procurement performance in government agencies and vice versa.

5.3 Discussion of findings

5.3.1 The influence of records creation on procurement performance

The study findings revealed that there was a positive significant relationship between

records creation and procurement performance of Serere District Local Government.

These findings are inline World Bank (2010), which stipulates that record keeping is a

fundamental activity of public administration. Without records there can be no rule of law

and no accountability. Public servants must have information to carry out their work, and

records represent a particular and crucial source of information. Similarly, the ISO

(15489) stipulates that for proper record management, efficient and systematic control of

records creation and information about business activities and transactions in the form of

records should commence the records cycle and the International Council on Archives

(2004), highlights that a classification scheme is a hierarchical tool that can ‘facilitate the

capture, titling, retrieval, maintenance and disposal of records. The researcher agreed

with the idea of records creation as the genesis to the availability of evidence. However,

the (4%) and (22%) discrepancies are such moderate margins that can have negative

effect on the creation of record. This might be linked to the fact that some staff lack

75
record management skills which causes poor recording, referencing classification and

indexing.

More still, (43%) of the Serere District Local Government staff believed that records

management was mainstreamed and integrated with strategic plans. The findings can be

supported by at fact that the effectiveness and efficiency of the public service across the

range of Government functions depends upon the availability of and access to

information held in records, (Damulira, 2013).

Congruent with the study finding, , (Damulira, 2013) further argues that, badly managed

records adversely affect the broad scope of public service reforms, and development

projects are often difficult to implement and sustain effectively in the absence of well

managed records. In addition, the IRCT (2009) details that organizing records into

mutually exclusive categories is important as there can be no doubt about the appropriate

place for an individual item. If records are filed logically, information can be retrieved by

anyone at any time according to a consistent set of rules and guidelines. On the other

hand, the presence of the (57%) disagreement or neutrality in responses highlights a

mismatch or gap between Serere District Local Government strategic plans and records

management. This records mainstreaming and integrate mismatch can attributed to the

fact that strategic plan activities designed have a small fraction of proper records

management with fewer resources allocated to foster records management and better

procurement performance

Additionally, the negative responses (38%) obtained that records creation is done within

the framework of the PPDA Act at Serere District Local Government. This is in line with

the Uganda Procurement Audit Reports of (2007) and (2008) which highlight that

76
procurement record management is characterized by; extremely deficient filing and

documentation that cannot facilitate audit trail; procurement records are often fragmented

and scattered in various locations and departments among others. To supplement on the

scholarly findings is the World Bank (2010) which contends that in many countries

around the world, record keeping systems are unable to cope with the growing mass of

unmanaged records. The researcher concurs with the facts that records are required for

the past events, present and future and therefore their creation is crucial. Failure to

operate around the PPDA Act framework means that numerous conflict of interest

tendencies will be exhibited by the key stakeholders hence interfering with the right

procurement procedures.

5.3.2 The influence of records maintenance on procurement performance

The findings indicated a significant positive relationship between Record maintenance &

preservation and procurement performance. These findings can be supported by a number

of positive responses obtained from the field of study and presented in chapter four. For

instance respondents constituting (88%) agreed that records maintenance and

preservation was well understood and (74%) agreed that procurement records are

managed within the records life cycle. This is in line with Basheka et al (2011) who argue

that procurement records are critical in promoting the principles of transparency and

accountability and weaknesses in this area has implications for the efficiency and

effectiveness of the public procurement system.

More, evidence is based on the UNESCO (2018) which reports that the preservation and

accessibility of archives among successive generations constitute the greatest single

treasure of the human heritage. Archival records are usually appraised, retained,

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organized and preserved according to acceptable standard and procedures. Despite the

evidence provided above, it can be argued that the (12%), while the (26%) respondents

that were either not sure or disagreed that procurement records were not managed within

the records life cycle indicate discrepancies in relation to records maintenance and

preservation. The discrepancies can be attributed to insufficient awareness on the value of

records maintenance and preservation

While the Kenya Procurement Oversight Authority (2018) marks that failure to

effectively maintain procurement records means that; decisions are taken on ad hoc basis

without the benefit of records; fraud cannot be proven and meaningful reporting and

audits cannot be carried out and Uduigwome (2017), posited considered archives as the

official or organized records of organizations, which are no longer needed to conduct

current businesses but are preserved either, as evidence of origins, structure, functions

and activities or because of the information they contain. Nonetheless, the (4%)

disagreement reveals a problem of delay in the removal of closed procurement files and

records which may affect proper record keeping and procurement management in the

long run as files might be lost in the process.

The findings are further supported by Maseruka (2011) who reports that records

management in public entities is constrained by lack of space as the major challenge.

Other challenges include lack of man power; mixed up records; records of permanent

value have not been recorded; low reference requests and lack of equipment and Prom

(2001) also shared this view and made further clarification that, the process stands at the

center of archival work and unites the functions of appraisal (deciding what to keep) and

reference or providing access to kept records. Contrary to the agreement were the (26%)

78
that disagreed to the statement meaning that issues pertaining to documents not being

shelved in official, approved and registered files were still rampant. Some of these issues

include delayed filling resulting into big volumes of records coupled with inadequate

space.

5.3.3 The influence of records retrieval on procurement performance

The findings indicated that positive linkage between records retrieval & use and

procurement performance

The findings clearly relate to scholar literature presented in chapter two where Ngoepe

(2016) stressed that good record keeping saves time since there is no hassle when

searching for information. Records alteration and access are easily traced through an

audit trail and records are easily disposed of. More, the Association of Public

Procurement Professionals (2013) stipulates that there can be no significant procurement

systems without addressing record keeping practices. It further, highlights that sound

information and records management strengthens procurement best practices. More,

qualitative information to support the above scholarly literature was a Serere District

Local Government official that,

“The presence of information controls and use of formal channels is crucial to the

betterment in the procurement performance in any organization. However, the (26%) that

disagreed might have cited weak internal control records measures in place for staff to

follow while accessing the records in Serere District Local Government. More, with the

(9%) disagreement, it can be said that communication loopholes are still in place and

affecting records retrieval hence hindering procurement performance.

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The findings concur with Hawash et al. (2020) who contends that procuring bodies need

to keep records of their decisions, activities and transactions to meet the demands of

corporate accountability and compliance with procurement law, regulations and policies.

Additionally, Thurston and Iwhiwhu (2015) underscore that reliable, timely and

accessible records should make available information about administrative actions, such

as resources received, committed or spent resources, which facilitate and simplify

accountability. Properly managed records are filed according to the filing plan or system.

Retrieval is a matter of minutes, instead of hours. However, the (23%) that either

disagreed or neutral highlighted a weakness on the way records Serere District Local

Government management was to base to undertake decisions on its implementation

existed as some valuable documents were not on file, misplaced/misfiled which lowered

procurement performance.

in the findings are line with Marutha & Ngulube (2010) who argue that timely and

quicker retrieval of records in response to records request confirms proper records

management exercise. Proper records keeping result in a proper file tracking system in an

organization. Similarly, the International Standard for Records Management, ISO 15489-

1: 2001, defines access as the right, opportunity, means of finding, using, or retrieving

information. To further supplement is Kemoni, Ngulube and Ambira (2019), who

assessed procurement entities on critical documents which included; request to initiate

procurement proceedings; copy of the published advertisement or approved shortlist;

copy of the solicitation documents and any amendments or clarifications among others.

Much as the above were positives, (31%) disagreement or were not sure reveal unethical

80
gap in the way records rules and regulations are honored .this in the long run affects

proper record management and procurement performance.

5.4 Conclusion

5.4.1 The influence of records creation on procurement performance

Records creation and procurement performance were found to relate to one another

positively with the following concluded: Many staff were sensitized on how to create

records, however lack skills and competence on how best to create complete and self-

contained files with documents based on a well-structured and logical file classification

scheme predetermine by an agreed upon standard. Serere District Local Government

successfully realized some of its strategic plans driven by the presence of mainstreamed

and integrated records plan.

For easy tracking, Serere District Local Government bid receipts were issued from a

single serialized receipt book by an accountant, however some of the receipt books were

misplaced or missing. Approved evaluation reports, contract committee award decisions

for the best bidder among other bidders were prepared and documented.

Bidders received late formal communication and the presence of a framework of the

PPDA Act despite creating a platform for proper procurement, reveals loopholes in the

way standards of ethics were observed.

5.4.2 The influence of records maintenance on procurement performance

Despite the presence of internal records controls, unauthorized persons accessed and used

Serere District Local Government records without being recorded. Serere District Local

Government possesses well stipulated rules and regulations pertaining to records

retrieval, however, some are non-functional and frequently violated. The breach of

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records ethics linked to confidentiality, privacy and integrity negatively affected internal

decisions made about implementation of the Serere District Local Government

Program.

Much as the PPD Act exists and staff tends to observe it, coupled with internal

accounting controls, there was a widening gap created between procurement and payment

files specifically with difficult to tracking files or record movement. Many procurement

active in the system and linked documents were accidentally misplaced or lost. Serere

District Local Government has numerous informal channels as compared with the formal

one which cause delay in the dissemination of information.

5.4.3 The influence of records retrieval on procurement performance

Several discussions were held about records maintenance & preservation and

procurement performance with the following concluded mainly: it was found out that

record maintenance and preservation was done, however, fewer staff understands the

Serere District Local Government records weeding system. Procurement documents were

shelved in inadequate metallic and wooden equipment that made them subject to use by

unauthorized persons. Official procurement files are centrally maintained under care and

custody of a records assistant entrusted with the task of tracking their movement, directly

reliable and responsible in cases of misuse however, some files or records still went

missing.

It’s important that Serere District Local Government staff acknowledge receipt of the

files for easy tracking and avoiding the blame game, however others went over the odds

not acknowledging receipt based on their status. Regular weeding of records specifically

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separating of closed procurement files and documents from active ones was done with

little or no detailed knowledge of how effective the system was.

Serere District Local Government staffs were found to prefer the manual records system

as compared to the electronic storage system; however, the former is less reliable, unsafe

and delays in tracking files and records. The Serere District Local Government possess

an established records centre for preserving, maintaining and control of closed

procurement documents, however, the centre has inadequate space.

5.5 Recommendations

5.5.1 The influence of records creation on procurement performance

Serere District Local Government management with procurement department should be

sponsor staff training specifically in customized record management courses hence

geared toward improving records skills which will smoothen the process of procurement

performance

On the issue of a mismatch between records management and Serere District Local

Government strategic plans, the researcher recommends that Serere District Local

Government management considers reviewing the strategic plan in order to integrate and

mainstream proper records management where most aspects of records will be improved

hence an improvement in procurement performance.

The researcher recommends that all stakeholders should conform to the existing PPDA

guidelines in PPDA Act as a means of reducing on the number of discrepancies that

might crop up during records creation and enhance better procurement management.

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5.5.2 The influence of records maintenance on procurement performance

On the issue of insufficient awareness (records maintenance and preservation), the

researcher recommends that the Serere District Local Government Training committee

through management should organize timely workshops to sensitize staff on how best

records maintenance & Preservation is core to operations of Serere District Local

Government hence procurement performance.

Secondly, the issue of delay in the removal of closed procurement files and records

should be handled through ensuring that the records in charge values time to better a

records weeding schedule geared towards sorting out closed while maintaining open files

hence proper record keeping and better procurement management.

More, Serere District Local Government management should ensure that it approves

funds to ensure that a better records storage facility is established to address the problem

of inadequate space hence proper record keeping and better procurement management.

The researcher recommends that ethical practice should be emphasized and persons be

held accountable for their actions as this will help in the support of proper records

keeping and avoid documents not being on file, misplaced/misfiled which negatively

affects procurement performance

5.5.3 The influence of records retrieval on procurement performance

The researcher recommends that the Serere District Local Government management

reviews the existing records internal control policies and ensure that they are update as

this is likely to close all the existing gaps in negatively affecting procurement

performance.

84
The researcher recommends that communication loopholes specifically the verbal ones be

closed or avoided as they form no evidence in case of records loss. This will support in

the closing up of any informal ways of requesting for records or files.

5.6 Limitations of the study

In the study, there were several limitations that might have limited the researcher from

generalizing the research results namely:

Another limitation was that among the responses obtained were responses from the

agreed and disagreed meaning that most of the arguments above are representative of the

agreed respondents hence leaving out the disagreed yet they had their views expressed.

Based on these responses, the researcher could not generalize the research findings.

The last limitation can be linked to the fact that was some of the information was

procurement information (Serere District Local Government) was inaccessible of relevant

financial information as it was doomed confidential with less access granted. However,

much as the researcher sought permission from the authorities on this matter less

information was obtained and based on the inadequate information, the researcher could

not generalize the research findings.

5.7 Suggestions for further studies

The researcher comes up with the following as areas for further studies including:
1) A comparative study of traditional and modern methods of records management on

the effective Serere District Local Government procurement system.

2) Another area of interest would be to study comprehensively procurement records

management plays in the support in the private sector.

85
3) Lastly, research be undertaken to study the increasing role of the Uganda National

Army in the management of the records and procurement performance in the Serere

District Local Government.

86
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 APPENDICES

APPENDIX ONE: QUESTIONNAIRE FOR DISTRICT MANAGEMENT,

ELECTED LEADERS AND DISTRICT STAFF

Dear Respondent,

I am, Peter Carlos Ebiau Reg. No. 18/MPP/KLA/WKD/0013, a student at Uganda

Management Institute pursuing a Master’s Degree in Public Procurement. As one of the

requirements for being awarded with this qualification, I am conducting a study on the

topic, “Records management and procurement performance at Serere District Local

Government”. You have been identified as one of the resourceful people to participate in

this study. You are requested to answer the questions as honestly as possible to enable

reliable conclusions and recommendations. All your responses will be used strictly for

research purpose and treated with anonymity and utmost confidentiality.

SECTION A: BACKGROUND INFORMATION

Category Tick or circle appropriately:

Age:
a) 20-30
b) 31-40
c) 41-50
d) Above 51
Sex:
a) Male
b) Female
Highest level of education:
a) Certificate
b) Ordinary Diploma

i
 c) Bachelor’s Degree
d) Master’s Degree
How long have you been in the organization
a) Below five years
b) 6-10 years
c) 11-15 years
d) Above 15 years

SECTION B: TO ESTABLISH THE INFLUENCE OF RECORDS CREATION

ON PROCUREMENT PERFORMANCE IN SERERE DISTRICT LOCAL

GOVERNMENT.

Please indicate the extent to which you agree or disagree with the following statements about

the records creation on procurement performance in Serere District Local Government. Please

select from: 1. Strongly Disagree 2. Disagree 3. Not sure 4. Agree 5. Strongly agree.

S A N D S
RECORDS CREATION A S D
5 4 3 2 1

RC1 There is creation of complete and self-contained

files with all key documents for each procurement
activity

RC 2 There is preparation of a well-structured and

logical file classification scheme that captures all
procurement activities

RC 3 Procurement records management is mainstreamed

and integrated with the overall records
management and strategic plans in a Procuring
Entity

RC 4 Records of bid receipt are prepared

ii
 RC 5 Records of Approved Evaluation reports are
prepared

RC 6 Records of contract committee award decisions are

created

RC 7 The records of contract implementation report are

created

RC 8 Records creation is done within the framework of

the PPDA Act

SECTION C: TO ASSESS THE INFLUENCE OF RECORDS MAINTENANCE

AND PRESERVATION OF PROCUREMENT PERFORMANCE IN SERERE

DISTRICT LOCAL GOVERNMENT

Please indicate the extent to which you agree or disagree with the following statements

about the records maintenance and preservation of procurement performance in Serere

District Local Government. Please select from: 1. Strongly Disagree 2. Disagree 3. Not

sure 4. Agree 5. Strongly agree.

S A N S
D
RECORDS MAINTENANCE A S D

5 4 3 2 1
Procurement records are managed within the 5 4 3 2 1
procurement cycle and within the records life
RM1
cycle of creation, use, maintenance,
preservation and disposal.
The official procurement documents are kept 5 4 3 2 1
in official, approved, and registered files
RM 2
whose existence is documented in an
approved procurement file scheme
The official procurement files are centrally 5 4 3 2 1
RM 3 maintained under care and custody of a
responsible and designated officer
RM 4 There is clear referencing, coding, titling and 5 4 3 2 1
logical physical arrangement (in secure filing

iii
 cabinets) of procurement files in order to
permit fast and efficient document retrieval.
There is regular removal of closed 5 4 3 2 1
procurement files and documents from the
RM 5
current system to facilitate ease of access to
active files.
There is establishment of a departmental 5 4 3 2 1
records center for preservation, maintenance
RM 6
and control of closed procurement documents
retired from the current system.
There is close collaboration and co- 5 4 3 2 1
ordination of the different records
management units in a Procuring Entity such
RM 7
as main records office (registry), secret,
accounts, confidential and personnel
registries.
There is greater use of electronic storage 5 4 3 2 1
RM 8 systems under the Serere District Local
Government Program
Establishment of a departmental records 5 4 3 2 1
center for preservation, maintenance and
RM 9
control of closed procurement documents
retired from the current system.

SECTION D: TO EXAMINE THE INFLUENCE OF RECORDS RETRIEVAL

ON PROCUREMENT PERFORMANCE IN SERERE DISTRICT LOCAL

GOVERNMENT.

Please indicate the extent to which you agree or disagree with the following statements

about the Records Retrieval on Procurement Performance in Serere District Local

Government please select from: 1. Strongly Disagree 2. Disagree 3. Not sure 4. Agree

5. Strongly agree.

S A N D S
RECORDS RETRIEVAL A S D

iv
 5 4 3 2 1

RR There is proper use of records during the 5 4 3 2 1

1 procurement processes

RR Records are used to inform implementation of 5 4 3 2 1

2 the Serere District Local Government
Program

RR There is co-operation and support for proper 5 4 3 2 1

3 recordkeeping performance from the senior
management staff

RR There is a linkage between procurement and 5 4 3 2 1

4 payment files in accordance with section 45 (6)
of the PPD Act

RR There is easy access to information in the 5 4 3 2 1

5 records section

SECTION E: PROCUREMENT PERFORMANCE

Please indicate the extent to which you agree or disagree with the following statements

about the Procurement Performance at Serere District Local Government please select

from: 1. Strongly Disagree 2. Disagree 3. Not sure 4. Agree 5. Strongly agree.

S A N D S
PROCUREMENT PERFORMANCE A S D
5 4 3 2 1

PP1 Under the Serere District Local Government , 5 4 3 2 1

there are clear well laid down regulations to
guide the procurement process

PP 2 Under the Serere District Local Government , 5 4 3 2 1

there are mechanisms to ensure that the
procurement process complies

PP 3 Under the Serere District Local Government , 5 4 3 2 1

v
 there are well-defined regulations and
procedures open to public scrutiny

PP 4 Under the Serere District Local Government , 5 4 3 2 1

there are clear, standardized tender documents
containing complete information

PP 5 Under the Serere District Local Government , 5 4 3 2 1

there is equal opportunity for all in the
bidding process

PP 6 Under the Serere District Local Government , 5 4 3 2 1

there are effective means for fighting waste
and corruption and improving financial
accountability

PP 7 Under the Serere District Local Government , 5 4 3 2 1

there is integration of the public procurement
system with national budgeting procedures

Thank You for Your Time and cooperation

vi
 APPENDIX 2: INTERVIEW GUIDE FOR THE CAO, HEADS OF

DEPARTMENTS AND SERVICE PROVIDERS

Dear respondent;

Kindly spare some of your valuable time and respond to the following

questions/statements as genuinely as possible. The information provided is purely for

research purpose and will be treated with utmost confidentiality.

1. What is your position in this organization? ......................................

2. How long have you been in this organization? ...............................

3. What is your highest level of education? .........................................

4. What procurement records management do you keep under Serere District Local

Government?

5. What are some of the challenges of records management under the Serere District

Local Government?

6. What can be done to improve procurement record keeping?

7. What can be done to improve the functioning of the procurement unit under the Serere

District Local Government?

Thank You for Your Time

vi
vii
 APPENDIX 3: DOCUMENTARY REVIEW CHECKLIST

1. Review records of bid receipts;

2. Records of approved evaluation reports;

3. Records of contract committee award decisions; and

4. Contract implementation reports

vii
 APPENDIX IV: KREJCIE & MORGAN (1970) MATHEMATICAL TABLE

N S N S N S N S N S

10 10 100 80 280 162 800 260 2800 338

15 14 110 86 290 165 850 265 3000 341

20 19 120 92 300 169 900 269 3500 246

25 24 130 97 320 175 950 274 4000 351

30 28 140 103 340 181 1000 278 4500 351

35 32 150 108 360 186 1100 285 5000 357

40 36 160 113 380 181 1200 291 6000 361

45 40 180 118 400 196 1300 297 7000 364

50 44 190 123 420 201 1400 302 8000 367

55 48 200 127 440 205 1500 306 9000 368

60 52 210 132 460 210 1600 310 10000 373

65 56 220 136 480 214 1700 313 15000 375

70 59 230 140 500 217 1800 317 20000 377

75 63 240 144 550 225 1900 320 30000 379

80 66 250 148 600 234 2000 322 40000 380

85 70 260 152 650 242 2200 327 50000 381

90 73 270 155 700 248 2400 331 75000 382

95 76 270 159 750 256 2600 335 100000 384

viii