LEGAL PRACTICE MANAGEMENT

The main purpose of legal practice management is to guide lawyers in assessing, maintaining and
enhancing their quality of service.

It also provides a general outline and framework for conducting legal work.

History of Management

Law rims date back to the 19th Century.

The oldest law firm in the world and still in existence is Thompson Smell & Passmore. Started in 1570,
when a curate of the Tonbridge Parish Church by the name of Nicholas Hooper announced himself as a
“scrivener and drafter of documents” acquired by Thomas. Son of original founders Snell joined.

The oldest law firm in Kenya is CMS Daly Inamdar Advocates (CMS DI) is the oldest law firm in Kenya
tracing its origins to 1899.

Lawfirms grew as institutions In the USin the 19 th Century. The American Bar Association assisted with
the practice.

In the Uk, law firms were organized as sole proprietorships, partnerhsips and limited liability
partnerships.

Law society in the Uk was established in 1825 and set the standards and quality mark of excellence in
legal Practice management and client care.

lThe legal profession in Kenya evolved as a consequence of the introduction of the English legal system
through the British colonial government.

The imported legal structures greatly displaced indigenous and traditional institutions and processes of
dispute settlement.

During the colonial era, the practitioners were Europeans and Asians. There was no training.

Most Africans practiced as a two man partnership. Challenges included financial. The second option was
sole proprietorship that was equally difficult. Getting financial to rent an office. Number of cases one
could take was also limited.

In 1899 Kenya’s first law firm opened shop in Mombasa before relocating to Nairobi. O.B Daly and E.K.
Figgis started the practice but registered 38 years later as Daly & Figgis at the Registrar of Business
Names.

Follwed by Hamilton, Harrison and Matthews (1902) and Kaplan and Stratton (1927).

Later, CMG Argwings Kodhek, first African lawyer in Kenya, opened his practice.
Legal Framework for LPM

1. One has to be an advocate

S 2 Advocates Act

One whose name is in the roll of Advocates.

S 9, Advocates Act

No person shall be qualified to act as an advocate unless he has been admitted as an advocate, his
name is on the role of advocates and he has in force a valid practicing certificate.

S 13…the qualifications

L.LB

The Programme at KSL

The pupillage

Starting a law firm

A. Sole proprietorship

All forms with a business premises should be registered.

Registration of Business Names Act .

The Advocate should deliver to the Registrar :-

a signed statement of particulars containing;

business name and address of the firm, the nature of its business,

the date of commencement of that business and the full address of every other place of business
(branches elsewhere)

A law firm’s name should be registered with the registrar of business names within twenty eight days
after the firm commences to use the business name.

Upon registration, the Registrar of Business Names issues the law firm with a certificate showing proof
of registration.

B. Partnership

To register a law firm as a partnership, one should deliver to the Registrar of Companies an Application
for registration together with a statement signed by all the proposed general partners( s 68 Partnership
Act) Specifying;

1. the name and address of the partnership,

2. the names and addresses of the proposed General partners along with their capital
contribution
3. the date of the formation of this Partnership
Registrar of Companies then issues the law firm with a signed registration certificate that shows the
name of the partnership and date of registration.

C. A Limited Liability Partnership

Two or more persons associated in carrying on a lawful business with a view to making profit may
register (the persons) as a limited liability partnership under the Limited Liability Partnership Act 2011.

To have a law firm registered as a limited liability partnership partners should submit a signed statement
that contains the following information:

the name,

the nature of business,

the registered office and

the name, identity documents and nationality of each partner.

This statement should be accompanied by the prescribed fee.

Upon successful registration, the Registrar of Limited Liability Partnerships issues a certificate of
registration to the persons who lodged the statement.

Once registered, a limited liability partnership becomes a body corporate with perpetual succession and
with a legal personality separate from that of its partners.

A limited liability partnership is required to acquire and maintain a common seal that bears its name and
to use the seal for the execution of all documents that by law are required to be sealed.

Nature of a Law firm

2Human Resource in the Firm

Human resource basically refers to the people working in the firm and who individually and collectively
contribute to the achievement of its objectives.

These individuals are said to be

the most important and therefore, the most critical asset for any firm. They have to be managed
strategically as a result.

Their management involves among other functions: recruitment, deployment, compensation, staff
development and motivation which can be either intrinsic or extrinsic and for purposes of this study, a
study of extrinsic motivation will be relevant.

Armstrong defines extrinsic motivation as what is done to or for people to motivate them. This includes
rewards and punishment such as disciplinary action.
 As regards rewards, advocates are promoted to the rank of Senior Counsel which is not automatic
currently and requires the advocate to make an application in the event of an advertisement drafted by
the Law Society of Kenya.

In addition, in a law firm, associates are motivated by being promoted to partners for their exemplary
work.

Other forms of motivation will include allowances, paid-up vacations, training and development
seminars, recognition, benefits and more.

As regards disciplinary action, the Advocates Act establishes two bodies that are charged with
overseeing the discipline in the legal profession; these are the Advocates Complaints Commission and
the Disciplinary Tribunal.

In the event that an advocate is found guilty of professional misconduct the penalties applicable include:
being admonished, or being suspended from practice for a specified period not

exceeding five years, or that the name of such advocate be struck off the Roll, or that such advocate do
pay a fine not exceeding fifty thousand shillings, or such combination of the above orders as the Tribunal
thinks fit or that such advocate pays to the aggrieved person compensation or reimbursement not
exceeding five million shillings. Illustrative Case: Daniel

Ndung’u v. Director of Public Prosecutions

The Employer-Employee Relationship

In order to ensure a good employer-employee relationship, there must be regard to the rights of the
employee.

This is because every human being is born free and equal in dignity and Rights.

Every person shall enjoy the rights and fundamental freedom of the Bill of Rights to the greatest extent
consistent with the nature of the right and fundamental freedom.

Crucial for self development, fulfillment of potential as 19

This provides the base of creation for certain crucial principles drawn from statutory provisions that
should be taken into consideration in the day to day management of Human Resource.

Right to Just and Favourable Conditions

Everyone has the right to work, the free choice of employment, to just and favourable conditions of
work and to protection against unemployment. Art. 23, UDHR

Every person has the right to fair labour practices. Article 41(1)

In this regard, and more specifically, a manager of or in a law firm should ensure that :

 They do not take certain actions that will be construed as unfair to the employees or that violate any
legislation protecting the employees.
Safe water in adequate quantities

Fair Termination . notice s 35

Free from sexual harassment. S 6

Fair remuneration

Leave

Maternity leave.. S 29

Annual Leave… s 28

Sick Leave… S 30

B. Financial Management

There is also a requirement SECTION to annually submit to the Council a certificate by an accountant
which should illustrate compliance with the rules regulating keeping of accounts.

A. the establishment of a compensation fund for the benefit of client and

B. indemnity for clients against loss or damage arising from claims in respect of any civil liability
incurred, or from breach of trust by the advocate or his employee.

2.3.1 The Advocates (Accounts) Rules, 1966

Rule 7 categorically prohibits payment of money other than client’s money into the client account.

Rule 6 and 7 to a large extent prevent issues of money laundering as much as protect client’s money.

SOPPEC- 5 Clients property

Know the client

Keep the money safe and promptly pay

Any use to be authorised. S 9 account rules

S 10…no overdrafts on. Client Account

From the client account to the advocate..e.g. To pay for fees, for expenses to cater for client instructions
by cheque in favor of the advocate. S 11

S 13 keep Records of receipts, withdrawals and such.

Books of accounts to be kept for 6 years. S 14

2 Books of Accounts

Pursuant to Rule 13, every advocate is strictly required to keep at all times, properly written books of
accounts as may be necessary.
The book shows every receipt, payment, amount held, and expenditure in regards to clients’ money.

Such books may either be cash books or ledgers and must be supplemented by records showing the
particulars of all Bill of Costs delivered by the advocate to his clients, distinguishing between profits,
costs and disbursement.

Under the 1998 Advocates (Practice) Rules, Rule 5 thereof, any money payable by an advocate

to a client who is sui juris57 shall be paid to the client not later than 21 working days from the date on
which the proceeds are actually paid/credited into the advocate’s client account.

2.3.3 The Advocates (Remuneration) (Amendment) Order, 2014

Rule 3 Remuneration Rules

Section 36

Section 46

Section 37…sharing profits

It prevents advocates from engaging in professional malpractices such as undercutting and unfair
competition and also makes legal services affordable to the public

and ensures remuneration of advocates so that their lifestyle can reflect the dignity of the profession.

The rationale for undercutting was provided in the case of Ahmednasir Abdikadir & Co. Advocates
National Bank of Kenya Ltd that if advocates adhered to the provisions of the

Advocates Act against undercutting, the dignity of the profession would be upheld.

Schedule 3 provides fees to be charged in non-contentious matters

Advertising and Marketing (2014)

Legal Notice 24 of 2014

prihibited:-

1. Placards
2. Radio
3. Name of clients
4. Guarantee of a certain outcome
5. Qualifications before being admitted

Client Management

The client base

1. Walk-in clients
2. Referrals
3. Legal Networks
A law firm may subscribed to an international network of law firms that refer clients to each other e.g.
Meritas. For instance, a firm in South Africa would refer to them their clients who have issues while in
Kenya.

4. Through Tendering

This is in regards to assignments that are advertised for tenders. For example, government assignments
are normally issued through tender notices which the firm bids to.

Front Office Services

Front office is the first customer facing department/room/space of an organization.

It is the first port of call for the majority of clients and prospective clients with enquiries.

Baker and Riley (1994) observe that front office is where customers gain the first impression of an
organization.

Front office services on the other hand, refers to the business related activities done at the front desk.
These include: customer services,

sales and marketing, finance and

technical services,

Front office should therefore look tidy, welcoming, properly designed and the staff should be adequate
and well trained.

Distinction between front office department and communication

Front office and communication department overlap in their service delivery.

The difference exists from the realization that front office deals with communication between the
customer that walks in the organization’s place of business or one that makes a phone call, Skype call or
mails the organization to make enquiries about a certain subject,

Whereas

the communication department relays information to and from the organization to the general
populous, including those who are not clients/customers.

The major similarity between the two departments is that they both exchange information,

Opinion or ideas by writing, speech or visual means or a combination of the three so that the Material
communicated is completely understood by the recipient.

Importance of Front Office

 1. Increases competition with other organizations

A well-furnished, properly organized front office with a calm, charming and welcoming staff will always
attract customers by creating a lasting impression on the clients thus influencing their customer
experience. A satisfied customer will want to be a frequent customer

2. Customer Retention

A happy customer will always stay.

3. Internal link between customer and company

Maintains a flow of information, which helps in creating order in the organization for smooth
administrative management of activities. The receptionist therefore plays a vital role as a
Communication channel between customers and the management of an organization, and this Includes
relaying of feedback.

4. Source of revenue in an organization

A proper front office which envisages retention of customers, satisfying their needs and ensuring flow of
communication, results to the growth of the business thus building its capital.

Since the front office also manages petty cash, it contributes to the revenue of the business Distributing
cash where needed thus improving the flow of working capital.

Customer Relationship Management

CRM is a system for managing a company's interactions with current and future customers using
technology to organize, automate, and synchronize sales, marketing, customer service, and technical
support, that is, what you think or know about a customer.

Customer service management (CSM)

CSM refers to the organization, supervision, running and administration of services offered to a client,
purchaser, buyer, user, shopper or patron by the seller or provider of goods and services, that is,
building relationship with a prospective customer through the services offered.

Other functions of the front office department include:

 Communication between clients and the organization, for example, answering and making phone calls,
replying to e-mails on enquiry, receipt and sending of letter

 Processing special requests

 Offering advice to clients on products and services offered

 Receiving customer complaints

 Maintain a professional outlook of an organization

 Filing, photocopying, receiving faxes

 Guides guests around the office and facilitates communication between guests and other departments

 Supports the security department by filtering the people walking in and accessing the main office in
the organization.

Layout of an organization’s front office

Layout of the front office refers to the general appearance of the front office area in terms of furniture
placement and design, including colour theme, space and lightig

The layout depends on whether the office is traditional or modern.

The key strategic choice is whether to opt for corporate standardisation or a customised model.

External models adopted in an organization may fall in either of the following:

a) The business activity model, where centres are organised by type of business activity and dispersed
geographically, allowing economies of scale to be exploited for the performance of that business
activity.

b) The end-to-end model where parallel centres exist organised by product or customer, processing the
same scope of work as one another.

c) The virtual model where work (telephony or scanned correspondence) is distributed to, and
processed by a number of geographically dispersed locations (potentially large or small), which are
managed as a single virtual operation.

d) The hub and spoke model where work flows between a central hub that is performing a number of
specialised functions, and remote dispersed locations, typically processing face-to-face and telephony
work.

Examples of internal front office layouts are, counter front office and the control room.

In counter front office, the customers are served on a counter like desk one after the other depending
on their needs. There may be a barrier such as a glass between the recipient and the staff.

Control room, on the other hand, is the layout where the clients are served in a large open room with
various organization officials who are identified by their uniforms or badges.

Offices that handles a large number of customers require a spacious front office with ample chairs for
the customers to sit as they wait to be served or directed to specific departments.

Some offices such as banks, law firms and insurance companies offer tea/coffee making machine or
water dispensers at the reception for their clients.
The colour branding of the front office should be appealing to the visitors and the front desk should
have the business logo and branding that is eye catching. The design should enhance workers output
and also give a pleasant outlook.

Businesses consider whether they should deliver in-house front office services or outsource.

Outsourcing is an allocation of specific business processes to a specialist external serviceprovider where

an organization cannot handle all aspects of a business process internally.

The choices in out-sourcing include full outsourcing, seasonal outsourcing and functional outsourcing
e.g. during peak periods

Outsourcing is an effective cost-saving strategy when used properly. It is sometimes more affordable to
purchase a good from companies with comparative advantages than it is to produce the good internally.

Advantages of outsourcing include:

 It gives the organization more time to strengthen their core business process

 Risk-sharing: one of the most crucial factors determining the outcome of a campaign is risk-analysis.
Outsourcing certain components of your business process helps the organization to shift certain
responsibilities to the outsourced vendor.

Since the outsourced vendor is a specialist, they plan your risk-mitigating factors better.

 Reduced Operational and Recruitment costs: Outsourcing eludes the need to hire individuals in-house
staff; hence recruitment and operational costs can be minimized to a great extent. This is one of the
prime advantages of offshore outsourcing

The disadvantages of outsourcing are:

1. Risk of exposing confidential data: When an organization outsources human resource, Payroll
and Recruitment services, it involves a risk of exposing confidential company information to a
third-parties.

2. Synchronizing the deliverables: In case you do not choose a right partner for outsourcing, some
of the common problem areas include stretched delivery time frames, sub-standard quality
output and inappropriate categorization of responsibilities.

3. Hidden costs: Although outsourcing most of the time is cost-effective sometimes, the hidden
costs involved in signing a contract across international boundaries may pose a serious threat.

4. Lack of customer focus: An outsourced vendor may be catering to the expertise-needs of

multiple organizations at a time. In such situations vendors may lack complete focus on your
organization’s tasks.
The legal framework governing front office services

Licensing

Licencing gives businesses permit to carry out their activities and also helps the government in
regulation of businesses and tax collection. The licences are placed in a conspicuous place at the
business premises, normally at the front desk, so that the business is identified by customers, authorities
and members of the public to legally carry out their activities.

Operating without a licence is an offence that attracts a penalty of imprisonment or a fine.

It is also a false representation under the Consumer Protection Act and a false trade description under
Trade Description Act79

The Advocates Act provides that it is an offence for an unqualified person to wilfully use any name, title
or description implying that he is qualified or recognized by law to act as an advocate. S 33 Advocates
Act

In order to run a law firm in Kenya the following licenses are required:

a. A valid practicing certificate by each practicing advocate in the firm.

b. Certificate of the registration of business names
c. Business permit issued by the relevant local authority according to the Licensing Laws

(Repeals and Amendments) Act , 2006 that amended the Local Government Act .

Safety Standards

Safety refers to the condition of being protected from danger or risk likely to cause injury.

It involves control of recognized hazards to achieve an acceptable level of risk.

The Constitution provides that everyone has the right to a clean and healthy environment. S 40

Employers or selfemployed persons are supposed to ensure that their premises are safe for employees
and visitors.

This includes entry and exist points from the premises. Safety measures to be taken by an organization
to protect its clients include: installing security surveillance systems and metal detectors at the
entrance, notice of slippery floors, indicating emergency exit points, fire assembly points, installing
alarm systems and first aid kits.

Right to information

The Constitution gives every consumer the right to information necessary for them to gain full benefit
from goods and services. Art 46 and 35

The information given should be clear and correct to avoid misrepresentation.

The Universal Declaration of Human Rights as well as of the International Convention for Civil and
Political Rights recognize the right to seek and receive information as a fundamental human right.

It is the obligation of the front office staff to offer to the client full disclosure of all material facts relating
to the goods and services offered

Misrepresentation and Vicarious Liability of an Organization for the Conduct

of its employees

A front office attendant has general knowledge of the organization’s department and their activities but
may not have special knowledge about a product or service as to advise a client on the same.

A misrepresentation is a pre-contract statement that is false or misleading and is given to a recipient

whose reliance on it causes damage.

Statements may be made in form of advertisements in catalogues, brochures, price list, etc. which are
meant to supply certain information.

If a client relies on this information as to cause them damage, the firm may be vicariously liable for the
conduct of such an employee.

This depends on whether the firm is registered as a limited liability. If it is not then the managers will be
held liable.

Vicarious liability is legal liability that is imposed upon one person for torts (and in some circumstances
crimes) committed by another. It most commonly based upon the employment relationship, making the
employer liable for the acts of the employee that are done in the course of employment.

One of the principles of professional undertaking is that an advocate is responsible for honoring an
undertaking taken by a member of his staff whether admitted to the Roll or not. KCB V ADALA

Negligence may also be a ground to hold an employee or the firm he works for damage caused in
delivery of services or sale of a good. In Donoghue v Stevenson101 the House of Lords held

that a manufacturer is liable for defective product to the ultimate consumer even if there is no

contractual relationship between them. In that case a consumer has been defined as a person

who is in contemplation of the supplier by directing his mind to the acts or omissions in

question. A customers who steps into an organization is therefore protected by this common

law principle with regard to the products received by him/her even from the front office staff.
Emerging issues in offering front office services

Today, organizations can interact with customers through a myriad of channels, inservices social media

Research shows that consumers prefer phone and internet interactions rather than physically coming
into an office to make inquiries.

Interestingly, web self-service is nearly as popular as surface mail, as its being used in front office
strategy.

It seems to be growing in popularity as surface mail declines. Technological developments such as filing
in forms online to be served by an organization’s staff and going through Frequently Asked Questions
(FAQs) show how much progress made by offices in advancing their way of serving clients.

Key Challenges in offering Front Office Services

a) Difficulty in understanding, targeting and servicing clients. This is because front office

staff usually have a limited ability to derive true client insight and understand client

needs on the basis of existing management information.

b) There is often no clear link between revenue targets and client planning thus opportunities to
customize the service proposition by client are missed.

c) Poor usability, performance and integration of CRM with desktop applications such as Outlook and
Excel, with other internal systems, and external data providers

Standards, Policies & Procedures

Standards

A standard is a written limit or rule that is approved and monitored by an agency as the minimum
benchmark acceptable, or Technical specifications contained in a document that lay down levels of
quality, performance, safety, or dimensions of a product.

In an organization a standard is a document approved by a recognized authority that provide, for

common and repeated use, rules, guidelines or characteristics for products and services, whose
compliance is mandatory.

The important aspects of a standard are its elaboration by consensus, formality and its subsequent
consistent practical use.

Standards don’t have to be confident.

Policies

A policy defines a particular approach in practice. All Policies must have a named person who is
responsible for the policy
The Black’s Law dictionary defines Policies as the general principles that guide the government.
Government for example public health policy, public opinion policy

A Policy is therefore the comprehensive and contemporary programme that aims at measuring an
organization’s ability to provide efficient administrative support within the organization.

Procedures

methods for accomplishing or implementing a Policy..

is the systematic elaboration to ensure successful implementation of a Policy. For example; how to
implement a Policy in order to achieve a prescribed Standard.

Also include identification of persons authorised to implement the elements of the procedure.

LEGAL FRAMEWORK ON STANDARDS, POLICIES AND PROCEDURES

Constitution

Chapter eight of the Constitution establishes the Parliament, which is The legislature mandated to make
Laws.

Article 94(3) provides for the framework for delegated Legislation, providing that any legislation
conferring delegated legislative powers on any Person(s) shall specify its objectives, limits of authority,
nature and scope, principles and Standards.

Article 43, provides the benchmark for the Standards and Policies formulation for realization Of
Economic and Social rights.

Article 191, harmonizes (Standardization / uniformity) the National and County legislations to Avoid
conflict of Laws and policies formulated by the two respective levels of government.

Similarly, article 232(1) gives a benchmark of the values and principles guiding the Public Service in
policy formulation processes.

It also prescribes the highest standard for professional Service.

article 244; prescribe the highest standards of professionalism and Competence for the National Police.

The Constitution provides the general framework and guidelines for Standards, formulation of policies
and procedures. For example;

Article 27 provides for equality and freedom from discrimination;

Article 28 addresses human dignity;

Article 30 prohibits slavery and forced labour;

Article 232 of the constitution provides for the participation of the people of the republic of Kenya in
Policy formulation.

The Standards Act, chapter 496 Laws of Kenya

Sections 9, (2) of the Standards Act provide as follows:

Where a Kenyan Standard created under subsection (1), the Minister, on the advice of the Council shall,
gazette a date after which no person shall manufacture or sell any commodity, method or procedure to
which the relevant specification or code of practice relates unless it complies with that specification or
code of practice

The Verification of Conformity to Kenya Standards of Imports Order, 2005 (The 2005 Order),pronounced
that a person who imports goods must ensure that the goods meet Kenya Standard…

LEGAL EDUCATION ACT

Susan Mungai V The Council for Legal Education. Petition No.152/2011 to the

Effect that the Council has the power to set Standards to ensure that the highest professional Standards
in the profession and it is not for the Court to be concerned with the efficaciousness of the decision
made pursuant to the Regulations.

EMPLOYMENT ACT

S 6… Sexual harassment

S 27…leave

S 31…water

Work Injuries Benefit Act

Section 7 of the acts states that every employer should obtain and maintain an insurance policy.

Labour Institutions Act 2007

Section 47 sets the conditions for minimum wages and other conditions of work.

HIV/AIDS Prevention and Control Act 14 of 2006

Section 31 deals with discrimination in the workplace. In section 31(1) no discriminating and employee's
employment or promotion or transfer, on the ground only of his actual, perceived, or suspected HIV
status. A policy statement addressing the issue of HIV/AIDS in a company is crucial and procedures of
implementation prescribed and further procedures instances where the policy is not observed or is
circumvented.

STANDARDS IN KENYA: A GENERAL OUTLOOK

In Kenya, Standards regulate virtually all spheres of life.

Professional firms have to conform to standards prescribed by laws and monitored by their respective
professional associations. LSK CODE OF CONDUCT, JSC CODE OF CONDUCT

Individual conduct and behaviour has to conform to the criminal and civil laws. Ultimately, everything
has to conform to the Constitution.

The constitution 2010; Article 43(1) provides for the right to highest attainable standards of health;
adequate housing and reasonable standards of sanitation.

The Constitution 2010 has also dedicated an entire chapter to setting standards of conduct for all public
servants at Chapter 6 on leadership and integrity.

The constitution 2010 article 94 gives Parliament role to set standards through legislations.

The preamble to The Standards Act reveals the objective of The Act to be-

“An act of Parliament to promote the standardization of the specification of commodities, and to
provide for the standardization of commodities and codes of practice…

JUDICIAL ENFORCEMENT OF STANDARDS

The Judiciary has also been practical into upholding and breathing life into standards. The following
cases serve

Republic v Kenya Bureau of Standards & 2 others Ex-parte Peter Mbwiri Ikamati [2014] eKLR

In this case, the applicant sought to bring his car together with other personal effects into the Country
after he had completed his studies abroad..8 years old.

Applicant’s was wrong on the standard and he sought to invoke constitutional rights to property…
standards limit the right since its not absolute

John Kinyua Munyaka& 11 others v County Government of Kiambu& 3 others [2014] eKLR

…acholic drinks standards…

Prescription of Standards

There are 6 categories of standards:-

Glossaries or definitions of terminology,

 Dimensional standards,

 Performance standards,
Standard methods of test,

 Codes of practice, and

 Measurement standards

Organizations that developed standards in Kenya included:-

KEBS

KCAA

NEMA

POLICIES AND PROCEDURES

A policy outlines what an organisation, a company, or even a nation hopes to achieve and the methods
and principles it will use to achieve them.

A policy document is not a law but it will often lead to creation of a Law.

Objective and role of policy

Policy’s objective is to regulate and guide operations.

They provide specific guidance on implementing the strategies.

They also provide a control mechanism of the organization’s behavior, of all persons,

They also define roles and rules;

explain consequences of actions and behaviour.

POLICY FORMULATION: GENERAL GUIDELINES

There are two dimensions in formulating policies

These dimensions include the vertical and horizontal.

The vertical dimension sees policy as rules. It is concerned with the transmission downwards of
authorized decisions.

The authorized decision makers select courses of action, which will maximize the values they hold, and
transmit these to subordinate officials to implement.

This dimension stresses instrumental action, rational choice and the force of legitimate authority.

The horizontal dimension sees policy in terms of the structuring of action. It is concerned with
relationships among policy participants in different organization.

Consists in the structure of understandings and commitments among participants in different

organizations as well as the hierarchical transmission of authorized decisions within any one
organization.
STEPS IN POLICY FORMULATION

Research and consultation is imperative when developing a policy.

This will increase the knowledge on the constrains that have been put in place and also will give time to
look at the problem one is trying to cure, in order to draft a comprehensive policy that will also be quick
to adopt and easy to implement.

There are steps that one ought to follow in order to make a good policy

1) Identify and define the problem

know the problem that is there that necessitates a policy. This will lead to the understanding of the
purpose of the policy.

2) Setting and building the Agenda through a priority list of the problems an organization is seeking to
rectify.

3) Formulating the policy by researching on what other organizations have done. It involves a lot of
consultation of stakeholders as well.

4) Presenting and adopting the policy by the Management.

5) Communicating and popularising the policy for people's understanding.

6) Implementing (action stage): many policies are carried out by administration agencies; it is therefore
important that the policy is carried out and punish the noncompliance

7) Monitoring, Evaluating, Reporting, and learning from the outcomes of Implementation of the policy.

A good policy Document should include the following:

a) Policy name

b) Effective date of the policy and date of any revisions

c) Purpose of the policy that is to say what it is intended to promote or achieve.

d) Main policy statement

e) Definitions of any key concepts or terms used in the policy.

f) Scope of permissible exceptions and who is responsible for making exceptions to the

general application of the policy

g) Positions in the organization responsible for implementing and monitoring the policy.

CONSTRAINS IN POLICY IMPLEMENTATION

Implementation of policy in an organization is faced with various constrains. These include;

constrains from the parent organization, the umbrella organizations, regulatory bodies,
government policies, and legislation. This will ensure regular policies and consistent ones. For instance in
the case of Brown122, where there was a policy that allowed two separate schools;

one for whites and the other for blacks, it was held the policy was unconstitutional. The

constitution was providing for basic education for all.

There are basic critical factors that are very crucial to implementing public policy. These

critical factors are communication, resources, dispositions or attitudes, and bureaucratic

structure.

The four factors operate as discussed hereunder:

There are factors that hinder effective implementation of policies, these are:

Lack of public awareness about the policy among the people it concerns. The people may

misunderstand a policy and resist it in ignorance or there may be lack of information about the

policy with no clear procedure for the policy implementation.

Bureaucratic structure, lack of efficient structure especially where there is organizational fragmentation
it may hinder the coordination.

General perceptions and attitudes of people also affect policy implementation, this may lead to use of
many resources to overcome people’s perceptions or culture.

PROCEDURES

AN OVERVIEW

This is what determines the success of a policy. Procedures implement all aspects of the policy by
detailing systematic action plan, creating awareness, and ensuring conformity.

Procedures in human resource management for example, are mainly required in the area ofHandling
grievances, Promotional issues, Disciplinary areas, Capability (performance) issues and Redundancy
issues.

2 3.2.2 ATTRIBUTES OF GOOD PROCEDURES

They are simple, clear and accurate, consistent with the objectives and policies of the

organisation. They are documents for reference. Periodical reviewing to ensure they conform

to the challenges of the external environment. They must be consistent with public policy and

the legal statutes, and the top management must approve them.

STEPS IN DEVELOPING PROCEDURES

1) Identify the organization's need for the procedure.

2) Seek support and approval from the top management giving reasons to justify the procedure. .

3) Define the scope- establish the precise scope to be covered by the procedure to avoid deviation from
the objectives of the policy.

4) Collecting & documenting current information to form a good base for comparison.

5) Prepare a draft procedure.

6) Obtain comments on draft procedure.

7) Obtain authorization for use of procedure.

8) Publicise and circulate the procedure.

9) Periodically review the procedure to ensure it effectively implements the policy by ensuring a
feedback mechanism and documenting lessons, success, and failures

STANDARDS, POLICIES & PROCEDURES IN THE LEGAL PROFESSION

Keeping of Accounts

Practicing Advocates are guided by a set of rules (policies) created pursuant to the Advocates Act
Chapter 16 Laws of Kenya and the Law Society of Kenya Act Chapter 18 Laws of Kenya.

Individual Law firms have also developed their internal policies that reflect the Law firm’s commitment
to the regulations made by Law Society of Kenya and the Judiciary.

Advocates (Accounts) rules

Rule 3 provides that an advocate may keep one client account or several as he deems fit.

He should also keep separate accounts for each client.

Rule 4 states that the money shall be deposited in the clients account without any delay.

Where money that does not belong to a client has been deposited into a client’s account, it should be
paid out as soon as possible.

The rules provide that the advocate cannot withdraw any money from the account unless with the
consent of the client.

The books of records shall be kept to show all dealings of the account and preserve the records up to at
least six years.

In Re Clayter….case on handling of client's funds

Standard

The standard of accounts with respect to client’s money is that there should be two separate

accounts. One is for the advocate’s personal money and the other for their client’s money.

Every advocate shall at all times keep, properly written up, such books of account.
3.7.3

Policy

The policy is to provide transparency and accountability, which ensures that there is no

embezzlement. Every end of a financial year, the accounts is tendered for auditing before an

advocate can renew a license.134

3.7.4

Procedure

Complaints about an Advocate's conduct are lodged to the disciplinary committee.135 The

complaint is made by affidavit by the complainant setting out the allegations of professional

misconduct. If an advocate is found to be guilty of the offence, he may be punished in the

following ways:

1.Advocate may be admonished.

2. Advocate may be suspended from practice for a specified period not exceeding 5 years.

3. Name of the advocate may be struck off the Roll of Advocates

4. A fine not exceeding one million shillings or a combination of the above orders as the

committee deems fit.

5. An advocate pays to the aggrieved person compensation or reimbursement not exceeding Five
million shillings

INFORMATION COMMUNICATION TECHNOLOGY

INTRODUCTION

The acronym Information and Communication Technology (ICT) includes all technical means that are
used for handling information and facilitating communication, including computers, network hardware,
communication lines and all the necessary software.

ICT is comprised of information technology, telephony, electronic media, and all types of process and
transfer of audio and video signals, and all control and managing functions based on network
technologies

1. THE LEGAL AND INSTITUTIONAL FRAMEWORK REGULATING ICT IN KENYA

The constitution. Art 34 (1) Freedom and independence of electronic, print and all other types of media
is guaranteed.

Article 35
(1) Every citizen has the right of access to—

(a) information held by the State; and

(b) information held by another person

The move from paper to electronic forms is a vital step in the evolution of modern organizations from
the analogue to digital spectrum.

ICT is being used to enhance efficiency both in the judicature and in the legal profession, ensuring open
access, transparency, and accountability.

The Judiciary

The Judicial Information Communication Technology Committee, established on 15thOctober 2008,

plays an oversight role on all Information Communication and Technology matters in the Judiciary.

The committee is guided by The Judiciary Strategic.

The Committee has initiated several activities such as: the digitization of court records and the creation
of a case management system, development of the ICT policy and strategic plan, establishment of
communication infrastructure, acquisition of hardware and software, and tele-presence court sessions.

Achievements of the Judiciary with reference to ICT

The judiciary during the Willy Mutunga reign has made a couple of steps in bringing ICT within

the confines of the courts. The most relevant ones with regards to this project are as follows;

1. Installation of the tele-conferencing court system

The first cases were relayed in October, 2010 from Mombasa during the official launch of the ICT Policy
and Strategic Plan. The Court of Appeal heard three cases via video conference where the bench sat in
Nairobi while the respective lawyers were in Mombasa.

It was envisaged that if the pilot tele-justice system in the Court of Appeal was successful, then the
system may be employed.

We also made observations of the High Courts and Courts of Appeal where ICT projects were

implemented and what benefits it promoted.

The Judicial Information Communication Technology Committee, established on 15 th October 2008, plays
an oversight role on all Information Communication and Technology matters in the
Judiciary. The committee is guided by The Judiciary Strategic Plan.

The Committee has initiated several activities such as: the digitization of court records and the creation
of a case

management system, development of the ICT policy and strategic plan, establishment of communication
infrastructure, acquisition of hardware and software, and tele-presence court sessions.

Achievements of the Judiciary with reference to ICT

The judiciary during the Willy Mutunga reign has made a couple of steps in bringing ICT within

the confines of the courts. The most relevant ones with regards to this project are as follows;

1. Installation of the tele-conferencing court system

The first cases were relayed in October, 2010 from Mombasa during the official launch of the ICT Policy
and Strategic Plan. The Court of Appeal heard three cases via video conference where the bench sat in
Nairobi while the respective lawyers were in Mombasa.

Used in covid times.

3. Creation of a data centre and installation of important ICT devices

A data centre is already at the Supreme Court and is awaiting configuration. It will house computer
systems and associated components, such as Tele-communications and storage systems. It includes
backup power supplies; redundant data Audio visual recording and transcription systems have been
installed in 35 courtrooms in Milimani Law Courts, the Court of Appeal at Elgon Place, and the Supreme
Court in an attempt to reduce human error in recording proceedings.

4. Leasing of ICT hardware devices and bar coding of purchased devices

The Judiciary has moved to reduce the cost of buying and maintenance of printers by leasing them.

All court stations have multi-function printers on lease that will allow for scanning of court documents.

In order to safeguard and track ICT equipment, all new purchases are now being bar-coded.

Information will eventually be uploaded into the Configuration Management Database System. In case
of theft or loss, the items will then be discoverable online and their status determined at the click of a
button.

5. Staff training on ICT

The Staff in the High Court at Mombasa and Eldoret have been trained in readiness for the deployment
of the case management system.

The Judiciary Transformation Framework, 2012 –2016 these stations will in turn be interlinked in a Wide
Area Networks.

How ICT has affected the Judiciary

I.ICT has enabled the Digitization of Court Records

The digitization of hardcopy records was the first step taken towards automating court processes.

With the assistance of the ICT Board, the Judiciary organized the court records for the last ten years and
a total of 325,000 files were prepared for digitization. By October 2010, Digital Scape Company Ltd and
DPH India which were the firms awarded the contract to digitize the records had scanned five million
pages of the thirty million targeted pages of court records.

So far, more than 100 million pages of High Court rulings and 10,000 Court of Appeal records have been
converted into electronic format for easy access.

11. Record keeping

Through availability of softball copies.

III.Efficient management of the courts.

ICT through the integrated case management system is capable of managing diaries of both judicial
officers and courtrooms; keeping an online repository of documents and recordings.

This benefit is evident in the fact that various Persons in the legal profession are able to access the
online cause

lists from the National Council for Law reporting (Kenya law) official website.

IV. Automation of Revenues

Faini chap chap for traffic offenders.

Case Management System. U see the parties, and are able to pay online.

Effect on Judges and Magistrates

Every judge was issued with an ipad and an iphone.

Every magistrate was issued with a laptop

Criticism

Expensive

Wastage

Seldom use

Damage to equipment

How ICT has affected lawyers

1. Advertisement
Through blogs

OkeyoMwanza George v Ag

2. Revolutionalized Research
3. More job opportunities.cases invoice ICT. Royal Media Services v Ag
4. Effective communication between stakeholders.
5. Proper documentation and record keeping
6. Electronic Evidence at their disposable

Sec 106B

The electronic record was produced, fed into or derived from the computer in the ordinary course of
business by a person having lawful control over the computer and that the computer was operating
properly or if there was any way in which

it was not operating properly, then such malfunction was not of such a nature as to affect the
electronic record or the accuracy of its content.

7. Confirm if the adverse advocate is qualified to practice

8. Has also reduced some jobs. Some documents can now be generated online

Effect on Paralegals

1. Easier to take notes

2. Easier to do research

Effect on students

1. Access to research
2. Online classes
3. Online discussions

Emerging Issues

A. Admissibility of Electronic Evidence

Republic v Edwin kirui…electronic Evidenxe. Police firing at protestors.

B. E-GOVERNMENT

Easy to get documents. Ardhisasa

C. Online Advertisement
D. Online Defamation

Duncan Muriuki v Baobab Resort (Petition no 223 of 2012), and the plaintiff complained that some
words published on the hotel’s Facebook page were defamatory.

An interlocutory order was granted requiring the respondent to removing infringing content.
 E. Electronic Signatures
F. Cyber Crime

deliberate interference with radio communication, improper use of telecommunication systems and
misuse of electronic devices.

The penal code has also incorporated cybercrimes. For instance, Section 267 has included information as
a thing that is capable of being stolen and therefore anyone who steals data from another’s cyber space
is guilty of the offence of theft.

Impact on the life of an advocate

1. Advocate-client relationship

Inability to monitor information. Inability to include disclaimers.

2. Blogging

Liability in case of wrong advice.

3. Relationship between Advocates and Judges

Communication easier thru platforms such as WhatsApp

Possible beach of ethics.

Advocates liability for things posted on Social Media

Lawyers are also bound by the International Bar Association (IBA) Principles on Social

Media Conduct for the Legal Profession. According to the guidelines, lawyers are required to monitor
their online and offline conduct, exercise restraint to ensure posted statements should be true and not
misleading.

The guidelines require law societies and regulatory bodies to encourage law firms to consider
developing clear and coherent policies and guidelines on social media use.

In conclusion, the legal profession involves a great deal of documentation and information processing,
storage and retrieval. For this reason, there is need for tools and technologies that would speed
documentation, information processing, storage, and retrieval. These tools and technologies are not
only important but also professionally necessary.

Therefore, ICT is crucial in the administration of justice.

Use of ICT in the legal profession is a timely investment.

RECORD MANAGEMENT

Records Management refers to the creation, management, storage and destruction of records.
According to the United Nations Archives and Records management section, record Management is
defined as the “the efficient and systematic control of the creation, receipt, Maintenance, use and
disposition of records.”

It also goes further to add that “records management Is the process of identifying and protecting
evidence, which comes in the form of records.”

According to Brumm, record management is the application of systematic and scientific control to All
the recorded information that an organization needs to conduct its business.

from a Legal practice management standpoint……

the creation and collection of information With regards to a legal brief, the subsequent maintenance
and storage of that information; filing or Electronically stored and the inevitable deletion of the records.

record Management is termed as “the study of the theory and practice Relating to the creation,
acquisition, processing, management, retrieval, and dissemination of Information.

Allows effective use of resources. Records of no use are disposed off.

Effective retrieval system of authoritative information of previous transactions.

Effective handling of confidential information. Ensuring there are no leaks.

Incomplete information may lead to losses. For example in payrolls e.t.c

.1 Advantages of a good records management system

 Improved accessibility and retriveability of information by authorised users.

 Increased productivity with less time used accessing records to attain information requisite for
objective thus better management decisions are made when information is availed.

 Improved accountability.

 Improved information integrity and preservation of organization memory

Principles of Record Management

i.Principle of accountability

Someone should be made responsible for purposes of being held accountable for the management of
records in an organization. A senior executive or a person of comparable authority shall oversee the
information governance program.

ii.Principle of integrity
The system for managing records ought to be one that is authentic and that which can be relied upon by
the organization in planning and budgeting, settling of disputes and in the policy and decision making of
the organization.

iii.Principle of retention

Records are to be maintained for a justified period and thereafter may be destroyed to create room for
newly generated records.

Record management services provide the corporate memory of an organization. They preserve the
evidence of an organization’s activities; enable timely access to current administrative information and
to ensure that they are not inadvertently destroyed.

iv. Principle of protection

The information governance program shall be in such a manner that ensures utmost secrecy and Safety
of information. A reasonable level of protection for records and information that is private,Confidential,
privileged should be exercised.

v.Principle of disposition

An organization shall provide secure and appropriate disposition for records and information that Are no
longer required to be maintained.The disposition phase is considered to be equally important

When it comes to the legal and economical maintenance of office records. Records can be legally
Destroyed at the end of their active lives. Other records become semi active and are retired to Records
storage area for convenient storage. The records with long term value are returned to the Archives for
permanent storage.

vi.Principle of transparency

Records are to be documented in an open and verifiable manner and the documentation shall beMade
available to all personnel and the appropriate interested parties

vii.Principle of compliance

The information governance program should be construed to comply with legal, regulatory and
Standard requirements
viii.Principle of availability

Records should be maintained in a manner that ensures timely, efficient and accurate retrieval of
Information needed. The cost of maintaining records should be minimal.

CONCEPTS AND METHODS OF RECORD MANAGEMENT

Two prominent Theories:-

A. The Continuum theory

B. The Record life Cycle Concept

The Continuum Theory

The records That are subject of management and utility are incorporated into a perpetual state of use as
opposed

To the record life cycle that captures the “death” or outlived usefulness of a record. TheInternational
Council on Archives defines the continuum concept as “a consistent and coherent Process of records
management throughout the life of records, from the development of Recordkeeping systems through
the creation and preservation of records, to their retention and use

Record Life….documents cease being of use with time.

Factors to consider in Retention of Records

b. Need for future reference – Any document that may be required in the future should be
retained.
c. Need for legal reference – Any document that can be used as legal evidence should be
maintained.
d. Cost of storage - If the cost is high as to lead to losses then some or most will have to be
done away with on the basis of importance.
e. Legal requirement – the law requires that certain documents should be retained or even
displayed within the business premises.
f. Volume of records – if the volume is low, there is no need to destroy them and if it is
high

The phases

1. Creation
2. Use n retention
3. Disposal

Methods of record Disposals

A. Papers
1. Shredding
2. Normal waste procedure where the info is not sensitive. For example, recycle bin
3. Burning/inceneration
4. ion.
 5. Pulping-Pulped paper is reduced to its constituent fibers. If carried out correctly, it is a very
secure method of destruction. Pulped paper is usually recycled.

B. Electronic records

Deleting- this is the simplest, easiest and most appropriate method for non-sensitive/nonconfidential
records because it involves hitting the delete key. However, this is not exactly

The same as destroying records because it just destroys the access to the record. The records May
continue to exist in the storage medium until they are overwritten and can be recovered Using digital
forensics.

Overwriting – this is to destroy old data by recording new data over it. This makes the

Possibility the records can be recovered much more remote than simply hitting the delete Key.

Degaussing (magnetic media) – this involves exposing magnetic media (such as tapes and Floppy disks)
to a powerful magnetic field to scramble data. It may take multiple passes of The magnet over the
storage media to ensure that the records are properly destroyed.

Physically destroying storage media – this is the most appropriate method for the most
Sensitive/confidential records. It involves shredding, pulverizing and incinerating.

Methods of Records Management

Electronic Records Management

Electronic records are informational or data files that are created and stored in digitized form through
the use of computers and applications software.

Electronic records include numeric, graphic, audio, video, and textual information which is recorded or
transmitted in analog or digital form such as electronic spreadsheets, word processing files,

Two major trends in the world have made record management move to the top of every corporation’s
and the government’s short list. The first is the continued explosive growth of electronic records….

The second trend is the increasing number of statutory requirements, legislations, and supporting
business practices needed to maintain control of these records.

Once records have been created, they must be managed and maintained for as long as required to
ensure their authenticity, reliability, integrity and usability

challenges and Concerns over Electronic Records

within a short period of time, often only a decade, digital records can become unusable because the
medium in which they are stored might become unreadable. E.g floppy disks and magnetic taoes
Electronic records management can be outdated. Unlike paper documents, which can be read directly
by the human eye, a digital record requires the intervention of machines. Without therelevant
hardware, the medium on which electronic records are stored cannot be read. Even with the right
hardware, records will not be readily available in a human-readable form without the software program
that originally created that record.

Owing to lack of authentication in electronic records, there is potential for corruption and fraud in the
electronic environment.

Use and Maintenance of Electronic Records

Records captured into an electronic records management system must be protected against intentional
or accidental alteration of their content, structure and context throughout their life to retain their
authenticity.

Records must also be accessible and available on-demand, which means adequate indexing, must be
applied prior to committing the document to a storage system.

The storage system must be subject to media decay or become obsolete, which would endanger the
status of the record itself. Some of storage media include: hard disks, floppy…continuous updates….

2 Filing

Filing refers to the process of classification and designation of records to the correct location in the file
plan.

As far physical filing is concerned there are two systems of filing that an organization can

implement and these arecentralized filing system and decentralized filing system. Centralized

filing involves all of the records being held in one location in the organization. This type of filing

ensures that there is greater control over the files which enhances uniformity and consistency.

Decentralized filing scatters the filing in all areas of the organization. It is most useful when there

is only one primary user of a specific record. This type of filing reduces misplacement of files and

limits the accessibility of files thus promoting confidentiality

17.2.1 2.3.2.1 Modes of filing

Physical filing can be effected in the following modes:

Alphabetical Filing-This is the arranging of records in alphabetical order. This proves to be most

helpful when records are retrieved by name or topic. Alphabetic files can be arranged either in a

Dictionary order whichinvolves each subject being allocated its own problem or Encyclopedic
order whichentails subjects being grouped into major headings.

Subject Filing System-Subject filing method involves the record manager assigning a phrase that

distinguishes the file from the rest of the other files and this will serve as the title to that record. It

involves the use of a file or records descriptive features or underlying subject to act as its signature.

Miscellaneous Filing-The primary aim of this filing is to act as a temporary holding area for files

that are of no utility value to the organization.

Geographical Filing-This is a filing system that arranges records in an alphabetical or numerical

order based on the geographical source or destination of the record.

Chronological Filing-A chronological system is most useful for records that are created and

monitored on a daily basis. Folders are arranged by sequential date order. It is use of both letters

and numbers to organize records.

17.2.2 2.3.2.2 Importance of a Filing System

Continuum of Records-A filing system ensures that there is perpetuity of information and

records. This is to say that a filing system ensures retention of records and information in an

organization for future reference.

Organizational efficacy-Filing systems reduce the time required to retrieve records and

information and this culminates to a shorter decision making time for the organization

Communication uniformity within an organization and between organizations.A filing

system ensures that there is uniform communication in an organization by accurately categorizing

and organizing records and information so that their retrieval and dispatch from any organizational

level are constant.

Easy orientation of new personnel in handling and retrieving files.Where there is a set system

of record storage such as a filing system, there is ease in familiarizing record protocol to new

personnel and also personnel that have been newly transferred to that division of the organization.

Ensure compliance of legal and audit record retention standards.There are statutory

requirements that will be expounded in the next chapter that oblige organizations to maintain

certain records that are crucial such as employee records and tax remittances. A filing system

ensures that these records are well tended to and inventoried.

LEGAL FRAMEWORK FOR RECORDS MANAGEMENT

Article 2 of the Constitution of Kenya.

The Constitution of Kenya

Article 31 of the Constitution of Kenya enshrines the right to privacy which requires that an individual’s
information relating to family or private affairs shall not be unnecessarily required or Revealed, nor their
communications infringed.

Article 33 provides for the freedom of expression: the freedom to seek, receive or impart information or
ideas.

S 25 Data Protection Act…data process or date controller to ensure privacy of information.

Acts of Parliament

Records Disposal Act Chapter 14 of the Laws of Kenya

This provides for the disposal of records which are in the custody of the High Court and other
Subordinate courts, or of the Registrar-General being the Attorney General of the Republic of Kenya,
which are of no further use and need not be preserved permanently.

The Chief Justice And the Attorney General in deciding which record to dispose must liaise with the
Chief Archivist Subject to the provisions of the Public Archives and Documentation Services Act.

Public Archives and Documentation Services Act

This Act provides for the proper housing, control and preservation of all public archives and public
Records.

Also provides for national documentation and information retrieval services, public Access to public
records, not to forget the destruction of public archives.

The Public Procurement and Disposal Act Cap

This provides for the disposal of stores and equipment’s of a public entity that are unserviceable…
includng valueless records
Establishes a Disposal Committee to decide the best method of disposal, be it, destruction, a

Kenya Information Communication Act

provides the legal basis for publication of laws in electronic format essentially giving

Recognition to electronic records.

The Kenya Law Reports and the Kenya Law Reform online are credible sources of information.

The Kenya Information Communication Act read together with the Evidence Act Cap 80 provide for
admissibility of electronic records in evidence in both criminal And civil proceedings.

International Law and Standards ILO Code of Practice on Protection of a Worker,1997

ILO’s code of practice on protection of a worker requires that personal data appertaining to a Worker,
be used lawfully and fairly, and only for reasons directly relevant to the employment of a

Worker.

International Financial Reporting Standards

The International Financial Reporting Standards (IFRS) have a bearing in how an entity organizes and
manages its records to ensure compliance And global competitiveness.

The standard Is made up of 2 parts. ISO 15489-1:2001, Part 1: General which outlines a framework For
best practice, and is intended as a general briefing document, on the basic principles of Managing
records, for all staff and management of an organization. ISO 15489-2:2001,

Part 2:

Guidelines which builds on the best practice framework to give more detailed recommendations For
managing records, including a design and implementation framework for records systems,

SAFETY AND SECURITY

INTRODUCTION

the ‘exit door dilemma’ shows their antagonistic in nature:

“The number of emergency exit doors left opened in a building should be kept at its

maximum in one perspective, that is the safety approach, and to its minimum in the security approach
conflict between safety and security.
On an individual basis, the safety and security of a person can be interpreted as their rights and
freedoms which include right to life, freedom from discrimination, right to dignity, privacy, right to a
clean and healthy environment among others.

(ii) Protection of organizational safety and security rights find expression in Article 41 which expressly
deals with labour relations declaring every person’s right to fair labour practices

(iii) chapter 14…public security.

1) The right to fair labour relations which includes fair remuneration and compensation increase
the morale of workers, their effectiveness and efficiency. It also reduces the risk of illnesses and
related costs like medical care, sick leave and related costs.
2) LIMITATIONS ON IMPLEMENTATION OF SAFETY AND SECURITY

I. The disconnect between security agencies creates a communication breakdown

SAFETY AND SECURITY IN ORGANISATIONS

II.Corruption at the boarders, work stations, National police service

III.Poor implementation framework due to lack of political good will and ignorance of the

same.

IV.Too many laws that create confusion and duplication of roles

V.Political interference or political instability of a country

Definitions

(a) Safety

Safety is the condition of being protected from, or unlikely to cause, danger, risk or injury.

‘Safe’, is defined as ‘the amount of exposure that will cause no harm or danger after exposure.’

(b) Security

‘the state of being free from danger or threat. According to Black’s Law Dictionary, security is defined as
‘protection; assurance; indemnification

2.2.1 Safety in the Workplace

employers and Employee need to be aware of the hazards associated with their jobs and legal rights
and Obligatitions.

Some of the primary causes of fatal Workplace injuries are human error, procedural insufficiency, and
equipment inadequacy and Malfunction.
Advantage of an efficient policies in Organizations

Employee health and safety aid greatly in the productivity and competitiveness of an organization.

An organization is able to meet all its organizational goals thus, in the long run, greatly improving

National and global economies. The general employee morale is raised because employees are Certain
of their safety in their various workplaces. Highly motivated employees naturally perform better

Occupational diseases are reduced hence reducing the amount Of budget used for ttreatment

Security in the Workplace

Threats to an Organization’s security may be from external sources or they emanate from within.

They can be violent threat to people and assets, such as a bomb threat or robbery but may be more

Covert, for instance the illegal use or theft of information.

Nevertheless any interference with a Worker’s right and freedom to work peacefully and earn a living
from their job affects their job Security; job tenure, freedom from discrimination and forced labour are
pertinent issues.

In order to prepare for an emergency, an organization ought to:

To undertake a risk assessment;

Identify its assets;

determine the potential impact of an accident; and

how to minimize risk by providing sufficient emergency equipment and exit and recovery strategies.

The Law on Occupational Safety and Security

The main statutory provisions dealing with safety and security in the workplace are: the

Employment Act, 2007, Cap. 226, the Work Injury Benefits Act, 2007 (WIBA), and the

Occupational Safety and Health Act, 2007 (OSHA). These statutes find their basis in Article 41 of The
Constitution which provides for the right to reasonable Working conditions.

Conventions of the International Labour Organization (ILO) also apply

Occupational Safety and Health Act was enacted to place obligations, on an occupier employer And
employee regarding proper safety measures,

use of protective equipment,

duties to report Hazards,

creation of a safety policy,

the establishment of safety and health committees in Workplaces, and a safety audits and risk
assessments.

The Act also contains provisions on general health provisions, Machinery safety, and chemical safety

S 6 duties of employers

S 13 duties of employees

S 14 duty to report

The Work Injury Benefits Act provides that an employee involved in an accident or who contracts An
occupational disease arising out of and in the course of their employment that result in either
Temporary or permanent total or partial disablement, or death, has a right to compensation from His or
her employer.

Every employer is required to take out an insurance policy for this purpose.

And shall provide appropriate medical aid such as first aid.

The Employment Act provides that Employers must protect employees from sexual harassment and
discrimination by creating a policy Statement and take disciplinary measures against perpetrators of the
same. S 6 sexual harassment
An employee was discriminate on grounds of HIV/ Aids. S 5 Employment Act

Employers must also regulate the hours Of work(s 27) leave(s 28), housing, water, food and medical
attention aim to ensure the wellbeing and safety Of an employee.

Office Security

Effective physical barriers like alarm systems and security guards can reduce the likelihood and severity
of threats.

screening procedures and checkpoints at entry points

issuing name tags,

control badges with employees’ photographs, and

key-card access systems.

designate a head of security and mobilize the available local resources such as the fire brigade,
ambulance and police.

Job Security/ Job Tenure

the probability that an individual will keep his or her job. It is the protection of workers against
fluctuations in earned income as a result of job loss.

The job security of Kenyan workers was recently raised when Tracy Barnes, the Group

Job security and tenure can be statutorily provided for. For example, the Constitution offers security of
tenure to the Chief Justice and other judges

Employment Act s 35 Termination

NATIONAL SAFETY AND SECURITY

National safety and security can be defined as the actions and policies taken by a nation against both
internal and external threats to its borders and economy stability.

Internal security threats include petty crime, serious organized crime, political or industrial unrest or
even domestic terrorism.

External security refers to protection by military against external aggression usually by a state’s military
wing

All to ensure service delivery to the people by the state, foster and boost economic growth and private
sector development,

STATUTORY PROVISIONS

The national security docket is vested in the National Government.

Challenges
Resource management, insufficient resources, political interference, corruption and the status Accorded
to the security docket.

Article 238(2) provides for the principles that promote and guarantee national security in Kenya

To include: utmost respect for the rule of law, democracy, human rights and fundamental freedoms and
diversity.

KDF is a national security organ, established in the Constitution under Article 241 and under the Kenya
Defence Forces Act.

The Defence Forces are responsible for the defence and protection of the sovereignty and territorial
Integrity of the Republic;

assist and cooperate with other authorities in situations of emergency or Disaster, and may Be deployed
to restore peace in any part of Kenya affected by unrest or instability only with the Approval of the
National Assembly.

The National Intelligence Service (NIS), a national security organ, established under Article 242 Of the
Constitution, is responsible for security intelligence and counter intelligence to enhance National
security and perform any other functions prescribed by national legislation.261

The National Police Service (NPS) a national security organ established under Article 243 and the
National Police Service Act. The NPS shall be mandated to comply with the constitutional Standards of
human rights and fundamental freedoms; train staff in accordance with the highest possible standards
of competence, integrity and professionalism, and promote relationships

INTERNATIONAL SAFETY, SECURITY AND HEALTH

On the international plane, the United Nations is the organization tasked with the central Mission of
maintaining international peace and securityainly though the security council

Functions

conflict resolution, through preventive diplomacy and mediation

conflict prevention,

peacebuilding activities,
countering terrorism,

disarmament

It has power to enforce sanctions such as collective, military action and armsembargoes..

The International Labour Organization (ILO) has set standards that ensure the protection of employees
at their work places. Some include: Occupational Safety Health Convention, Occupational Health
Services Convention

EMERGING ISSUES IN SAFETY AND SECURITY

Cyber Crime

Cyber crime refers to criminal activity or a crime thatinvolves the Internet, a computer system, or
computer technology28

The Kenya Information and Communications Act deals with electronic fraud, unauthorized access to
computer data,access with intent to commit offences and nd unauthorized access to and interception of
computer service.

Community Policing

It is an organizational strategy, that allows the police and the community to work together in new ways
to solve problems of crime, disorder and safety issues to improve the quality of life for everyone in that
community.

Article 244(e) of the constitution of Kenya, requires that the Service fosters and promotes relations with
the broader society.

Vulnerable Persons

(a) Women and Security

Gender equality is critical to stability and sustaining peace and reconciliation.

UN Resolution 1325 calls for increased womens’ participation at all levels of decision-making.

(b) Protection of Persons with Disabilities and Persons living with HIV/AIDS

Article 54 ..Are entitled to be treated with dignity and respect, to access educational institutions and
facilities and to reasonable access to all places, public transport and information.

Access to building

Washroom facilities

2015, the High Court of Kenya ruled in favour of the persons living with disability, overruling
nominations for disabled persons and the persons living with HIV/AIDS (PLWAS) in Nyandarua County
which had been taken up by able bodied persons.
Persons living with HIV/AIDS face greater risk of occupational diseases and require special attention in
any organization. The HIV/AIDS Prevention and Control Act No. 14 calls for non-dsicrinination. u

Piracy

The prosecution of piracy in Kenya is currently undertaken under the Merchant Shipping Act,

The jurisdiction of the Kenyan courts has been extended to try piracy committed by non-nationals in the
high seas.

Kenya has ratified the United Nations Convention on the Law of the Sea (UNCLOS) which calls for
member states to co- operate in fight against piracy.

Extradition

Extradition is an official process regulated by treaty, whereby one nation, surrenders a criminal suspect
or convicted person to another (requesting state) over whom the latter requests to exercise

And arrest warrant may be issued by a magistrate.

Another emergency issue is terrorism

Communication
Communication is the art of transmitting information, ideas and attitudes from one person to another

the functioning and survival of organisations is based on effective relationships among individuals and
groups.

Communication in organizations encompasses both formal and informal means, by which information is
passed up, down, and across the network of managers and employees in a Business.

History of Communication

The first means of communication was the human voice

In 3,300 BC in Iraq, about 3,100 BC in Egypt and about 1,500 BC in China writing was invented.

However the only American civilization that invented a proper system of writing was the Mayans.

The alphabet was invented in what is now Israel and Lebanon about 1,600 BC.

In the Ancient World many civilizations including Egypt, Assyria, Persia, Rome and China had efficient
postal systems to deliver messages to parts of their empires using relays of horses.

Papyrus and Parchments were the main form of paper that was used until the Chinese invented paper
in about 200 BC.

The Chinese invented printing with blocks in the 16 th century AD but the first known printed book was
the Diamond Sutra of 686.
In Europe in the mid-15th century Johannes Gutenberg invented the printing Press,which made books
much cheaper and allowed newspapers to be invented.

The first Newspapers were printed in the 17 th century and during the same time the European
monarchs Set up postal services to carry their messages.

A Scot, Graham Alexander Bell invented the Telephone

Radio broadcasting began in 1922 in Britain and the television was invented in 1925

B Dr. Martin Cooper made the First cell phone call in the USA in 1973 and smartphones were introduced
in 1996

The original internet was invented in 1967 for military Purposes. It evolved to include electronic mail
(email) and the use of social media

The legal framework

1. Constitution

The Constitution of Kenya,

Official Language is English

National language kiswahili and English

It further provides that the state should promote the development and Use of indigenous languages,
Kenyan sign language, Braille and communication formats and Technologies accessible to persons with
disabilities.

The constitution further provides for freedom of the media

access to information,

and freedom of expression

The Kenya Information and Communications (Amendment) Act, 2013

The Kenya Information and Communication (Amendment) Act, 2013 was enacted to give effect To
Article 34 of the Constitution of Kenya (on freedom of the media).

It created the Communications Authority facilitates the development of the Information and
Communications sectors including; broadcasting, multimedia, Telecommunications, electronic
commerce, postal and courier services.
Its responsibility entails: Licensing all systems and services in the communications industry, Including;
telecommunications, postal, courier and broadcasting,

The Media Council of Kenya

The Media Council Act, 2013 established the Media Council of Kenya as the lead agency in the setting of
media standards and ensuring compliance with those standards.

Its functions include

among others to: Promote and protect the freedom and independence of the media, Prescribe
standards of media practitioners, Develop and regulate ethical and disciplinary standards for journalists,
media practitioners and media enterprises.

The Communication and Multimedia Appeals Tribunal (CMAT)

A person aggrieved by; any publication by or conduct of a journalist or media enterprise, anything done
against a journalist or media enterprise that limits or interferes with the constitutional freedom of
expression of such journalist or media enterprise, may make a written complaint to the Tribunal after
which the Tribunal will notify the person complained against to respond to the Complaint in writing,
upon which it may set a date for hearing the Complaint ethical standards among journalists and in the
media.

ELEMENTS, CHANNELS AND TYPES OF COMMUNICATION

The basic elements of communication include; Sender, Receiver, Message, Medium and Feedback.

The sender initiates the communication process.

Once the message is sent out then the receiver must decode it.

Decoding a message depends on the work environment as well as the value attached to it as far as the
work situation is concerned.

The message is the encoded idea transmitted by the sender. The receiver is bound to be more attentive
once they identify their goals codified within the message.

The medium or channel used to convey a message is equally important. It can be oral, written or non-
verbal.

Each medium has its own set of rules and regulations.

Feedback is the most important component of communication as it signifies that effective

communication has taken place.

Errors and flaws that arise in business situations are largely owed to lack of feedback.

Communication Channels
Some of the commonly used channels and modes include;

Print communication is much used in law firm and courts inform legal opinions, advocate to client
letters, and internal memos among, court pleadings among other legal documents.

Electronic communication channels include among others; email and voice mail, intranets, blogs,
podcasts, chat rooms, business television, video conferencing, instant messaging systems,

Face-to-face communication is used by advocates especially inter alia; when interviewing clients and
making oral submissions in court.

Listening as a channel of communication is one of the most important communication

channels used and consumes most of the time.

Types of Communication

Oral/Verbal Communication, Non Verbal Communication and Written Communication

Oral/verbal communication-This is where information is relayed to the receiver by word of mouth.

The advantage of oral communication is that the information is speedily conveyed and feedback is
automatically achieved. The message however can be distorted more easily.

Written communication-This is where information is conveyed through writing. It relies heavily on

clarity, conciseness and organisation of the author.

Written communication is preferred to because it gives tangible information that can be verified. The
disadvantage is that it is time consuming and lacks feedback.

Non-verbal communication-this largely relates to behaviour rather than spoken or written

communication.

The information sent via physical cues such as facial expression, eye movements, body language and
posture, appearance, voice tone and gestures.

Its advantages include, supporting other communications and providing observable expressions of
emotions and feelings however, misperception of body language or gestures can influence receiver’s
interpretation of message.

THE INFORMATION FLOW PROCESS

This basically involves how information flows at interpersonal, organizational and national levels.

Interpersonal Level

At this level information flows from individual to individual, face to face.

Different factors enable communication at this level. These include: Interpersonal trust-Interpersonal
relationship is strengthened the moment accurate information is conveyed, adequately and timely
feedback on decision is given, openness.

E.g. where managers and supervisors freely exchange thoughts and ideas with their
employees,Technology-

Advantages of interpersonal communication include:

the ability of managers to engage with their subordinates and this not only shows care for the
organisation,

but also care for their employees thus making employees motivated and satisfied at their jobs lessening
communication barriers.

Organisational Level

There are two dynamic systems of communication in the organisational level. These include

internal communication and external communication.

In internal communication emphasis is laid in presenting and interpreting facts while in external
communication emphasis is on promoting goodwill and future business.

Internal communication takes place within the company so it is between co-workers and here
communication flows in several directions i.e. upward, downward and horizontal. External
communication is communication flow outside the company.

a) Downward communication-This is communication by top hierarchy with their subordinates.

It is communication that includes orders, rules, information, policies and instructions.

Its advantages include: Subordinates get useful timely information which helps them in their work
performance, it offers efficiency as instructions and information come from the sources in power that
are able to coordinate activities from the top of the organisation.

Some disadvantages of this mode include: Information can become distorted as it proceeds through
multiple levels of organisation hence feedback tends to be slow and interpretation issues may arise.

b) Upward communication-This is communication from front-line employees to managers, supervisors

and directors. It keeps employers aware of how employees feel about their jobs, policies and
procedures.

Some of the advantages of this process include: Managers can get feedback from employees and this
helps improve organisational development. It brings mutual trust which draws employees and managers
closer.

However some disadvantages are: Filtering happens for example when there is a risk of punishment the
bad parts will be removed and thus distorting information.
c) Horizontal communication-It is the transmission of information between people, divisions and
departments with the same level of organisational hierarchy. Some of the advantages of

horizontal communication include: It decreases misunderstanding between departmentsworking on the

same project, Increases motivation and job satisfaction and with this process implementation of top
level decisions is improved because employees liaise with each other directly in implementation of the
decisions made at the top.

The disadvantages of this processinclude: Control is hard to maintain and it is time consuming if vertical
communication is required to ratify decisions made during horizontal communication, in addition, lack
of discipline may be experienced if strict procedural rules were not followed.

d) Grapevine communication-It is also known as informal communication because there is no definite

route of communication for sharing information. Here communication passes a long way from one
person leaving no indication from where it started and this may result into spread of rumours.

Communication at National Level

The role of the Kenya Gazette is to publish notices of new legislation, publish notices required to be
published by law or police, and announce information for general public.

Office of the Government Spokesperson- the Office of Government Spokesperson seeks to effectively
facilitate communication between the Government of Kenya, its citizens and global

audiences.

The main objective of this institution is to establish an efficient and proactive government
communication system through research, training and information dissemination for

good governance and positive image of Kenya.The office co-ordinates, plans and executes

Government communication while improving the existing network in the Ministries.361In the event

of any crisis or matter of urgency, the office of the President directs the Government

spokesperson to make a press statement for the public, officially. This is to ensure that

communication at the national level is seamless and without error as the information is

disseminated to the public. The government also communicates with other states through its

diplomatic and consular offices globally. In this regard there is reciprocity to ensure that they

establish peaceful and harmonious relations with other states.

COMMUNICATION AND THE LEGAL PROFESSION

In the legal profession, communication is a vital tool. Advocates communicate with clients,

negotiate and transact with other lawyers, litigate, mediate and arbitrate. It may be oral or written.

5.0
Relevance of Good Communication Skills for Lawyers

To communicate effectively it is necessary to understand your audience. Good communication

skills are relevant to the advocate in the following ways:362

 An advocate ought to listen to their client and advise them in clear and realistic terms of the

potential outcomes and potential costs associated with legal services. They also help the

advocate understand both the facts and ideas their audience is advancing and are thus able to

give better advice.

 They enable the advocate to effectively submit their case in court, coherently make their

prayers and where written submissions are necessary prepare submissions that clearly outline

their case and prayers.

 They make it easy for an advocate to establish an understanding with the client regarding future

communication between them in addition to keeping the client informed on the progress of

their case.

5.1

Challenges Faced By Advocates in Communication Process

a) Use of Legalese and the legal profession

Lawyers have very distinctive language which inculcates words from common everyday language

which may have a different meaning in the law (e.g. consideration) and languages from different

jurisdictions. This is referred to as legalese.363This may be a challenge to other parties who lack

knowledge of the legal language364 with respect to interpretation of what is being communicated.

b) Difficulties in identifying and resolving communication problems in practice

Many lawyers tend to assume that they communicate effectively to each other and even to their

clients; hence they don’t keenly scrutinize their communication skills. Due to this assumption, they

descriptions.

Wyer’s professional work, made for the purpose or giving or receiving legal

Difficulties facing advocate

1. Advocate-client relationship
2. Use of legalese
3. Lack of training
EFFECTIVE COMMUNICATION

Effective communication involves sending accurate information and receiving feedback that the

Message conveyed has been received without distortion. It can be enhanced by: clarity of the

Message, use of appropriate language, observing the appropriate timing, active listening, asking

Questions, observing non-verbal actions or reactions and considering the type of audience one’s

Information is going to be conveyed to.374 Effective communicate occurs when someone’s

Intended meaning successfully and accurately reaches the target person.375The test of determining

That effective communication has taken place requires that the following characteristics be present:

Clarity – the message must be clear to the recipient376 using exact, appropriate and concrete

Words.377Conciseness– an effective message goes straight to the point, using the least possible

Words. Concise message are short and essential.378 Most organisations use memos to communicate

Urgent and important messages to the staff379

. Concrete – the words used should not be abstract

Or vague, but specific in meaning. This increases the probability of accurate understanding of
Barriers to Effective Communication

 Language, Culture and Ethnicity whereby various people from diverse cultures possess their

own languages and mannerisms. These may limit proper communication when they interact

with other different cultures whose words and mannerisms would have different meanings

from their own culture.

 Listening and Attitude - the effectiveness of communication will depend on the willingness

of the receiver to listen keenly with this one’s attitude is essential as it establishes mutual

feelings of trust and respect make communication effective.

 Medium and Noise - the means of communication used must be appropriate for the

communication to be conveyed. Any disturbing sounds that may interfere with the

communication process act as a barrier to effective communication.

 Pre-judgment – people’s own prejudices act as a barrier in accepting the facts put forth to

them. The receiver of the message has a bias against the message or the conveyer before it is

conveyed.

 Non-verbal signs such as hand gestures, nodding and facial expressions may interfere with

the process of communication if they are not properly used. If over-used, they may distract the

audience from what the speaker is saying.

6.2 Barriers at Organisational Level

In an organisation, barriers impede the carrying out of daily duties.388 These are such as: The

formal channels/systems of communication when there are many formalities and channels

regarding the flow of information within the various departments in an organisation conveying of

messages may be hindered if not properly used. Another barrier that may arise is unclarified

assumptions; where the person putting forth the information fails to put in relevant details while

communicating assuming that the receivers of the communication are already

Communication Barriers at National Level

Language barrier -English + Swahili.

 Limited transparency in communication

 Lack of link between the government and the grassroots

DISASTER MANAGEMENT
Introduction

“a crisis events that exceed the system’s capacity to respond.”

A serious disruption of the functioning of a community or society causing widespread human, material,
economic or environmental loses which exceed the ability of the affected community/society to cope
using its own resources,

Key features of a disaster are:

1) disruption of the normalcy of a people’s way of life; and,

2) intense negative impact on their way of life.

Classification of Disasters

Natural disasters which are caused by natural forces beyond human control/intervention for example
tsunamis, floods, landslides etc.

Manmade disasters which are caused by man’s activities or interferences for example bomb-blasts,
wars, fires etc.

Disaster Management

Disaster management is the systematic process of using administrative directives, organisations, and
operational skills and capabilities to implement strategies, policiesand improved coping capacities in
order to lessen the adverse impacts of hazards and the possibility of disaster.

1.1.4 Disaster Management Plan

This is a plan detailing disaster management mechanisms available to deal with or avoid disasters.

1.2 Disaster Management

In dealing with disasters effectively, a three-prong approach may be necessary:

a. Pre-event Planning

It encompasses preventive measures which are the steps Necessary to ensure that disasters that can be
avoided do not occur, for example, fencing off Dangerous machinery, regular maintenace of all
machinery and electronic devices, installing nonslippery floors, having proper drainage and proper
disposal of hazardous material.

b. Mitigating Measures

which include evacuation, fire-fighting and giving First aid. An institution, when hit by a disaster, in order
of priority should: first, protect human life;

minimize risk of injury;

, protect physical assets;

minimize losses;
Resume normal business operations.

c. Post-event Planning

For example counseling to deal with trauma

The Law on disaster management

The Environmental Management and Co-ordination Act, incase of disasters like big fires

the Occupational Safety and Health Act requires employers to have emergency action plans

the Factory Act makes provision for the health, safety and welfare of persons employed in factories and
other places of work.

Skipped Harassment and Discrimination

HUMAN RESOURCE MANAGEMENT

Human Resource Planning is the process through which management determines how the Organization
should move from a current manpower arrangement to a more desired arrangement.

It helps management to have the right number and the right kind of employees, at the right place

In order to gain competitive advantage through human resources, the organization must know the
strength and weaknesses of its existing employees and its future needs in light of strategy.

Basically combines three important activities:-

identifying and acquiring the right number Of people with the proper skills,

motivating them to achieve high performance,

and creating Interactive links between business objectives and people planning activities.

Objectives of Human Resource Planning

To attract and retain an accurate number of people required with the appropriate skills, expertise And
competencies;

Ensuring optimum utilization and proper use of human resources available in An organization at a
particular time;

Assessing or forecasting the future needs of human resources In an organization with different levels of
skills; Anticipating the impact of technology on jobs and Requirements for human resources;
Giving the feedback in the form of employee data which can be used in decision-making in
promotional opportunities to be made available for the organization;

Providing adequate lead time to select and train the required additional human resource over a
Specified time period; Developing a well-trained and flexible workforce, thus contributing to the
Organization’s ability to adapt to an uncertain and changing environment.

Need for Human Resource Planning

There is need For special skills that are rare and scarce.

Non-availability of skilled people when needed is thus a Factor which prompts sound Human Resource
Planning.

Human Resource Planning is essential in The face of marked rise in labour turnover which is unavoidable
and even beneficial.

There is an Acute shortage for a variety of skills which emphasizes on the need for more effective
recruitment and employee retention

Importance of Human Resource Planning

HRP helps in defining the number of personnel as well as kind of personnel required to satisfy its needs
thus ensuring the reservoir of desired human resources when required.

It is useful in offsetting uncertainties and changes as far as possible and ensures availability of HR of the
right kind, at right time and at right place.

HRP results in reduced labour costs as it helps in counter balancing the problem of shortages and/or
surpluses of manpower in the organization.

It helps to execute future plans of the organization regarding expansion, diversification and
modernization.

It ensures that people of desired skills and knowledge are available to handle the challenging job
requirements.

HRP helps in anticipating and controlling the cost aspects of human resources i.e. salaries, benefits and
all other costs of human resources

PROCESSES OF HUMAN RESOURCE PLANNING

1 Analyzing Organizational objectives

2.inventory of the current human resource

3. Forecasting Demand for Human Resource

4. Forecasting supply of Human resource

5. Estimating man power gaps

6. Formulating and action plan

7. Monitoring, control and feedback

Recruitment, selection, placement, training and development, Socialization

The law

1. Constitution…s 43, 41,

2. Occupational Safety and Health Act
3. Employment Act
4. Convention No. 111 on Discrimination (Employment and Occupation).
5. . ILO Convention No. 100 on Equal Remuneration

Challenges

Labour turn over , absenteeism, Difficulties when it comes to integrating human resource plans with
Organizational plans

Mismatch between appliants skills with the job

Over supply of labor makes employees not to forecasts

Job Analysis and Job design

A job is defined as a logically related group of work, functions, activities and duties which can be
Performed by a single employee or by several qualified employees

job analysis involves the steps of: collecting and recording job information; checking the Job information
for accuracy; writing job description based on information collected to determine the Skills, knowledge,
abilities and activities required; and updating and upgrading the info.

‘a process to identify and determine in detail the particular job duties and requirements And the relative
importance of these duties for a given job’

Nature of Job Analysis

Traditional job analysis focuses on the collection of work-related information for the job as it currently
exists and/or it has existed in the past.

The analysis considers among others, the machinery and equipment required in the job, job behaviours
required and the working conditions.

Founded on assumptions sun as : ‘simplified and Predetermined job responsibilities; static jobs with
stable knowledge, skills and abilities

Strategic Job Analysis

SJA focuses not only on the past and present aspects of the job like the traditional analysis but also
Proceeds further in the revision of tasks and KSAs in light of future needs and changes.

acknowledges the dynamic nature of work and illustrates how perceptions of current and future jobs
may differ and therefore attempts to offer a method to reshape job analysis to suit the emerging needs
of many contemporary organizations.

Purpose of a job analysis

Job Description: this is a job profile. It describes the content, environment and conditions of jobs and
prepared on the basis of data collected through job analysis. It provides information relating to activities
and duties to be performed in a job. It differentiates one job from another by introducing unique
characteristics of each job

ii.Job Specification: this includes the information relating to the requirements of skills and abilities to
perform a specific task. It sets out the minimum acceptable qualifications that an incumbent must
possess to perform the assigned duty successfully. The job specification statement identifies the
knowledge, skills, abilities needed to perform that task effectively.

With proper job specification, job opportunities become more precise, specific and detailed.

iii.Job Evaluation: It provides necessary information for evaluating job worthiness and assists on the
evaluation of actual performance against the predetermined standards to determine any deviations if
any, and further helps in establishing the values of different jobs in a hierarchical order thus allowing for
job comparisons

Importance

Helps in recruitment, training and Development; compensation of management; performance

appraisals; information of duties; health And safety; job re-engineering and employee counselling

Methods of Job Analysis

Factors to consider

Structure of organization, Duties involved, advantages and disadvantages of the job analysis method;
cost of the job analysis; and the person Conducting the job analysis

Methods

1. Observation …critical incident analysis, direct observation, work method analysis

2. Interviews
3. Questionnaire

Challenges Facing Job Analysis

1. Lack of Training or Motivation of most job holders who are, ironically, the primary Source of
information about the job.
 2. Lack of training on and preparedness for job analysis tends to distort the data submitted By
employees, either intentionally or inadvertently.

3. HRM’s failure to explain possible future changes in the organisation tends to make employees
Apprehensive and the needed information may not be captured.
4. Misunderstanding the value, importance and purpose of job analysis results in uncooperative
Employees during the process.
5. Lack of staff participation resulting in an extremely small source of data.
6. Lack of information of visions, roles and strategies of an organization.

There is also need for support from the top management.

Job Design

Job design considers all aspects of a job with a view to Ascertaining how production, technology and
structural relationships may be modified or redesigned So as to satisfy the needs of workers.

Process of deciding the content of a Job in terms of its duties and responsibilities, on the methods to be
used in carrying out the job, and On the relationship that should exist between the job holder and his
superiors, subordinates and Colleagues.

Purpose of Job Design

individual workers for interest, challenge and accomplishment hence improving employees working life
and job satisfaction.

Traditional Job Design

job simplification and repeated performance of the same narrow tasks by employees.

Employees exercise little judgment, and need limited skills and training to execute their duties.

Non-traditional Job Design

In contrast, non-traditional job design embraces the concept of job enrichment,

Increased levels of extrinsic motivation, high quality performance, high Satisfaction, and low
absenteeism and turnover.

Tasks are broad.

Elements of Job Design

Job content: which is the actual content of the job and should be Designed to enable people to find
their work meaningful;

Job context: which includes factors such as Ergonomic job design, work setting, technology, and flexible
working options; Work relationships: Which ensures that the job design also considers interactions that
a job holder would have; and the
Line manager:who plays a vital role in bringing the individual’s job design to life.

Theories of Job Design

Classical theory

Adam smith. Breaking into small parts, repeated over time

Allows employees develop skills in that area

Allows employer to save by breaking parts for many unskilled people.

Taylorism theory of Scientific Management

Maximum job Fragmentation, separation of tasks into their simplest constituent elements; the divorce
of planning And doing; divorce of ‘direct’ and ‘indirect’ labour; maximisation of skill requirements and
job learning time; and the reduction of material handling to a minimum.

High pay for motivation

Worker given work they can do best

Clearly defined tasks

Fordism

Broken into units

High control

High output

Human Relations Theory

Well-being

Satisfaction

Motivation of employees

Job Characteristics Model

There are two motivators

1? External. Salaryand bonuses

Internal. Satisfaction

Internal motivation is enhanced where: (i) an employee experiences responsibility for the results of
The work,; (ii) has knowledge of the results of the work; and (iii) experiences the work as

Meaningful—as something that “counts” in one’s own system of values.

JCM which is also referred to as job enrichment identifies characterises motivating jobs as jobs with

Skill variety; task variety; task identity, task significance, autonomy and feedback

Techniques of Job Design

1. Job simplification. Small tasks as a whole.

2. Job Enlargement. Variety of tasks
3. Job Enrichment. Tasks within vertical intergration into one job. Autonomy. Make them feel
valued and this become more committed.
4. Job Rotation. From one department to another

Factors affection Job Design

A. Organizational
1. Tasks characteristics
2. Ergonomics. Matching work with physical atributes and comfort of a worker
3. Work flow
4. Work practice

Environmental Factors

Employees Skills, Availability and Abilities: A well-designed job is one that balances the employee’s Skills,
availability and ability. An imbalance can lead to decreased productivity and employee Satisfaction.

Socio Economic and Cultural Expectations: The social and cultural conditions differ with countries

And therefore, a job design should take into consideration an employee’s socio-economic and Cultural
expectations.

Behavioural Factors
These include feedback, autonomy and diversity-variety.

Feedback

Autonomy: Work autonomy allows employees to enjoy certain level of freedom which then boosts Their
creativity, independence ultimately leading to increased efficiency.

Variety: Job variety/diversity reduces boredom and monotony

Legal Framework

Article 232(d)

d) involvement of the people in the process of policy making.

(i) equal opportunities for hiring and training

Employment Policy Recommendation, 1964 (No.122)

Section 25 provides that member states should, subject to technical requirements, explore the
possibility of expanding employment by producing, or promoting the production of, more goods and
services requiring much labour; and promoting more labour-intensive techniques, in circumstances
where these will make for more efficient utilization of available resources.

Redesignation in the County Governments Act.

RECRUITMENT & SELECTION

Recruitment is the systematic process of identifying that the organization needs to employ Someone,
attracting and obtaining a pool of potential candidates with the desired knowledge, skills And
experience to allow an organization select the most appropriate people to fill job vacancies.

Selection…choosing the most appropriate person

Methods of job recruitment

1. Print advertising
2. Social media
3. Agencies
4. Job fairs

External Factors affection recruitment

1. Labor market
2. Image/goodwill
3. Political, social legal environment
4. Competitors
Internal factors

A. Recruitment policy
B. Size of the firm
C. Human resource planning
D. Cost of recruitment
E. Personal utilization

In selection, elimination and choice is based on:-

A. Application form/Cv
B. Selection tests
C. Selection interview
D. Reference checking
E. Final Selection

Legal issues Arizona from recruitment and selection

1. Discrimination
2. Corruption

Emerging Issues

Online recruitment. Automated selection

Applicant Tracking Systems (ATS) with selection data and tools.

Outsourcing a recruitment firm

Training and Development

1. Motivates employees
2. Improves output
3. Changes in technology
4. Better Management
5. Employee Promotion
6. Reduction in supervision

The objectives of training and development are as follows:

i.To impart new abilities and skills to the employees in a systematic way so as to learn Quickly

ii. To increase the knowledge of workers in doing specific jobs.

iii.To systematically impart new skills to the human resources so that they perform better.

iv.To bring about change in the attitudes of the workers towards fellow workers, Supervisors and the
organization.

v.To improve the overall performance of the organization.

vi.To make the employees handle materials, machines and equipment efficiently and thus To check
wastage of time and resources.

vii.To reduce the number of accidents by providing safety training to employees.

viii. To prepare employees for higher jobs by developing advanced skills in them.

Methods

1. Class room
2. Group discussions
3. Case study method
4. Outward Bound Training (OBT) Method
5. Simulation exercise method
6. Internships
7. Vestibule Training Method
8. Work shadowing and internships
9. Computer based
10. Behavior modeling method
11.

Process

Identify Company Goals and objectives

Identify the needs of employees

Identify the training goals

Selection of training method

Selection of application of Evaluation Design

Selection of trainees

Evaluation
Need for Evaluation

 To ensure that the rules to policy guidelines and documentation of training and

Development efforts.

 To decide who should participate in future programme.

 To assess which participants gained the most or the least from specific programmes.

 To gain practical insight in order to design, develop and deliver more effective future Programmes.

 To check the extent of transfer of learning i.e. the extent to which a trainees applies to His/her job.

 To determine if the training programme maps to the needs the trainees.

 To establish whether the training and development objectives are being met.

 To determine the effectiveness of the different components of training and development Programme
(e.g. contents, training aids, facilities and environment, programme schedule,

Presentation style, the instructor etc.)

 To determine whether the training and development programme substantiates the cost.

Methods of evaluation

A. Kirkpatrick Model:

This model focuses on measuring four kinds of outcomes: behaviour, results, reaction and learning.

Reaction- evaluates how participants feel about the programme they attended.

Learning- evaluates the extent to which the trainees learned the information and skills,
Behaviour- evaluates the extent to which their job behaviour had changed as a result of attending the
training.

Results- evaluates the extent to which the results have been affected by the training programme.

B. CIPP Evaluation model: It has four phases of evaluation: context evaluation, input
evaluation, process evaluation and product evaluation.

Context….if the training matches needs

Input…how it will be conducted. The approach and procedures

Process….monitoring. Implementation

Product…ascertain the outcome…the goals achieved e.t.c

C. Phillips Method.

The monetary gain of training.

D. Kaufman.

Benefits to the society is included

Legal Framework

TheAdvocates (Continuing Professional Development), Regulations 2014)

1. Maintain, improve and broaden the professional knowledge and skills of advocates;
2. To further develop the personal qualities of advocates required for the execution of the
Advocates’ professional and technical duties;
3. to encourage constant reflection, learning and the maintenance of a broad outlook by
Advocates to maintain high professional standards
4. Reassure recipients of legal services and the public of the high standards of training, Knowledge
skills and expertise of advocates; and
5. To keep advocates relevant and informed of the developments in the practice of law.

The training is in the form of workshops, lectures, conferences, discussion groups, symposium,
Colloquium, multi-media based or website based program or the research and preparation for Articles
published in law journals.

Legal Framework

Article 22 African Charter on Human and Peoples Rights…economic rights

Industrial Training Act

The Medical Practitioners and Dentists Act

Limitations of Training and Development

1. Mismatch of needs, skills and expectations
2. Undefined objectives
3. Inadequate funding
4. Post training Sustainability
5. Poor training infrastructure
6. Resistance to change
7. Miscommunication between trainer and trainee

Career Development

Managing progressive in learning and working

Benefits to the society

1. Use of resources to the max

2. Effective labor market

3. Social Counsel

In-house Counsels

 Administrative duties – these consist of providing legal advice to the organization On the most
beneficial approach to pursuing business ventures or preventing and Tackling various legal disputes that
the organization may be a part.

 Clerical duties – these consist of drawing various contracts, agreements and otherLegal documents.

 Research duties – these include, research on various applicable laws and ensuring That the corporation
complies with them.

When choosing path

1. Get a mentor
2. Personal review
3. Plan ahead
4. Embrace diversity
5. Network
6. Get involved

Career Development Objectives

Get a pool of skilled labor.

Get satisfaction

How a career Development System comes in:-

a.Assisting in making career decisions

b.Setting realistic Goals for both parties

C. Fostering better communication in the organization

d. Better use of skills. Placing them where they perform best

Career theories and Models

1. Theory of process. The stages

2. Theory of content . influence of ones environment
3. Theory of Content and process.

Bandura

People learn from watching what other people do

Holland

Behavior is from.the interaction between environment and personality.

People look for areas where they can use their skills and abilities.

Super theory

People change with time and thru exposure and experience.

Stages

1. Exploration
2. Establishment and achievement. Achievement is showing competence.
3. Mid career. Job expansion, training. You either level off, deteriorate or improve. There is also
mid career crisis.
4. Late stage. Judgement from years of experience, slow. Work I’d not as much. Others try
something different to put up for years missed.
5. Decline

Roles in Career Development

1 personal

a. Self assessment. Values, skills and interests

b. Awareness. How your value applies to the organization
c. Goal settings
d. Skill Development.

70%...on job learning

20% interactions with others

10% training.

e. Personal swot analysis

 Managers role

To encourage development

CAREER Planning

This stage forms the basis for development, assessment and feedback in the Performance Management
system.

Performance planning is important for the following reasons (IHG Training Manual):

i. To review the employees key responsibilities in relation to the business

plan

ii.To set key performance objectives in the year ahead

iii.To discuss and agree on the employees future career plan

iv.To discuss on the business skills and leadership brand competencies required to achieve The key
performance objectives and career objectives and identifying strengths and Development priorities.

v.To confirm roles and responsibilities for carrying out and supporting the development And career plan.

Set smart goals

Active stage

Tracking performance execution.

For example, mid year reviews

i.Reviewing the Key Performance Objectives in relation to the business plan.

ii.Reviewing the status of the Key performance Objectives and setting the progress to date.

iii.Reviewing the progress on the development plan

iv.Reviewing the employee’s career plan.

Steps in the Active stage

A. Motivations
i.Creating opportunities for achievement

ii.Allowing freedom and autonomy

iii.Providing learning opportunities and growth

iv.Increasing amount of challenges

v.Providing recognition

vi.Ensuring the work assigned is capable of motivating

B. Correcting performance problems

Training, arranging consequences for good and bad performance, removing obstacles

C. Maintaining performance records

D. Providing feedback and coaching
E. Reinforcing effective behavior. Reviews to help them build on their strengths

Challenges in Career Development

1. Stereotypes
2. Rapid Advances in technology

ODPP

Article 157

Career Progression Guidelines of 2013

A designed career path

Internal mobility

Demotion

Transfers

Promotions

Separation

Retirement

Dismissal

Resignation
Layoff. Suspended until the employer can engage again

Retrenchment

Medical separation

Death

Emerging Issues

Phase retirement

President to cease politics before receiving retirement package

Salary retrenchment by banks and insurance companies

Early retirement packages

Accounts

Debit the giver

Credit the receiver

Debit expense, assets and losses

Credit Gains, income and liabilities