September 18, 2022

The not-so-recent focus on information governance has generated a renewed interest in records management, records management profession, and the value of records management to the organization. The role is redefined in business to be a strategic resource to the CEO as organizations look to better understand, measure, and manage the unprecedented growth in electronic information and the complexities inherent in determining what information to trust, to keep, to secure, to connect, and of course, to discard. The recognition of the records manager as key component of information governance, and the focus of information governance as a business enabler, are long overdue. Today, the most critical asset to any organization is its business information and records. Organizations are struggling to use huge volumes of information for better business outcomes. At the same time, the number of high-profile examples of data mismanagement is growing, making the need for proper oversight and use of information key to success. Defining the Current State of Records Management Over the last 10 years, as electronic information has grown to represent 90% of all information, information management strategies have been in reactive mode, responding to gaps in principles and infrastructure exposed by legal or regulatory imperatives. Most information management technology investments have also been reactive, stopgap measures designed to address a specific problem, such as electronic discovery. Massive adoption of collaboration tools including Sharepoint, the web, and social media has blurred the distinction between content and records and increased risks associated with over retention, information loss, legal and regulatory compliance. End-to-end information management automation across electronic and physical records does not exist. If it did, it would allow the enterprise to address record keeping principles intelligently and declare, classify, store, secure, retain, discover, and ultimately dispose of content based on policy and automated, defensible enforcement. Poorly architected solutions have turned information assets into liabilities – systems that once satisfied basic requirements laid out decades ago buckle under the increased pressure for interoperability, scalability, end-to-end security, and discoverability. This predicament has fielded unsustainable solutions along with upward spiraling integration costs. Progress on establishing an information management strategy, which is essential for mid-size to large enterprises, has been extreme slow. For example, according to the AMA only 1% of all healthcare providers have an electronic records management strategy, and 94% have yet to start planning for the information management requirements of HITECH. Records managers cannot get the e-discovery monkey off their backs. Even in 2010, records managers will be consumed with managing e-discovery risk leaving little time for strategic records management programs and activities. Back to Basic Principles On the Wikibon Peer Incite call February 16, 2010, the primary organizational message was “get back to the basics” of principles of records management and use these principals as the basis for sound information governance. These principles, originally defined by ARMA International, a not-for-profit professional association and the “authority on managing records and information” are expressed and embellished on below: Basic principles of records management Accountability – Assign a senior executive who will oversee and be accountable for record keeping program (aka information governance program, or IGP) and delegate program responsibility to appropriate individuals; adopt policies and procedures to guide personnel, and ensure program auditability. Make all business managers accountable for information governance and the records management principles, policies, and costs. Integrity – Construct an IGP so that records generated or managed by or for the organization have a reasonable and suitable guarantee of authenticity and reliability. Identify technologies and processes that can provide suitable and reasonable guarantees. To do this of course requires an organization to first define and classify the difference between official records and business information. Protection – The IGP must ensure a reasonable level of protection to records and information that are private, confidential, privileged, secret, or essential to business continuity. These attributes are the core differentiators when comparing content management to records management systems. Compliance – The IGP must be established to comply with applicable and jurisdictional laws, regulations, and the organization’s policies. The challenge for most organizations is not developing policies but instead enforcing these policies across a vast number of information repositories and file systems. Availability – The IGP must maintain records in a manner that ensures timely, efficient, and accurate retrieval of needed information, as more and more organizations are turning to information governance and IGP to do more than meet compliance regulations. Retention – Maintain records and other information for an appropriate time (and for no longer), taking into account business, legal, regulatory, fiscal, operational, and historical requirements. Disposition – An IGP provides for the deletion for records that have no incremental business value or that create liability for the business. Transparency – The IGP must be implemented in a defensible, understandable, and efficient manner and be available and understood by internal and external business stakeholders. Recognising Records as a Strategic Resource Record Keeping and Accountability Record keeping is a fundamental activity of public administration.  Without records there can be no rule of law and no accountability.  Public servants must have information to carry out their work, and records represent a particular and crucial source of information.  Records provide a reliable, legally verifiable source of evidence of decisions and actions.  They document compliance or non-compliance with laws, rules, and procedures. In many countries around the world, record-keeping systems are unable to cope with the growing mass of unmanaged papers.  This is particularly true in countries with limited financial or administrative resources or unable to provide their records and archives managers with training or professional development opportunities.  Administrators find it ever more difficult to retrieve the information they need to formulate, implement and monitor policy and to manage key personnel and financial resources.  This situation impedes the capacity of these countries to carry out economic and administrative reform programmes aimed at achieving efficiency, accountability and enhanced services to citizens.  Moreover, the decline, and in some cases total collapse, of record-keeping systems makes it virtually impossible to determine responsibility for actions and to

Why should organizations have a good filing system Filing means keeping documents in a safe place and being able to find them easily and quickly. Documents that are cared for will not easily tear, get lost or dirty. A filing system is the central record-keeping system for an organisation. It helps you to be organized, systematic, efficient and transparent. It also helps all people who should be able to access information to do so easily. It is always a pleasure when someone looks for something and is able to find it without difficulties. In our organizations we work in groups. We receive and send out documents on different subjects. We need to keep these documents for future reference. If these documents are not cared for, we cannot account for all our organizational activities. Everyone who needs to use documents should know where to get them. Important things to know about filing What do we file? We file documents that are sent to us by other people or organizations. We also file records of all our organizational activities. These can be letters, memos, reports, financial records, policy documents, etc. When do we file? This depends on how busy your office is. In very busy organizations filing is done at least every day and usually first thing in the morning. In a small or less busy office you could file once or twice a week. Equipment used for filing Filing Cabinet – It is used to keep flat files and suspension or hanging files Steel Cabinet – It is used to keep big files that need to be locked up Date Stamp – It is used to date stamp documents that are received on daily basis so that they are filed in chronological order and so we have a record of when we received the document Register – It is used to record files taken out and files returned Filing shelves – It is used to file box files Box file – This is a big file that is used to keep big documents that cannot go into a filing cabinet. They are kept in shelves. What files are used and how are they used? Clip folders – they are used for documents that need to be taken out very often; they hold documents tightly so that they do not fall out. Folders – paper or cardboard folders are used to keep loose documents together. The folders are placed inside suspension or box files. Suspension file -the suspension files are used to keep documents in filing cabinets. The files are put into the drawers upright. The suspension files hangs down from the cradle. These files always remain in the cabinets but folders inside them can be taken out. Box files – they are used to keep big documents including magazines and books. Lever arch files -documents are kept firm in these files and allow one to look at documents without taking them out of the file. Methods of filing There are 5 methods of filing: Filing by Subject/Category Filing in Alphabetical order Filing by Numbers/Numerical order Filing by Places/Geographical order Filing by Dates/Chronological order These ways of filing is called classification and means organizing things that are alike, together. You can, however, combine some of these methods. For example, files that are kept together according to what they are about we say are subject filing but, inside each file the documents could be filed according to date order. How to set up a filing system Filing Categories To make a filing system more useful, we can group files into CATEGORIES. A category is a group/collection of things that belong together. PPWAWU, SARHWU, NUM and NUMSA all belong to the category Unions. When we file by categories, we try to file in a logical way; we put files together because they belong together; we don’t put them together just because they start with the same letter. For example, we could put all our files into categories. Correspondence could be one category that takes up a whole drawer of our filing cabinet. Inside that drawer we could have sub-categories. Sub categories could be things like: Fundraising correspondence Correspondence with other organisations Correspondence with members Some documents may have to filed in two places to make it easier to access the information. For example you may have a category for “funders” and for “correspondence”. In your funders category you will have a sub-category for each major funder and you will sometimes have to file a letter from a funder in that funder’s file as well as in your fundraising correspondence file. Filing key Once you have decided on your categories, you will have to draw up a filing index so that everyone can understand the system you used and find the information they want. This index is called a filing key. Write up a filing key by listing all the categories and sub-categories in the order they are filed in. Make sure it is laid out so that everyone can understand it. Put it on the filing cabinet and also put a key for each drawer on the front of the drawers. Give everyone a copy of the whole filing key. Make sure that everyone who does filing understands the key and uses it for filing. New files Don’t create new files unless you are absolutely sure the information does not logically fit into an existing file. Put the new file in the correct category and write it in the filing key immediately. Give everyone a copy of the new categories as soon as possible. Filing Correspondence All letters must be filed in 2 places Incoming mail The original letter together with a copy of your answer goes into the SUBJECT FILE. A second copy of the letter goes into the CORRESPONDENCE IN file. Outgoing mail One copy of the letter goes into the SUBJECT FILE. Any letters in answer to your letter must go into this file; and all future correspondence about the

Archival institutions cannot be passive recipients of records judged by others to be worthy of permanent preservation.  As the professionally trained staff who work in the facility, archivists have a direct role to play in identifying and preserving the small percentage of records of enduring value found amid the mass of records generated in the course of daily affairs. (appraisal)  To fulfill this role, archivists must be directly involved in the management of records throughout their life, as part of a continuum of care.  As well as managing those records transferred to the archival repository for permanent retention, archivists must be involved in the design and implementation of record‑keeping systems to ensure that cultural as well as business functions are satisfied. Few creators of records will have any interest in their records as a potential cultural or research resource.  Furthermore, as the usefulness of the records in the conduct of business diminishes, so does the willingness of the administration to pay for the maintenance and preservation of those records.  If the identification of valuable materials were left to records creators, it is likely that few records would be kept. Archivists are able to take a wider view.  They look at the records of an organisation as a whole, considering both the information needs of the business and the research needs of the community at large.  Thus archivists can systematically manage the processes involved in the retention and disposal of records. In doing so, archivists must balance three factors: the need for economy and efficiency in any organisation the management of risk arising from the destruction of, or loss of access to, records the duty of any responsible state or organisation to preserve a reliable record of the past. Principles of Records and Archives Care Records should be well managed in order to ensure they are protected for both administrative purposes and to serve as evidence of the organization’s work.  The process of caring for records is known as records management. Records management: That area of general administrative management concerned with achieving economy and efficiency in the creation, maintenance, use and disposal of the records of an organisation throughout their entire life cycle and in making the information they contain available in support of the business of that organisation. Archives management: The area of management concerned with the maintenance and use of archives. The care of records and archives is governed by four important concepts introduced here. These are: (1) That records must be kept together according to the agency responsible for their creation or accumulation, in the original order established at the time of their creation; (2) That records follow a life cycle; (3) That the care of records should follow a continuum; and (4) That records can be organized according to hierarchical levels in order to reflect the nature of their creation. These principles and concepts are known as: the principle of respect des fonds the life-cycle concept the continuum concept the principle of levels of arrangement and description. The Principle of Respect des Fonds One of the longstanding principles of records and archives management is the concept of respect des fonds.  Originally a French term, respect des fonds is often defined simply as ‘respect for the creator of the records.’  The principle of respect des fonds consists of two related concepts: provenance and original order.  Provenance refers to the ‘office of origin’ of the records; original order refers to the order and organisation in which the documents were created or stored by that office of origin. Respect des fonds: Respect for the creator of the records or archives, involving the maintenance of provenance and original order. Provenance: The organisation or individual that created or received, maintained and used records while they were still current. Original order: The order in which documents were created, arranged and maintained by the office of origin. The principal of provenance emphasizes the conceptual rather than the physical characteristics of records.  As we have seen, it is the ‘evidential’ nature of records, rather than their physical format, that distinguishes them from other kinds of information.  Provenance also provides the basis for retrieving information from records.  Knowing who created or used a record, and where, when and why, provides the key to retrieval rather than format, subject matter or content of the records.  This is true for modern electronic records as well as the more common paper-based records.  Fundamentally, there is no difference between understanding and preserving the provenance of electronic records – that is, the inter-connections between electronic records and their creators and users – and preserving the connections between a large sequence of nineteenth-century official letters and the registers and indexes that keep track of them. These principles require that archivists and records managers observe the following guidelines. The records of separate agencies or organisations must be managed separately, even if the agencies in question were involved with similar activities or were managed by the same people. Do not combine the records of two agencies or organisations.  Similarly, the private records of individuals must not be integrated, even if the individuals were related or experienced the same events. Records must be maintained according to their ‘original order’: that is according to the filing, classification and retrieval methods established by the organisation as part of an efficient records management programme. Records offices and records centres must create, maintain and store records according to logical and well‑structured records management procedures. Archival institutions must not change the original order in which records were received, as that order reflects the way in which the records were created and used. Public archival repositories that receive government records through functioning registry systems often receive records in a clear and usable original order.  The registry process ensures that the creating agency and the contents of the files are clearly identified.  When records are received in an identifiable order, the archival institution should not reorganize records by subject, date or medium of material. If registry systems cease to function adequately,

Security of Records refers to protecting and safeguarding of records against loss or damage. many organizations have set up registries without minimum appreciation of the very real hazards to which those systems stand exposed. Reasons for having Security of records Security of records is needed because: Confidential information must be protected Information must not be lost through accident or poor records handling Avoid malicious damage to records. Prevent damage of records by fire, water, rodents or any agent of destruction. Records Security Classification The following are the security classification levels used in public offices: Open Unclassified (open) records although unclassified, files can be handled openly within the public office, access to these files must be limited to action officers. 2.Confidential The files classified as confidential information which if disclosed to unauthorized person could Cause extreme embarrassment to organisation. 3.Secret These are records whose information content if disclosed an unauthorized person can cause serious injury to organization. 4.Top Secret Information  and material classified as top secrets are materials whose information if disclosed to an unauthorized person can cause exceptional and serious damage to an organisation Threats to Security of Records Records are prone to the following threats: Dust Fire Insects Rodents Floods Man Security measures Installation of fire extinguishers in record management centres Installing sticky glue board which will arrest the insects Employing security personnel to Mann the organisation Installing air conditioners to condition record centers to have a relative humidity Installing CCTVs to reduce theft cases Ensure there are regular good housekeeping practices Importance of Security measures for records To prolong the life of records To protect the records against loss To protect the records against damage To ensure cost of records is reduced especially those associated with replacements To ensure constant availability of records

Search Room Search room refers to a room in an archival building where the archives users/ clients sit and consult the materials. Search Room Services User Education The search room is headed by reference archivist whose responsibility is to help the users to satisfy their demands. When users arrive in search room it is the responsibility of reference archivist to explain to users what is an archive, what are services provided, how to use the machine and finding tools, how to access records and explain the restrictions and regulations to be followed in an archive. Reference Services Reference materials like encyclopedias can be consulted inside the search room Reprographic Services, Availing of Archives to users Access into the archives restricted, The archivist will describe the information contained in the archives. Translating Services, Marketing Archives should publicize about what they have in archives for people/ public to know He should appraise his records and ensure that whatever he has in his custody is still of value Type of search room users Researchers, Scholars Search room rules and regulations No food is allowed i.e. can attract insects No smoking is allowed because it can start fire There must be restrictions of access rights Quality of access whereby everyone has a right of access Copying of records is allowed Fee can be charged when felt necessary Search room operations It refers to the task performed in the search room to enable the researchers to get access to the records. E.g. Registering researchers Requisition of documents Introducing users to finding aids Return of documents Updating and making of finding aids. Search room researcher’s requirements. Large enough space At least 20 researchers at a time can be accommodated with adequate table –space where the readers can sit inn peace where the archive she wants can be bought to him for consultations Should have natural and ease access rules Be in a position of understanding rules and regulations. Should have a reception area The person in charge of search room should lead the users to the reference / search area. Reference section The form is taken to the repository who will search information for the user. Search room resources Tables, Chairs, Computers, Projectors/ Play back machines, Shelf, Suggestion Boxes Search room supervision duties Answer researchers questions Prepare and maintaining finding aids Supervision of search room staff Provision of facilities for reproduction of records Security restriction access to search room Functions of a Search room Registration of members/ users Orientation of users – user education program For researching activities Monitoring movement of archival materials to minimize theft and spoilage User accommodation – they ensure user comfortability by providing them space and a seat. Guide Researchers to locate relevant information sources Response to research inquiries both through email, calls, face to face It acts as Public relation (PR) office It coordinates between user and Archive materials

Archives retrieval refers to locating a particular document, file or record and delivering it for use. Or it refers to locating an archival material and delivering it for use by archival users. Finding aids: They are also referred to as quick reference tools. Finding aids refers to a descriptive form that provides information about the content and nature of documentary material e.g. Catalogues, Guides, Inventories, Class list, Descriptive list, Transfer list. Types/ categories of findings aids Generally archival repository has three categories/ types of finding aids namely: Internal control In-house reference aid External reference aid  Internal control tools These are initial control tools prepared immediately archives are received. They are intended solely for the repository staff. They provide initial access points to the archives collection and Researchers have no access to these finding aids. Examples are: Accession worksheet Location register Check list In-house tools These are more detailed finding aids. They are prepared as arrangement and description proceeds and staff becomes familiar with collections. They are not intended to be published and distributed to the research community. Researchers are able to use them as reference aids in the repository. Examples are: Containers list These are called different things in different repositories – Shelf list, Box list, Folder lists. Whatever the finding aids the list takes the form of the columnar listing and box numbers and folder tittles. During arrangement stage archivist takes detailed notes on the final order of the collection. Once these notes are typed they become container lists used by both staff and researchers. Since they are tools used by non-archivist archival jargon and abbreviations must be avoided. Catalogues They are commonly used finding aids that points researchers to relevant collections that are fully described in an inventory and they provides description and nature of documents as index and inventories have control documents and files by providing an access point. Indexes These are alphabetical listing of the contents of a box and containers. Modern indexes can take a number of forms e.g can take the form of database that can be searched by key words.  External reference aids These are reference tools that are building upon the in-house control tools. They are intended for publishing and distribution to the research community e.g Calendars Invetories Guides Calendars They are very detailed aids. They are usually item level description, are quite time and effort consuming to prepare. Though researchers would really be excited to have them, calendars are not prepared often. Archival collection are too large to describe at an item level. If archivist would be involved in these type of description, other archival work would be unattended e.g another collection remaining unattended fragile records not preserved, response to reference request is delayed. Hence such is only justified only when the classes of records are of great historical significant. This is more less the same as a guides that contains brief description of the contents with specific time of event and activity. Guides There are different forms of guides which give information about the content and nature of archives. They are basic finding aids which can either be general or repository guide. A subject guide describes the holdings of one or more repositories relating to subjects, time periods or geographical areas. A repository guide briefly describes and indicates the relationship among holdings of the archives. It includes a brief level group or collection listed in alphabetical order by tittle Inventories (summary inventories) This is a list of all records in the archives holdings (repository) they are also called registers. Its an archival finding one collection or records subgroup. They provide both context and content of the records. Descriptive inventory is a complete and detailed description of archival fonds (records group) and inventory begins with the fonds level description that they expands include description of each series and if necessary the file level description. inventory should answer the following questions:- What were the circumstances for their creation? – Where did the record come from? –How do the records relate to others? –What is there significance now and in future? Characteristics of a good finding aid It should be clear and concise and it should avoid jargon-(a language used for a particular activity) and terms that make the finding aid inaccessible to the researchers. The finding aid should be aware of needs of the wide variety of researchers, therefore the archivist should prepare one that is useful to many because he knows the interest of the current and potential researchers. The finding aid is intended for the research and it should focus on use by the researcher and must help him or her find the materials. Role of finding aids Finding aids provide a comprehensive overview of collection scope and contents They define the conditions under which a collection may be accessed or copied It explains its provenance and contains histories of individuals and organizations connected with the collection. Access and access rights to archives Access refers to a terms and conditions of availing records or information maintained by archives for examination and consultation by researchers. Or Access is the granting of permission to use reference facilities in an archives institution, examining and studying individual or extracting information from the archives and records for research or publication. The administration of archives establishing procedures which will ensure that legislative requirements and donors agreement upheld. It also helps to protect records and archives from theft, damage alterations re-arrangement etc. The word reference in this context refers to the range of activities involved in providing information about or from records and archives. It is to refer to the process of making archives and records available for archives and records for access and use. It also touches on the need for providing record copies. Access to information A Library has open shelves (open access) and items are loaned or given out on short loans. Registries are closed access system, confined to the registry staff. Record centre and Archives are closed access. Access Areas Library: it

It refers to the process of physically organizing records to reveal their contents and significance in accordance with the accepted archival principles of provenance and original order.  Principles of arrangement Principle of provenance Principle of original order  Principle of provenance Provenance means source or origin (where the records came from) Principle of provenance refers to a source origin or creator of records. The French archivist first articulated of the principle of provenance in the 1840’s. It is referred to it as respect des fonds which is translated in English to mean records group. It was later modified in the 1880’s to acquire it current name of principle of provenance. According to his principle archives of a given records creator must not be intermingled with those of other records creators. It means that the archivist must try as much as possible to separate records of different creating individuals or agencies or organizations and keep them as single entitles/complete entities in the archives. The arrangement of records according to this principle means that record from one group sources must be kept intact or a separate from records from another source. Record Group Concept The principle of provenance is an offshoot of the record group concept. The principle is derived of provenance is essentially a modification of the French principle of respect des fonds. In a record group system, a collection or a group of records can only be placed at one logical place. The arrangement represented the organizational pattern of the source. The arrangement means that records should be kept in separate units that correspond to their sources in organic bodies where each unit is treated as an integral unit (record group). It ensures that records do not lose their significance as they remain in the record groups in which they belong. The record group concept ensures that the utilitarian nature of archives is well seen clearly when records are kept together with other documents which relates to them.  It means that in order to appreciate the significance of a document its essential to know exactly who created it in what circumstances, for what purpose, when and how it was received by the addressee and by what means it reached the archives. Such details can only be elicited when all the accompanying documents have been preserved intact as a distinct entity and have not been mixed up with documents from some other source, however, relevant that letter may be to the subject. Under the records group concept any particular body of records can belong to only one record group and an effort is made to keep together in the stack areas records belonging to the same record group. When consistently applied the principle enables a repository to establish effective control over documentary materials of every types, received many different offices, and other sources and at different times. Rules to follow in provenance Keep records intact or as integral unit Do not disperse the records Observe the documents Reasons for applying principles provenance Facilitate description of archives Facilitate arrangement of archives Preservation of valuable records Principle of original order /sanctity Maintaining the original order of the according to their department in the registry. Its done mentally not supposed to interfered with arrangement. Rules to follow in original order Do not observe the principle when doing with records with information research or secondary value Should not be applied to records that have artificial collection e.g. donation The order should not be into forced You only apply the principle if you know the creator Reasons for applying the principle of original order Easier to prepare evidential value Facilitate exploitation of archival information Easy to make all the finding aids Use the following if you miss the two principles Chronological order- According to dates of receipt Geographical region- Records are arranged according to the geographical source (provenance) Series- According to classes. It’s a group of similar records maintained in the same alphabetical, chronological or any other sequence. Reasons for arrangement To enable the archivist to determine whether there are documents that should be repaired or bound To determine whether there are documents that should be made available for research for reasons of privacy, confidentiality or security To determine whether there are ephemeral documents that should be recommended for destruction To be described and made accessible for research Conclusion Maintaining archive according to these basic principles provides Evidence about the nature of their creator or creators Provinces values that arise from the organic character of records and archives Evidence as to how and why the records were created and used Protects the integrity of records or archives Allows records or archives to be arranged, described and administered efficiently and effectively. Records group concept It is difficult to arrange activities according to the subject as happens to library materials. This is because of the size of the holdings as well as the complexity and diversity of the information they contain. For a long period of time, the principle of original order has been considered as a good one in serving the needs of researchers. The principle of provenance is an offshoot of the records group concept. This principle is derived from the French FONDS which means a collection of records. The principle of provenance is essentially a modification of the French principle of respect Des Fonds. The French word Fonds is translated as follows:- In English it refers to Archival Group In America it refers to Records Group The Australians refer to it as Records series A records group is taken to refer to a body of materials related the activities of the organization or the creator. It is body organically retailed records established on the basis of the provenance with due regard to volume of the records and administrative history of the creating agency e.g. Records from the office of the President Records from a particular government agency Records from a specific department An archivist can decide to create records groups strictly in accordance with the

This is a process by which Archives add to their holdings (collection) by accepting archival materials as donation, transfers, purchases or loan. Or It’s a process by which archives physically secure materials through Donations, purchase, gifts, loaning, transfer, legal deposit, bequest/will and re-institution. Acquisition is done after record survey and record appraisal has been done respectively. Every institution should state and indicate clearly the following aspects after a lot of decisions and actions: The methods of acquisition Types of materials to be acquired The frequency of acquisition The procedure to be followed in acquisition Factors to consider before acquiring Archival materials Finance Security Space Storage equipment Qualified personnel The quality and quantity of the materials Methods of acquisition Purchasing These refer to the actual buying of archival materials and this method involves the transfer of ownership based on financial considerations. If archivist comes across some unique materials which cannot be obtained through any other means, the archivist can offer to buy them. This method is rare because archival materials are expensive. In this method the archivist must establish the legitimate owner of the records to avoid cases of wrong people selling a collection which is not owned by them. Gifts and donations It refers to a method that involves the transfer of ownership of records and has no financial consideration. It should be based on the following factors: The donor must be legitimate owner of the records The gift or donations must be very clear, meaning that the donor must state that the records are being donated and nothing more. The gifts or donations must be received by the receiver The records must be delivered to the institution being donated to if possible an agreement to documents the transaction to seal the deal might be necessary. Legal Deposit Is the statutory obligation on publishers and distributors to deposit at least one copy of every publication, free of charge in designated legal deposit libraries. PROCESSING ARCHIVES It refers to the act of arranging and describing the records/ archival materials of an archival institution for storage and use. Archival Processor/ Archivist refers to the person in charge of processing archival materials. Importance of processing Archives It makes archival materials ready for use It brings order in retrieval of archival materials It protects archival materials against loss and damage It saves time in retrieving archival materials It provide guidance on how to prepare a variety of archival materials for circulation Methods or procedures of Archives processing Accessioning Arrangement Classification Description Accessioning It refers to a systematic process of scanning an archival material received and accompanying document (Transfer list) and recording the bibliographic details in the accession register. Or it refers to a group term indicating additions to stock of library or any information centre. Or it refers to the act of taking documents into physical custody in an archival agency, records centre or manuscripts repository some particular information for its identification. All the items received are recorded or entered in the order of the order of their acquisitions. Each item received is given a unique number (accession number) to identify it for control purposes.The accession numbers recorded in an accession register and used until replaced by a permanent reference code. An accession register becomes the formal record of accessions of archival materials received by archives in which information on the immediate source and the broader provenance of the material is preserved permanently, items are numbered progressively as they are added to the stock. Accessioning aims at establishing three types of control over a collection namely Legal contol Physical control Intellectual control LEGAL CONTROL This control ensures that archives have tittle to both physical and intellectual property of records. This means that the archives have control over the medium (physical) and the information contained (intellectual). The recording of the transaction either by way of deed of gift letter, purchase agreement, deposit agreements ensure that the records archives have been legally acqired. PHYSICAL CONTROL Once legal control is assured the physical control follows. This involves possession of records through their transfer from creating office to the archives for actual receipt. Once received  archives documents the matter either by way to writing an acknowledgment letter or memorandum especially for the statutory or regulatory transfers, a thank you letter in case it was a gift etc. by this time the collection is on the repository in the loading dock or on the archivists’ desk. INTELLECTUAL CONTROL This involves control over the contents of a collection. The archivist must work out a way of understanding the materials received. The archivist must establish where to place the collection as well as what is in it. The archivist documents in an accession log/ register his accessions. The register enables the archivist to have basic understanding of the accession. The archivist through the register is able to have preliminary description of the accession. Such documentations provides a form of inventory control over the total holding by nothing where each collection is located documentation also serves as temporary finding aid until more detailed arrangements and description are completed.  Accession procedures Accessioning consists of a sequence of different activities these includes: Tying Accessions into Bundles This involves a tying of the accession/ materials identified into budles using special facilities. This is done before the materials are transported. Once the process is completed they are then transported to the repository of an archival agency. A repository is where the records received are stores. Checking the Contents of the Accession This is done against the transfer form/transmittal form that accompanied the records. The form is a two part document where both the transferring department and the archieves must sign. Preliminary Sorting of the Accession This is done to determine the provenance. Determination of the source or provenance is very important because archives are products of works of life activities and can only be fully understood through knowledge of Willy and hero they were created and used it therefore becomes important to identify and record

The management of records in both small / large organisation involves large investment in personnel, supplies, equipment and office floor space. Record storage refers to the equipment and systems used to file records during their useful lifetime in an organisation. Because the purchase of equipment involves spending money a conscious effort must be made to determine which record to retain and for how long. For those earmarked for storage a systematic record storage system should be developed so that records can be safely stored and maintained. The stored records must be utilized or removed for reference purpose or updating. Hence records must be stored in a manner that will hasten their identification and retrieval. There are various records storage and retrieval systems for the various types of records such as: Paper Based Records These are records where information is captured and stored on paper/card stock. Referred to as hard copy. They include correspondences such as letters, memos, reports, business forms such as invoices, purchase orders, vouchers, computer print outs and cards such as index cards, accounts ledger cards, punched cards. Electronic Based Records     Encompass information/data recorded in digital form on a magnetic medium e.g. computer tape, floppy disk, magnetic card, hard disk etc. such data is only retrieved by  a word processor, a computer or computer assisted retrieval system. Microform Based Records Data/documents whose images have been photographed in highly reduced form and stored in a microfilm e.g. microfiche and microfilm. The purchase of storage equipment constitutes a huge investment in any company. Various factors may be considered when planning to acquire to ensure that specific storage needs are met. Factors to consider in acquiring storage equipment Forms of Records Stored An understanding of what needs to be filled is essential. An understanding of the company types of records and their forms will help in determining the storage equipment to acquire e.g. paper based- are they all correspondences, business forms, reports, maps, cards etc Use of stored records Consider how records are used, are they frequently referred to for reference and updating? If above is the case records/files must be stored in such a manner that they are readily accessible for filling and refilling. Personnel Consider who must use records storage equipment. Are the personnel compliant with the equipment, are they intimidated or is the equipment user friendly. Consider space available and its cost Will equipment consume too much space- consist height, width, depth aisle space requirements for the type of storage equipment in relation to available space. Protection and Security Consider the degree of protection and security accorded to records by the equipment, consider the nature of records at hand and determine whether the equipment will provide required security for confidential records. Will privacy of classified files be maintained /assured? Will it protect records from natural disaster/human elements? Length of Storage time Length of retention period will determine type of storage equipment. The established records retention schedule will provide guidelines. Records that must be retained for long period must be stored in equipment that will prolong their lifespan. Costs and Productivity Consider money allocated for acquiring the equipment. Go for equipment that is reasonably cheap but functional. Consider efficiency, reliability and maintenance cost of a record. Consider if the equipment will enhance productivity. Types of storage equipment Types of storage equipment can either be manual, or electronic Standard Vertical file cabinet This is commonly used to store paper based records, they are today made of steel, available in 2-6 drawers, most ideal is the 5 drawer cabinet. It provides easy access to records because of its floor height which allows office personnel to use all drawers without an auxiliary equipment. It has approximately 25% more space capacity than the commonly used four drawer model. It provides better air space utilization than the 2-4 models, the 2 drawer unit may be used for desks or tables top storage. The 3 drawer unit may be used alongside desk to provide convenient and accessible record storage and ready access to frequently referenced information. The 6 drawer unit may require the use of ladder/stepstool for personnel to access the top drawer hence their height  hinders their popularity for active record hence its convenient for inactive record storage. The 5 drawer cabinet is a common sight in office and registries, it is popular for transaction and filing. Ease of storage and retrieval of records makes this equipment very popular and active storage. Records are dropped/inserted into their folders within their drawers where necessarily removing the folders from their position in the drawer. Equipment is ideal when records are referenced only when they need to be (re) filed when only few people must use/have access to records. Equipment also provide adequate security for confidential/security classified records, equipment is durable and portable. All drawers may be used to store correspondences or top drawer(s) may be designated for storing special paper records such as cards, checks or standardized business forms. Disadvantages Occupies a lot of space Depth and length of drawer when fully opened must be provided for as well as space for the isle Maintenance cost is high because of more space to be cleaned Only one file worker at a time can gain access to the files thus creating a bottleneck if several people would want to obtain information from the files at the same time Storage spaces are not expandable to meet storage needs. Lateral File Cabinets They are lengthwise units whose shelves or drawers open broad wise, can be available with 2-6 drawers. It provides quick and easy access to record because all records are visible when drawers are opened or a shelf pulled out from the cabinet. The drawers are shallow and hence less effort is expended in opening drawers and accessioning records by personnel. Records can restored lengthwise facing one side of the drawer/shelf or facing the front. The drawer might be divided into section 3 and records stored horizontally. A six drawer lateral cabinet occupies less floor space (40%

Archives can be defined in three different ways depending on the contract: The Archival program The building housing archival materials The Archival materials themselves Definition of terms Archives refer to records, usually but not necessarily non-current records, of enduring value selected for permanent preservation. It can also be defined as a building that houses records of permanent and historical value to an organization. It can also be defined as records with permanent and historical value of a given organization and it can also be defined as Non-current records that have been identified for preservation because they possess an enduring value. Or it refers to a facility that houses records retained for historical or research value after their primary purpose has been fulfilled. Archives will normally be preserved in an archival repository. Archival repository refers to a building or part of a building in which archives are preserved and made accessible for consultation. Archives management refers to the area of management concerned with the maintenance and use of archives. Archivist refers to a professional staff member within an archival institution for any aspect of the selection, preservation or use of archival materials. OR it refers to professional personnel who manage Archives or Archival institutions. OR it refers to one who selects, appraise and preserve documents that an institution or organization judges to have historical value. Record A document regardless of form or medium created, received, maintained and used by an organisation (public or private) or an individual in pursuance of legal obligations or in the transaction of business, of which it forms a part or provides evidence. Record management is that area of general administrative management concerned with achieving economy and efficiency in the creation, maintenance, use and disposal of the records of an organisation throughout their entire life cycle and in making the information they contain available in support of the business of that organisation. Record Groups are all records from one creating agency or from one origin. Archives group are records of permanent value which documents specific activities. Record series is a group of related records, filed together, used together and which can be evaluated together for retention purposes.   Types of Archives Public Archives These are official records which have been created by the public sector and they have been managed in their respective registries. They are agencies that serve public organizations. Public Archives are normally managed by the National Archives of a given country e.g in Kenya Public Archives are managed by KNAD services. Public Archives are those records which are created in public organization and institutions and are governed by the relevant legislation e.g. Archives of government ministries and department Archives of local authorities and office of the president Parliament Electoral commission Judiciary Semi-Public Archives These are Archives of Parastatals institutions which are semi- autonomous or organizations of the government. These Archives are also governed by the Public Legislation e.g. Archives of Telekom, NSSF, NHIF, KPLC, KR and KPA Private Archives They are Archival agencies mainly for Institutions and are referred to as institutional Archives. They are records created by the individual private company. Institution or company policies govern political parties and them. The nature of information in these archives is on the functions and activities of these private companies and it is not open to the public for research unless under special permission. Business Archives These are Archives of business companies e.g. Archives of NGOS, Private business, Enterprises and other companies which engage in business and commercial activities which are governed by the institutional government policies. Religious Archives These are Archives that originate from religious bodies. They document the church, Temples, Mosque and other religious activities such as management of finances, administration growth and expansion of the church membership. Military Archives These are Archives records generated by the military forces e.g. in Kenya they include Archives of police force, National Security Intelligence (NSIS), Armed forces (Kenya Army, Navy and Air Forces) These Archives document military operations such  as Human Resource- Recruiting, training, pension matters, criminal investigations, Fraud, Robbers, intelligence information and administration,. Military Archives contain very sensitive information and hence they should be well managed. Sources of Archival Materials Archeological sources The study of ancient civilization by scientific analysis of physical remains found on the ground. Oral sources Information occurs from one generation to another without being written. Historical sites These are places / features concerning the past event based on the study of history e.g. fort Jesus Archives Collection of historical documents/ records and other noon-book materials from the government or private companies. Current sources of archival materials are: Artificial Collection, Religious Organization, Private business and Semi- public Institution Public institution. Sources of Archival Materials during pre-colonial period were Anthropology, Oral traditions, Linguistics, Archeological Sources. Characteristics of Archives They have an enduring value. They have historical value They have an enduring value They have Intrinsic value meaning it cannot be changed whatsoever They are unique because it should not be duplicated elsewhere. They are Supposed to kept in their original form Importance of Archives For legal purposes e.g. Constitution For administrative purposes e.g. keeping personal files/ documents Financial matters e.g. budgets For historical purposes e.g. photographs and artifacts For National development e.g. census records Uses of Archival Materials They are used for information purposes because they are referred to for information provision They are used for cultural purposes They are used for leisure and entertainment They are used as proof or compliant purposes because it provides a right to carry out an activity They are used for evidential value for it provides proof of organizations existence. Classification of Records Records can be classified according to: Types 2. Creators 3. Legitimate use 4. State of compilation 5. Importance/ Value 6. Manner of utilization. Types Basically records in this classification are in three forms namely: Paper based records, electronic based records, microform based records. Creators Records in this classification are: Public records Semi-public records Private records Legitimate use Records are opened or closed (restricted) confidential

INRODUCTION TO ARCHIVAL STUDIES NOTES RECORDS STORAGE NOTES ACQUISITION OF ARCHIVES NOTES ARCHIVES ARRANGEMENT AND DESCRIPTION NOTES ARCHIVES RETRIEVAL NOTES SECTIONS / UNITS IN AN ARCHIVAL INSTITUTION NOTES SECURITY OF ARCHIVES / RECORDS NOTES THE VALUE OF ARCHIVES AND THE ROLE OF THE ARCHIVIST NOTES FILING CLASSIFICATION SYSTEM NOTES RECORDS MANAGEMENT BASICS NOTES