MIDLANDS STATE UNIVERSITY
DEPARTMENT
OF
ARCHAEOLOGY,
CULTURAL
HERITAGE AND MUSEUM STUDIES
MUS 110 INTRODUCTION TO ARCHIVING
LEVEL 1 SEMESTER 2
Definition of Terms
-Records are documents that individuals or institutions create.
-A record is a unit of recorded information e.g. birth certificate, CV, driver’s license.
-Pederson (1987:360) defines it as the smallest unit of a recorded material which is
accumulated to form a file i.e. Letters, photographs, reports.
They provide litigation (process of going to law) support, show compliance with government
regulation, supply a historical reference of transactions and events.
FORMS OF RECORDS
1.
Paper records- these are created on paper in form of correspondences, minutes,
reports, ledgers, registers, notebooks, diaries, cartographic records i.e. maps and plans,
architectural and engineering drawings(i.e. iconographic), pictures, computer print outs,
handwritten manuscripts, hand drawn, typed manuscripts and printed ones.
2.
Records are also being created on other media other than paper e.g. Microfilm,
microfiche formats or computer output or microforms in general.
3.
Photographic records e.g. negatives, prints, x-rays and films.
4.
Records created on sound recording such as discs, tapes
5.
Moving images on films or video (audio-visual)
6.
As electric text or images copied in magnetic tapes or optical discs or in on-line
database called electronic machine readable records ( electronic records)
NB Some of the records may become archives.
Archives are records worth preserving for their enduring value
Such records have a longer value as evident of information about the action or functions of an
agency over time.
Archives are records but not necessarily non-current records, these usually have a continuing
value and selected for permanent preservation in an archival repository.
According to Sir Jenkinson a renounced British Archivist, archives are drawn up official
documents of transaction and are preserved.
Archives are records irrespective of media or storage as they are official i.e. Were created of
business.
They are basically the business (legal’ administration policy, fiscal) records of an individual
or public/ private entity preserved because of the value as evidence or because of people,
place and things.
Archives are the official and/ organised records of government’s records private/ public
organisations, institutions, group of people and regardless of date, form, material appearance
which are no longer needed for current business but are preserved as evidence of origin,
structure, function, activities, or because of the values they have.
Information in archives is of fundamental and continuing value in administrative, fiscal,
legal, evidential or informational (historical) purposes.
Etymological (study of the origin and list of words and their meanings.)
The word archives is from a Greek word “archeion” and Latin word “ achivum” both
meaning government office and papers there kept in.
HISTORICAL MANUSCRIPTS
A handwritten or typed document i.e. original unofficial records consisted of letters, diaries,
other papers created by individuals and corporate body.
Public archives can’t date from before the establishment of archives; neither do they always
reveal certain aspects of the past, particularly on the personal side. These gaps in the
historical which were missing in the public archives are filled in by historical manuscripts
which diaries, conferences papers, notebooks, reminiscence, maps, memoranda created by
individuals, travellers, missionaries, administrators or by men/ women who saw and took part
in the events. Historical manuscripts can include private archives from families, societies and
business sources which also help to argument the historical record.
Historical manuscripts refer to both business and private archives. The division of archives
into historical manuscripts and public archives is artificial since these records would have
been selected for permanent preservation thus making them all archives.
Because public archives do not tell the truth/ story about certain events or decisions the
National Archives approach members of public, political parties and politicians, religious
organisations, clubs , associations and other private organisation to donate their documents to
the archives or at least allow copies to be made available.
As a result a very valuable collection of private papers has been built up over the years. More
people have recognised and realised the honourable service they are doing the country in
leaving papers available for posterity. Among the papers now accessioned in that collection
are Lancaster House Conference papers, diaries of David Livingstone, letters of John Moffat,
of Rudd Concessions and Anglican Church records among others.
Besides providing vital information on certain topics these papers give an insight into the
thoughts behind certain important decisions events or incidents.
TYPES OF ARCHIVES
Archives are divided into three categories
1.
Public Archives – are created in public e.g. by the govt.
2.
Private Archives- are created by individuals.
3.
Business Archives- created by the private institutions.
a)
Public archives are official created by the state local authorities, statutory bodies or
parastatals.
b)
Private are created by individuals during the conduct of their business e.g. diaries
c)
Business are created by non-governmental organisations, they preserve the history of
an organisation, companies and similar enterprises.
USES OF ARCHIVES
1.
They are need on a daily basis as they are a source of information about action taken
or decisions recorded in the past which continues to affect our rights to affects our rights and
entitlements
2.
Registers of births, marriages, deaths, adoptions help to establish our identity, our
ancestry or birth rights.
3.
Title deeds contain evidence of individual rights to real estate or age of building and
succession of its ownership.
4.
Charter defines corporate rights and privileges’
Potent (powerful) for designs and inventions protect commercial interests.
5.
At national level are key to understand govt’s past policies and decisions which have
affected every sphere of life in both domestic and foreign policy.
6.
Serve as wider cultural need as they provide a framework for our understanding of the
past, how our fore bearer thought and behaved, what life was like for them, how they worked
and played, social, political, religious context of their lives.
7.
At local community level, they help to explain how a building, street village or town
or for a matter of business or other organisation like shape and why it is as it is now.
8.
They provide answers for particular puzzle of local history as they preserve primary
sources that are unlike books and newspapers they are unbiased.
9.
They make efficient research possible
10.
They preserve our cultural heritage for posterity
11.
They fill in official needs.
12.
They protect the public interests.
13.
They free office space to current operations.
THE VALUES OF ARCHIVES
1
Administrative Value- the value of records and archives for the conduct of current or
future business as evidence therefore:
2
Evidential Value- provides evidence of its origin, structure, sanction procedures and
significant transactions as distinct from informational value.
3
Informational Value- for reference and research deriving from information they
contain as distinct from evidential value.
4
Legal Value- for the conduct of current of future or legal business and evidence
thereof:
5
Fiscal Value- value of records or archives for the conduct of current future financial
or fiscal business and as evidence of thereof:
RECORDS HELP TO:
1.
Formulate policies
2.
Make appropriate decisions
3.
Provide corporate memory
4.
Achieve greater efficiency, productivity and consistency
5.
Meets statutory and regulatory requirements (meeting requirements of law).
6.
We keep records to protect the organisation’s interest and those of its staff and clients.
7.
To document activities and achievements
8.
To reduce the risk associated with missing evidence of decisions and actions.
9.
In government organisations are important for
Transparency
Accountable
Good Governance
Recorded information protects human rights and it underscores the rule of law and fair and
equal treatment of citizens
Citizens expect the govt to maintain reliable and accurate documentary evidence of its
decisions and actions e.g. records are the basis of determining whether revenue collected on
behalf of the citizens is spends in a way that benefits them e.g. health, education.
CREATION OF RECORDS
-They are created and used by all people and institution daily.
-records are created in transactional process of govt as laws are made, budgets prepared,
surveys conducted, reports made, instruction formulated and issued, letters received,
responses given to enquiries, statistics compiled, staff recruited, promoted, demoted, retired,
deaths, marriages, births, registered taxes, other deduced levied economic plans, formulated
licenses, nurseries and schools built, certificate of educational attainment issued as various
govt processes are carried out.
-records exist primarily because of the need to keep a record of transactions carried out
-no government can function without records
-if records exist and they are not well managed it is equally difficult to achieve efficiency
Types of Records
Public Records –those records created, received and maintained in any agency of govt.
Private Records- records relating to private affairs and are created by non-governmental
institution, organisation, families and individuals.
FORMS OF RECORDS
-Records are created on the following forms
a) Paper-based AKA Hard-copy
-Information is created on any form of paper is considered a paper document e.g. business
forms, purchase orders, blue prints, index cards, memos, letterheads, maps, stationery.
b) Microform based
-Information is recorded on any type of microform
-hardcopy is filmed and reduced in size are called micro images or microforms
Categories of microforms include roll film, microfiche.
c) Electronic Records
-Information recorded in a digital form such as computer tapes, floppy disks, magnetic tapes,
optical and hard disks.
-Digital data can be stored internally in a computer (online) an externally (offline) on floppy
disks or magnetic tapes etc.
-Digital data is received and stored through microcomputers, main frame computers etc.
-Digital based records are electronic files.
USES OF RECORDS

Verification of facts.

Compilation of reports and studies

Research

Finding precedent

Collection of statistical data

Handling of legal claims

Protection of national interests.

Restoration of buildings

Administration
-Records are the corporate foundation of a corporate memory of an organisation.
-foundation for the management of knowledge
-foundation for the accountability and good government and sound governance.
WHY KEEP RECORDS
Serve as a memory
They are created and used on a daily basis to document action, confirm decisions, identity
rights and responsibilities and communicate information.
Without records today govt cannot operate, it is no longer possible to remember vast
quantities of information.
-govt uses records for various purposes:
a) Documenting work performance of workers or employees
b) Confirming pensions leave benefits and health.
c) Confirming and reviewing policies and procedures
d) Confirming citizen’s (actions) rights such as benefits or land ownership.
e) Providing information about past actions and decisions.
-Govt employees rely on records to provide co- information for conducting their private
business.
-the National library, Museum, Archives and other national institutions are essential research
resources.
WHO USES ARCHIVES AND RECORDS
Govt representatives requiring info about govt activities.
Professional/ academic researchers from various disciplines.
Researchers and amateur researchers/ undergraduates.
Genealogists
Members of the public.
Others wishing to be in contact with primary sources of national culture and tradition.
Anyone with an urgent problem that can only be solved by referring to records
-once received by recipient, records provide recipient with the information needed to transact
an organisation’s business.
CATEGORIES OF RECORDS
Financial- created for accounting and fiscal uses e.g. financial statements and tax forms.
Legal – created for evidence of business transaction or legal decisions e.g. contracts
agreements and leases
Administrative – for documenting policy, procedures, guidelines e.g. directives, reports and
manuals.
Research- to determine recent development trends or new information, related to an
organisation’s products and services e.g. market services, studies.
Historical – to provide a record of an organisation’s past and current activities also referred
to as archival records (articles of in cooperation, deeds)
VALUES OF RECORDS
Primary – refers to the purpose to which a record was created and largely the consent of
administration or creating body in its business.
Secondary – such values are for the purposes other than for those purposes it was created and
essentially a concern for archivists who have to bear the interest of the public.
-the record appraiser has to look at or for such value in records.
Primary
Secondary
Administration
evidential
Legal
informational
Fiscal
Scientific
The primary or active value of records is of interest to the organisation only for current
operation and includes administrative, fiscal, legal and scientific uses.
-NB Primary values are for the originators of records.
Records are preserved in archival institutions because they have values that will exist longer
after they cease to be of current use to the originator.
When a record is now of others, other than for current uses it is has a secondary value
Secondary values are for researchers and private users
ADMINISTRATIVE VALUE
It is a primary value of records for the admin or operations of creating agency or success in
function.
Records have an admin value if they help an organisation to perform its current work whether
short or long term work e.g. requisition and admin memos have short term value, directives,
and regulation have long term, statistical or internal reports- long term.
LEGAL
Records that have a legal value contain evidence of the legal rights and obligation of an
organisation e.g. leases, property titles deeds, contracts, legal decisions and legal opinions,
agreements and potent
FISCAL
These relate to all financial transaction and are accumulated for fiscal or year-end use e.g.
budget documents, vouchers, ledgers, accounting records, tax payments records, licences,
invoices, cancelled cheques, payroll documents etc.
SCIENTIFIC /RESEARCH VALUE
These consist of technical data gathered as a result of scientific research.
These records may also be used for organisational studies or in legal investigations.
SECONDARY OR IN ACTIVE
Records may have historical or archive use i.e. evidential and information.
EVIDENTIAL VALUE
These deals with organisation’s origins, policies, procedures e.g. directives, manuals,
organisational charts, articles or corporation and handbooks.
INFORMATIOMAL VALUE
Deal with information generated by an organisation, in which the data relates to persons,
place, things and phenomena e.g. lists of boards of directors, documents signed by well
known person /s, patient documents, building blue prints, field survey notebooks, aerial
photographs, maps, documents dealing with an election or same catastrophe like a fire or
flood.
NB-same records may have more than one value, different values at different times.
TERMINOLOGY
ACQUISITION- it is the acquiring or accepting of archival material by archival institution.
In an addition to the holdings of records centre or archives whether by transfer, purchases
deposit, gift /bequest or loan. It is the responsibility of the archives to acquire records of its
parent’s organisations (by approved disposal schedules) and the records of outside persons or
bodies (subject to archival appraisal and legal transfer of custody, title and rights.
Agreements for acquisition oblige the archive to care for the records indefinitely and
represent a major continuing commitment of resources. Materials acquired by archives see it
fit which includes the right of archives to de-accession or dispose of material deemed nonarchival. The process and condition of acquisition must comply with the guidelines and
procedures devised by the archives. Acquisition is again the basic duty for the archivist. In
certain condition archivists start to be involve for it is at that point that decisions are being
made as to what will be kept or destroyed and what point it is preserved.
ACCESSIONING- is a process of transferring records to the physical custody or legal
control of an archival institution.
The culmination of the appraisal process-records accessioned by an archival institution
become its property and responsibility and must be cared for and made available to
researchers. Records no longer needed for the conduct of current business shall be accession
in an archival institution.
Accessioning is the recording of all former acceptances into the custody of an acquisition.
Archives should keep a record of accessing. This may easily be achieved by using a register
showing dates of transfer, transferring organisation, class and pieces of references,
description of class, agreed access, arrangement and location of file in archival repository.
Accessioning is the accepting of archival material by an archival institution. Details are
entered into the Accession Register. It is a formal process in which documents the transfer of
legal title of archival material to the archives.
DEACCESSIONING-removing items permanently from the archives just as you can
accession material, bringing material under the archives control, so too can de-accession the
material.
FORMS OF ACQUISITION
BEQUEST
When an archival institution receives materials when somebody dies usually through a lawyer
e.g. wills.
DEPOSIT
It’s the physical transfer of records to the archives without the legal transfer title. It is the
placing of documents into the archives’ custom also referred to as documents covered by a
single deposit.
DONATION
Archives receive acquisition through donation from local citizens, private institutions, other
associations and groups.
Archives can solicit for donations by letting the communities know about the existence and
interests
Archives should be active participant’s rather passive recipients of archival material.
TRANSFER
This is moving archival material from one institution to another.
LOANS
ARRANGEMENT AND DESCRIPTION
All records brought into archival custody shall be arranged and described according to
principles to the extent necessary to make them available for research.
Records that have not been processed cannot be used by researchers.
PRESERVATION
Is the basis for an archival programme, efforts are made to provide facilities, the environment
and resources to prolong the life of records in custody.
CONSERVATION
It is a treatment of library and archival material, works of art or museum objects to stabilise
them chemically and to strengthen them.
TRIAGE
A medical term used for selection in which doctors sought patients and allocate treatment
based on the resources at hand and the number of patients to be treated.
Patients are divided into 3 groups:
1.
Requiring immediate attention
2.
Those whose treatment would be of secondary priority as resources permit.
3.
Those who will not survive even if treated.
Archivists also use the three categories of sorting records
1.
Those of enduring value
2.
Those which do n to or are nor worth preserving
3.
Those whose preservation will be secondary priority if resources permit.
They have to justify sufficient values so that they can justify the cost of sufficient storage,
arrangement, description, preservation and reference
The more scarce the institution resources the more the difficult the appraisal decision
becomes.
Triage has become reality because of limited resources, storage places, financial support and
space available.
For appraisal to be successful, it should cover the whole life span of record from creation to
disposal i.e. from cradle to the grave.
APPRAISAL
It is process determining value based upon
a)
Operating, administrative and fiscal value
b)
Evidential and informational value.
c)
Arrangement and physical condition
d)
Intrinsic value i.e. value attached b archivists e.g. an invitation card to someone for
the first time we got independence
e)
Relationship with other records takes into account the type i.e. administrative and
housekeeping and other recurrent routine records.
f)
Content – also covered by evidential and informational value
Formal instrument including memberships documents, agreements with other organisations
or govts and other legal documents, minutes of conferences and meeting proceedings.
g)
Rarity/ Age –conditions under which they are created and used or any value to
understand the past.
h)
Volume – in case of large quantities, records must be evaluated at series rather than
item basis.
This justifies sampling e.g. court cases.
i)Time span
j)Accessibility
REAPPRAISAL
Values and standards change with time, reappraisal of documents is also an important activity
if a box of documents has not yet been opened in ten years; one might revaluate its research
value.
If restricted material is always prevalent it is necessary to ask perhaps the restrictions ought
to be reduced or removed.
If one chooses to remove materials, already in the archives you may decision it.
RECORDS MAINTANANCE AND USE
Current records are maintained in their office of origin in an associated records office or
registry.
They are primarily used bin officers of the creating agency.
Current records are not normally available for public research.
Current records are used for conducting current business of an institution or individual (active
files)
The purpose of managing current records is to ensure efficiency and economy in office
operations to control the creation and use of information and to protect valuable information
against loss or damage.
Records maintenance and use involves subjecting records to proper conditions for it is to be
useful and to serve the purpose for which it has been created.
A decision has already been made on how it is going to be stored and retrieved.
This phase of the life cycle is basically characterised by storage and retrieval of records since
this is when it is in active use.
All these activities take place on board registry operations.
The initial filing and indexing decisions largely on condition the easy and difficulty in
accessing information in archives.
When archivists undertake archival process of appraisal, arrangement and description, they
will be guided by conditions in which the records are created and maintained.
Some of the records being maintained will one day become archives and will be permanently
preserved.
During this phase filing systems in the registry should by all means enable information to be
accessible timorously so as not to delay decision-making in the process.
It essential to constantly separate current records from ephemeral as a space of saving
gimmick.
Vital records need proper handling since destruction of these could spell disaster for the
organisation.
These require strict protection from hazards like fire, pests, water, floods and unauthorised
access.
During this phase there should be appropriately used in fire resistant cabinet and file rooms
were at least information is accessible when needed.
RECORDS DISPOSAL- DEATH
It is the final process of the life-cycle of records.
This stage either includes disposition or permanent storage.
Because a record ceases to be of any use in an organisation, it has created, doesn’t warrant
that it should cease to exist.
Decisions on what to do with it depends on what value the information contains.
A record has two values I/e. Primary and secondary values.
Paper records are disposed of by burning, shredding, pulverizing (grinding and smashing into
powder/ dust) and pulping (substance with soft texture, grind).
Microform based records are disposed by means of shredding and pulverising.
Electronic records are pulverised or erased.
Records management is the scientific approach to managing records’ creation, use,
distribution, storage retrieval, preservation, retention and disposition of recorded information.
HISTORY OF ARCHIVES – PRE-FRENCH REVOLUTION
Archives are as old as civilisation but however archival administration started in France.
The ancient world preserved records in a variety of media.
The art of writing and records creation had their origins in the empires of Babylon, Sumers,
Egypt and Assyria.
These empires created large quantities of information on clay tablets.
Egypt in particular was well documented and there are cases when archivists were required to
produce records in court as evidence of transaction.
With the collapse of the empires record production activities were reduced as compared to
elaborate ancient govts.
Record based administration in Medieval Europe was at lower footing.
Writing and recording were confined to monasteries and King’s courts, consequently archives
were private property.
Archives in this ancient world was maintained and utilised in the name of the state
functionaries going about their business.
In this their activities were similar to contemporary church and business organisation.
THE FRENCH REVOLUTION
Modern archives are devised as by-products of the French Revolution. The French
Revolution marked on new age in Archival administration. France and other European states
recognized their responsibilities to preserve and care for the citizens’ records. Public access
to govt records was initiated and for the first, archives were legally open to the public. The
revolution brought with it the acknowledgement that public archives were essential to
preserve and administer the nation’s heritage.
In 1789 the French National Assembly provided for an archival institution to house their
parliamentary records. France established the first modern archives in order to document
newly won freedom and to protect citizen’s rights.
A decree of 25 June 1794 established the Archives Nationales as the country’s repository and
reaffirmed the French govt’s beliefs that the records of past regimes and present govt were a
public property. Access was guaranteed in newly established public archives.
The decree of 1794 guaranteed the archival nationales jurisdiction over the records of govt
agencies, provinces, communes, churches, hospital and universities. The Central Archives
Institution for Revolutionary French state was established and established and existing
repositions in the provinces were subordinate to it.
The Agencie Temporaire de Titres created by the decree of Messidor II and was in charge
with the disposal of records was later replaced by the Beaureau du Triage and headed by the
archivist of the republic.
The principle of accessibility of archives to the public was proclaimed. By an article 37 of
Messidor Decree “Every citizen is entitled to access very repository ...........for production of
documents it contains. This ushered what Esner Posner had described as the “beginning of a
new era in archives administration.
1796 it created the first the 1st centrally directed state-wide archive system. With the
revolution, the new government gave birth to Morden national archival system. After the
French revolution, the government archives were considered to be public and not private
property. This action therefore worked efficiently, the beginning of the demise of secrecy that
surrounded the storage and preservation of records. The change and concept of archives
institutionally and legally owes a lot to the French. The French approach ushered in the era of
accessibility to the archives of the nation by it citizens. One effect of the French revolution
was mark the gradual rise of archives as (arsenals of history).
The Morden archives in the world and legally the first archives act was created. Other
countries copied French’s commitment to preserve the documentary heritage.
In 1810, Napoleon tried to centralise all archives in Europe in Paris but his efforts/plans to
centralise them collapsed with his downfall in 1814 and each country had its own archive.
The Italian kingdom of Naples in 1818 and Sicily in 1843 set up a central repository for their
administrative records.
By an act of parliament of 1838, the republic records office was established in England. A
fire outbreak in 1834 had destroyed most of the House of Commons papers housed at a
palace in Westminster saved in intensify the concerns of England’s records. A national
archive was established by the British in India in 1891 and by the Dutch in Indonesia in 1892.
Pope Leo X11 (1898-1903) in Italy elevated the archivist of the Vatican Archives to Cardinal
and in 1880 opened the doors to outside researchers.
In USA, growing patriotism and self identity in the wake of nationhood resulted in an
increased interest in preserving historical records. In South America, a national archive was
established in Argentina in 1821.
In North America, the provincial archives of Nova Scotia were formed in 1857. Initially, in
the first years of the French revolution, France had seriously considered centralising all
records in one national archive but later, the French archivists rethought and developed
sectional and local depositories (Archives Departmentales). In 1851, Norway established
provincial archives in the Northern part of the country.
1810, Sweden and Denmark also began to set up provincial archives for government records.
The revolution prompted countries to make archives accessible for public examination.
European states competed in assembling and publishing archival material as well as
documentary sources egg in England, they had Raw Series and Calendar of State Papers. In
USA, they had US Papers.
Historical writing began to emphasis the study and use of primary sources and use as
reference for written evidence. The impact of these ideas of the French revolution romantic
nationalism flourished and promoted an increase in historic scholarship in the 19th Century
Europe. In the search for history and identity, this influence archival developments. With the
increase in the use of archival material, came important changes in archival administration.
The industrial revolution which followed the French revolution lad to gradual nationalisation
of social structures and public land, thus Morden historiography based on critical analysis of
sources began to develop. In Europe, there was a tendency of centralising national archives in
one place. The changing medium of information storage also produced tremendous results in
development of archives administration. Changes from clay tablets to papyrus to parchments
and then finally to paper led to an improvement in recording. The invention of print
machines, typewriters, audio visuals and computers gave rise to new means of storing
recoded information. NB this however posed new challenges to archival administration.
1840, the French took lead in the development of Morden archives system. The Principal of
Respect Des Fonds required that groups of documents created buy one office be treated as
unique and preserved accordingly. The French continued their attempts to satisfy researchers’
demands by dividing files with each office to subject classification.
In 1890, the Principal was extended to the Prussian doctrine on Provenance stated that
records are to be maintained according to their origin, arranged in the order used by their
respective offices. The Dutch (1898) gave both principals their sanction in the first Morden
published archives manual. The growth of regional and national archival institutions in
Europe and development of Archival theory led to the first organised training schools for
Archivists. Kin 1821, the Ecole Des Chartes was founded in Paris for the purposes of
providing training in handling of historic sources.
In Austria, the institute for Austrian Historical Research was established in Vienna (1854).
In 1877, Russia began the training of Archivists at Petersburg Archaeological Institute. NB
Most European states and the rest of the world followed the French principal. As a result of
colonial legacy, Zimbabwe had its National Archive in 1935.
Conclusion
The French revolution’s effects were for archives administration and marked the begging of a
new era. Previously centralised archival institutions in Europe were transformed into central
republic archives. 19th Century states acknowledge their responsibilities of preserving their
documentary heritage and made them accessible to their citizens. The ideas that germinated
in the French revolution profoundly influenced the development of archival administration in
the 19th and 20th Century.
EVOLUTION OF ARCHIVES IN 3RD WORLD COUNTRIES WITH REFERENCE
TO ZIMBABWE
Centres in Europe had a much longer period of archival experience than any other continent
in the world. The concept of archives preservation reached Africa, South of Sahara through
colonisation. This explains why the earliest archives of developing states were primarily
repositories of records of their colonial past. The administrators were primarily concerned
with records that had current relevance.
Records were generally in poor conditions and inadequately housed. Staffing of archives was
minimal and archival expertise was found wanted. Most records were removed to the
metropolitan states by colonial administrators. At the time of independence, it was colonial
master who decided the fate of records
Some of the records that had been sent to the metropolitan were repatriated or microfilmed at
independence. In the colonial era, means of management of the records through the first two
stages of life cycle were non-existent. Records centres were non-existent or were dumping
grounds of unwanted records.
NATIONAL ARCHIVES OF ZIMBABWE
Historical background
It was established through an Act of Parliament 1 September 1935- Legislation.
Name of NAZ was changed due to political circumstances. 1st name was Government
Archives of Southern Rhodesia. 2nd name was Central African Archives – 1945. 3rd was
National Archives of Rhodesia- 1958 and 4th National Archives of Zimbabwe – 1980.
FUNCTIONS
Divided into 4 sections
1.
Public Archives and Research
This section is responsible for the processing and description of archives in inventories and
guides. Provides access to and preservation of archival holdings.
2.
Records Management
Section is responsible for the provision of records management services to government
department, local authorities and parastatals and statutory bodies. There are also the
deposition and storing of semi-current records at records centres. Records centres at these are
housed in inexpensive high density accommodation.
3.
Library
This section looks after administration of printed publication which covers deposits of all
newspapers printed in the state – Public Publications Act. The responsibility of collecting and
preserving the nation’s literature. It is Zimbabwe’s reference library (comprehensive
assembly of printed matter in existence concerning Zimbabwe and about Zimbabwean,
irrespective of subject and language. This is responsible for the photographic collection
through the IIIustrations Unit. The IIIustrations has more than 30 000 photos of Zimbabwe,
since the coming of the whites (since the Portuguese came to Zimbabwe). The unit houses a
comprehensive photographic collection of the country’s history. Some of the photos are
donations from the Ministry of Information. The Unit also has national heroes of the state and
painting of Baines, Alice Balfour in prints.
4.
Technical Section
a)
Oral History Unit- gathers life stories and experience of Zimbabweans about
Zimbabwe’s history. Oral information plays a role in comprehensive written documents e.g.
chieftainship, farm labour, colonial labour, liberation struggle, Christianity, social
development
CAPTURING OF A FADING NATIONAL MEMORY project 2004 –
b)
2008.
Audio-visual – responsible for preservation and providing access to film video and
computer tapes ( All forms of audio- visuals)
c)
Reprographic – responsible for the microfilms and reproducing photos
d)
Conservation Unit- responsible for the physical well-being of archival holding.
Repairs and restores documents.
ORGANISATION AND STRUCTURE
Under the Ministry of Home Affairs and the Director at the helm of the department. The
Director reports to the Minister.
Staffing
There are chief archivists and archivists complement the director’s function along with the
Deputy Director. Record’s Managers, reprographers, conservators, Executive Assistants and
Office Orderlies.
Archives Administration
Stock checks done annually in March hence it is closed.
WHY
1.
Identification of misplaced and missing files
2.
To check on the physical condition and determination of holdings. (restoration
measures)
SECURITY
There is the use of one entrance which is manned at all times. Escorting of visitors to nonpublic areas. Use of visitors’ registers. Television monitors in research or reading rooms.
SEARCHROOM CODE OF ETHICS
There is the exclusive use of pencils not pens. Eating, drinking and smoking are strictly
prohibited.
Disaster Prevention and protection
There is the use of enamel backed steel shelving and cement instead of wood in storage area.
Use of fire alarms, smoke detectors, overhead sprinkler systems
NAZ was founded in 1935 and contains collections of official documents, private papers of
individuals and organisations, oral history tapes, maps, photographs, films and sound
recordings. Also has a comprehensive reference library and display gallery for historical
exhibitions.
THE NATIONAL ARCHIVES ACT 1986
Archival Legislation
Laws, regulations that govern the specific activities. Legislation defines issues
i.
As it points out differences between private and public records
ii.
Differences between records and archives
iii.
Differences between archives and manuscripts.
According to IRMT 1999: The basis of all records management activities/ authority is
comprehensive and up to date legislation or in private sector i.e. concrete and effective
policies. According to Granstrom (2002) legislation is the expression of principles. Article
NO II produced by the ICA (1996) all archival legislation should define the respective roles
of National Archives and various gvt department for appraisal and destruction of records.
Legislation to also specify the formal responsibilities for appraisal and destruction of records
and define one authority as ultimately responsible fot these functions. Archival legislation
should oblige all bodies creating state records not to destroy them without the consent of
National Archives. NB for classified information to be made public it has to be declassified
first.
Importance of legislation
Gives legality to all archival operations. Gives guidelines of how archival operations are to be
done e.g. appraisal, accession, acquisition, preservation, storage of records, accessibility.
Ensure that there are standards and uniformity in archival services. It legalises the custody of
records by archival institutions. Keeps people informed of their rights, in respect of archives.
Reduces incidences of controversies by simplifying the methods involved in archival
administration. Makes the archivist fully informed of his or her duties. It imposes on creating
agencies the obligation of maintaining departmental records, rules, timely disposal of records
and standardisation of appraisal system. Puts archival institution and professions at a better
academic footing.
NB these laws which are enacted through parliament for the protection and safeguarding of
archival materials or records.
Legislation on records management functions
To ensure that records are managed from creation i.e. to cover the entire life of the life-cycle
of records. There is need for a comprehensive record management to be in place. Archivists
have the power to determine the disposal of records.
Inspection of records- records survey, public audit.
a. Nature and type of records
b. Date/ ranges of records
c. Filing system
d. Security of records e.g. threats
Archivists to assist in drawing up disaster preparedness plans. To project the future space
requirements is very expensive. Archivists identify records for permanent value at the part of
creation to give advice on the medical/ format to keep the records.
RECORDS CENTRE
Filtering plant- a limbo – a repository
Intermediate storage or low cost storage where there is high density shelving in order to
economise storage space.
APPRAISAL AND DISPOSAL
Appraisal- prescribing values to records
Disposition- transfer to archives or destruction.
Archival Activities
1. Acquisition- private archives from prominent personalities.
2. Transfer – either from a records centre or archival institution.
3. Preservation – protection of records from threats to prolong life-span.
4. Access – dilapidated state/ damage, political, private e.g. after death, access
restrictions e.g. 25 years.
5. Copying of records/ archives- to guard against infringement of copyrights. Legislation
must specify, recognise these copyright laws.
Archives support corporate administration and underline the right of individuals.
Archives guarantee citizens’ rights to access information and to know their history.
They are fundamentals of democracy and good governance.
According to Mnjama (1996) to a larger extent the success of records management
programme depends on the broad carefully, constructed archives/records management law.
How this is not the case in most African countries e.g. there is lack of such legal framework
often results in diminished program sports that cannot provide effective records management
from creation right up to disposal.
Archival legislation needs a review e.g. NAZ act is silent on what appraisal entails
Records related legislation and policies must address a number of important elements.
i) Define what a record is and also records in all media, formats or received at all
levels.
It should exclude information sources e.g. library materials and equivalent sources of
electronic data that may be available but themselves form part of or provide evidence of
business administration.
Legislation or organisational policy must establish a framework for continuous disposal and
appraisal of records.
responsible for the above mentioned should be assigned to appropriate agencies
general on appraisal and retention should be issued by records/archives institutions.
Rules must be established for the orderly and timely transfer of semi-current records of
continuing utility to a records centre and records of enduring value in archival repository.
Comprehensive up to date cords and archival legislation is a critical prerequisite of effective
life cycle of records/archives management since it establishes the framework in which is
appropriate records/archives systems can be created and provides the authority necessary for
that implementation
PRINCIPLES IN RECORDS MANAGEMENT
The care of records is governed by two principles
a) Records must be kept together according to the agency responsible for creation and
accumulation in the original order established at the time of creation i.e the principle
of respect des fonds.
b) Records should follow a life cycle- life cycle concept.
Respect des fonds means respect the creator of records.
Principle consists of related concepts
i) Provenance
ii) Original Order
Provenance – the concept requires that records or archives of an organisation or person are
not mixed or combined with archives of another.
Provenance refers to the “office of origin” of records.
Original order- refers to the order and organisation in which the documents were created and
stored by that office of origin.
The concept requires that the order in which an organisation or person created, maintained
and used to be respected and preserved. For example if records were received into custody
files arranged numerically, therefore this is essential to maintain that order
WHY IS IT TO ADHERE TO THE PRINCIPLES
Records and archives are unique, organic materials with evidential and informational
properties.
These principles and concept are designed to preserve records essential qualities. This means
that records/archives in custody can still be used by their creators because their system of
control is intact.
It enables successive generations of researchers to refer to archives in their original state.
It also enables them analyse, deduce and interpret for themselves.
Archivists and records managers should observe these guidelines:
i)
Records of separate entities must separately be managed even if agencies in
question are managed by the same people.
ii)
Do not combine records of two agencies.
iii)
Private records of individuals must not be integrated, even if individuals are
related or experienced the same events.
iv)
Records of separate entities must be separately managed and their original order in
which the records were received must be maintained. The original order in which
records were received by an archival institution must not be changed; the order
reflects the activities and functions of the organisation or agency.
Records must not be in order by subject date or medium of material, if that was not the
way they were created.
LIFE CYCLE CONCEPT
This is the analogy of a record from the life of a biological organism which is BORN,
LIFE and DIES.
Similarly to a record, it is created, used as long as it has a continuing value and disposed
off by destruction or transfer to an archival institution.
Life cycle concept is essential principle of records/ archives management.
Without effective management of records throughout the life cycle, vast quantities of
inactive records clog up expensive office space, it is virtually impossible to retrieve
important administrative financial and legal information.
Such a situation undermines the accountability of the state and endangers the rights of
citizens
Without a management programme that controls the records through earlier phases of the
life cycle, those that are the archival value can not readily be identified and safeguarded
so that they can take place in due course as part of the nation’s historical and cultural
heritage.
PHASES OF THE LIFE CYCLE CONCEPT
3 Biological stages are seen as equivalent to the life of record.
i) Current Stage – records are used regularly in the conduct of current business and
maintained in their place of origin or file store- REGISTRY.
Current records are regularly used for the conduct of current business of an organisation or
person- AKA Active records.
ii) Semi-Current Stage- records are still used but infrequently in the conduct of current
business and maintained in a records centre.
Records are referred to once or twice a year and semi –active. Records still belong to the
creating agency but are still in the custody of the records centre.
Non-current Stage- records are no longer used in the conduct of current business therefore are
destroyed unless have a continuing value for other purpose which merits their preservation as
archives in a repository.
Non- current AKA Inactive records
CONTINUUM PRINCIPLE
It is an expansion of the life cycle concept due to some overlapping tasks.
The principle suggests that 4 Actions Continue or recur throughout the life of records and
archives management need to be rigidly maintained.
FOUR ACTIONS
1. Creation and Acquisition
2. Its placement within a logical, documented system that governs its arrangement and it
facilitates its retrieval throughout its life.
3. Its appraisal for continuing value, recorded in a disposal schedule and give effect at
due time by appropriate disposal action.
4. Maintenance and use- whether at creating office, records centre or archival
repositories and whether use is by its creator, successor in function or third party such
as the researcher or other members of the public.
FOUR ACTIONS OF RECORDS CARE
Process
Records Mgt Action
Arch Mgt Action
1. Identification &
Creation & receipt
Selection& acquisition
Creation
2. Intellectual control
Classification within a
Arrangement & description
logical system
3. Access
maintenance &use
Reference & use
4. Physical control
disposal by destruction or
Preservation
Transfer to archives
The continuum model of life cycle of record works comfortably in the 3 phases of the
model i.e current, semi-current and non-current records and archives.
The model is compatible with the separate maintenance of records in a repository, records
centre and registry.
The life cycle and continuum principles allow for the integrated approach to records
and archives mgt.
ARRANGEMENT
Is the organising of records and archives based on the principles of provenance and
registry principles reflecting administrative structure or function of the originating
organisation.
An organisation upon the other criteria adapted to the physical type or form or content of
the document such as alphabetical, numerical, chronological, and geographical or subject
order maybe used.
Arrangement can also involve reboxing, labelling and shelving.
1st type of arrangement is referred to as intellectual arrangement.
2nd type of arrangement is referred to as physical arrangement.
Before the French Revolution, there was the universal acceptable principle of arranging
archives.
Archivists tended to rely on the subject matter rather than organic nature of records/
archival materials.
French Revolution overturned the subject matter group system and introduced the respect
des fonds. The principle of respect des fonds was adopted by the French in 1864.
In 1881 Prussia (state of Germany) archivists improved the principle and became the
principle of Provenance.
The principle was later married by that risk to the registry principle.
Provenance means place of origin.
The registry principle AKA as Original Order i.e. the order in which records were created
in their registry offices.
Original order should be respected because it helps to understand the sequence of action
or decisions in the originating organisation.
Original order can also be the administrative changes that the organisation would have
undergone.
ADVANTAGES OF THE PRINCIPLES
1. Records are arranged according to the provenance and do not run the risk of
misplacement.
2. Archivist doesn’t have to spend a lot of time arranging the records into the subject
matters grouping.
The records arranged clearly reflect the history of the creating agency or organisation.
Identification of records in the creating department doesn’t change in the archives.
LEVEL OF ARRANGEMENT
When archives are received their original order and origins or provenance should be
identified.
Archives are organised into levels according tom the principles of provenance and
original order.
Levels of arrangement include institution group series, sub-group and item.
1. Group AKA archives group or fonds or records book. The group is the primary
division in the level of the department or originating organisation.
2. Sub-group- below group level, usually archives of a subordinate administrative unit
with its own record keeping.
3. Series- a level of arrangement of files or other records of an organisation/ individuals
that brings together those relating to the same function or activity or having a
common form or some other relationship arising from creation, receipt and use.
Series aka class or files series.
A file is an organised physical assembly usually with a folder of documents grouped
together because they are related to the same subject activity and transactions.
Usually the basic unit within a records series.
WHY ARRANGE ARCHIVES?
1. They can easily be consulted by users.
2. Care for document physically.
3. Determine if there are any documents whose access is restricted.
4. Establish whether there are document that document that could be weeded out
(ephemeral value).
DESCRIPTION
It is to record detailed information of the nature, contents and formats of each series
and relate it to its provenance.
One important function of archives is to make material available to user.
The only method by which you cal fulfil this basic task is to describe them in the form
Finding Aids.
Description is a process of recording standardised information about the arrangement,
content and format of records so that they can be available for use.
It’s a process of establishing intellectual control over the holding through the
preparation of finding aids.
Archives are described to:
1. Facilitate easy retrieval of information
2. Have control over archival resources by the archivist
3. Provide information on archival resources for researchers by:
i.
offering a broad overview.
ii.
Proceeding from the general to the particular.
iii.
Providing points of access through indexes.
iv.
Making the description accessible.
FINDING AIDS
Descriptive
Inventories
Indexes
guides
Calendars
item lists
item catalogue
shelf-lists
Descriptive Inventories
Are the basic archival finding aids.
Give information about the context in which a particular group of records was created and
about the nature and extend of the collection.
A descriptive inventory to consist of:
1. Introduction
2. Table of contents
3. Adnistrative history & biological role
4. Series description
5. List of items
6. Indexes to the physical location or shelf lists
7. Indexes to the main names, functions and topics mentioned in the inventory
Administrative history show the who, when, where and how of an organisation
SOURCES OF WRITING ADMINISTRATIVE HISTORY
Information for writing an administrative history is derived from records themselves as
you process them and sources such as
1. Procedure manuals
handbooks
Organisational charts
legal instruments of creation
Constitution
annual report directives
Newspapers and journal articles
notices
Interviewing staff
Guides
A complete description of a group of records
Contains brief administration history of an organisation that created the records.
Guides are standard item listing from which gives a general but comprehensive
knowledge of its holdings in a repository.
It is the first publication that should arrest the attention of archivists.
List – the basis item lists is to transfer list.
-describes only archives with one series.
Purpose of list
1. Locating records- enables any particular item to be identified and found.
2. Identification provenance- list of records essential information about the
provenance i.e the context in which archives were created and used
3. Describing content- lists records essential info about the content enabling users to
decide which items to use.
4. Identify related material- list provides information about the parallel and related
archives material in the repository
5. Described the physical condition of archives
-
Lists presents information about the physical characteristics format and
condition of items any related issues that might affect their issues.
6. Explaining condition of access
List identifies any condition of access that might govern use of any material
Calendars
Is a further extension of descriptive listing.
A process of shortening a document by means of omission and abbreviation of
non-essential parts of a document while retaining the exact phraseology of the
writer
Emphasis is on the the needs for historic research as calendars provide
information about documents in a chronological sequence.
They almost relieve historians from the necessity of consulting the original
document
The process of calendaring is time consuming and most archival institutions
microfilm their holdings rather than calendaring them cause of time strengths and
fear of distortion.
Indexes
Highlight names, spaces and events and subjects
Important tool and pointing reader to relevant materials.
To ensure consistency and accuracy the indexes must:
1. Use standardised terms and spellings
2. Be in alphabetical order
3. Must have rules for the use of x- references
ACCESS AND RETRIEVAL
An archival institution must plan and maintain a reference services for its users
Must provide good reference services in order to ensure all users can access
materials.
Access to material can be through:
1.
replying to written, electronic and telephone enquiries.
2. Providing reading and search room services
Access is ether physical or intellectual or both.
Physical access is giving the user the actual access to archival facilities.
Intellectual access is providing finding aids to users.
Access to archival material is limited due to;
1. Physical nature of materials i.e. Fragile or determined such that they
cannot make reference to users so such materials are self restriction
2. Access is a also prevented by sensitive nature of materials e.g. matter
relating to individual privacy, defence, security and foreign affairs
Access to archival material is generally governed by closed periods, in
Zimbabwe it is after 25 years, that the public can access archival materials.
RECORDS SURVEYS
Records surveys are the basis good records management practices.
Hunter (2003:23) defines surveys as systematic procedure used by archivists and records
managers to gather information about records not in their immediate custody or storage.
They are conducted in order to acquire information and necessary knowledge and identify
that require immediate attention
Allows records professionals to gather information which allows them to achieve intellectual
control over an organisation’s information resources
They help to identify problems, establish records management program and can be used to
design a filing system or produce a disposal schedule.
R.S is gathering basic information about records regarding their quantity, physical form ,
type, location, physical condition and storage facilities and rate of accumulation, use, similar
data for the purposes of planning acquisition, disposal program and related archival activities
(Charman 2004:16)
History of surveys
Posner E reported that the King of Babylon (Hammurapi) ordered surveys of records to be
done in the region, which fell into his custody or dominion
Scientific history and reliance on primary sources accelerated the embankment in conducting
survey late 19th and 20th century.
1930s – Historical records surveys led to the development in USA
R.S seeks to;
1. Ascertain who is responsible for maintenance of records in the department
Review needs of different users and extent to which they are satisfied with the current
existing records management system.
Assess the physical state of records including location and quantity i.e. looks at the state of
records even against threats (security).
R.S provides baseline against which department measures and their success and failure in
achieving the key objectives of improving records keeping as meet accountability
requirements and community expectactions.
A primary source for records retention and disposal schedules
Are the basis of appraising records.
Appraisal is vital in that records are determined so as to come up with standing instructions
for disposal.
Instructions also determine the retention of record or even their disposal.
R.S is a process that ensures the proper creation, maintenance, use and disposal of records.
In Zimbabwe records surveys are conducted on the basis of the NAZ Act of 1986, section 6
and 7.
The Act stipulates that the inspection and examination of records in any institution is done
and advice is given concerning filing systems, maintenance, preservation and where
necessary the transfer to archives.
According to the Act, authority is given to NAZ to conduct records and information
management surveys to public registries.
On the basis, this led NAZ to come up with a departmental policy that these surveys should
be conducted after every four years to a public registry.
PURPOSE OF RECORDS SURVEYS
1. To foster administrative efficiency- economy and efficiency in record administration
are the basic goals of all records management programmes.
As a gathering tool, it is careful listing of an organisation’s records usually series by
series and it is a prerequisite to appraisal and scheduling of records for temporary
storage and permanent preservation.
N.B creates a database that enables the analysis of records from creation and storage
conditions that enables recommendations for legislative or administration changes.
2. To aid researchers
Archival professionals aim to promote access to archival material
This enabled finding aids such as catalogues, registers and guides etc.
The extend the archivists commitment to improved access by locating and describing
archival material outside the archivist’s immediate custody.
3. To educate and train-exposure to administration problems of records creation and
maintenance with organisation
Exposure to various attitudes of records custodians i.e protectiveness or carelessness
and physical conditions of records.
HOW INFORMATION IS GATHERED IN SURVEYS.
Custodian of records provide information during an interview or questionnaire
Archivists carefully examine the materials directly
Surveyors will determine the origin, content, location, current uses, relationship with
other records and exact quantity
Should cover active and non-active records.
Instructions determine the retention or disposal of records.
The process ensure proper records creation, maintenance, use and disposal of records
ROLES OF SURVEYS IN CREATING DISPOSAL SHEDULES
A disposal schedule is a document peculiar to a certain creating agency authorising actions to
be taken to records.
Retention schedules are created as joint efforts between creating office, records management
office and national archives.
These surveys are used in making correct decisions.
Surveys also allow archivists to identify records at their early stage and to determine which
records should be protected and received as archives.
Allows archivists to collect information necessary to assess the future requirements and
resources needed to manage these “potential” archives before transfer to archival custody
Helps institution to determine the length of time to keep non-archival material- the process of
determining the future of records is known as DISPOSAL.
ETHICS
A part of philosophy which deals with the moral standards of behaviour imposed by society
by which a person should guided.
A Code of Ethics sets out minimum standards of ethical behaviour and implies commitment
to standard of responsible and ethical conduct by all employees including management.
Code of conduct primary objectives are to promote high standard of ethical practices of
defining acceptable behaviour and practices.
A conflict of interest is an situation in which an individual is in a position to exploit a
professional or official capacity in the same way to further another personal interest
A conflict of interest makes it difficult for an official, either private or public to fulfil their
duties fairly and objectively.
It also compromises an official from making objective professional judgement because of
clash of interests and personal interests.
This creates improprierity that usually undermines their ability to act properly because they
have to further their own interests or people’s interest.
Compliance is a key component in enforcing a culture of archival ethics.
PROFESSIONAL ETHICS
Key principles in many code of ethics world wide
1. Records professional to manage, appraise, select, acquire , preserve and make
available for use records and archives ensuring their integrity and physical protection
for benefits of user for both the present and in the future.
2. Records professionals to perform their tasks without discrimination on the basis of
colour, race, sex, religion, age or national or ethnic origin.
3. To encourage and promote the greatest use of records in their care, giving due
attention to confidentiality, personal privacy, physical preservation, legislation and
policy requirements.
4. To carry out their duties according to accepted records and archives principles and
practices, to the highest standard of conduct.
5. Contribute to the advancement of archives and records knowledge and skills by
sharing knowledge with other professionals and the general public, using the
knowledge for society’s benefit.
ETHICS IN ARCHIVAL ADMINISTRATION
Code of ethics are drawn up on the basis of ethical theories of moral philosophers. These
theories focus on the nature of man;
1. Individual right and dignity, common good, obligation and duties, virtue and character
According to Bowman (1990) there is inadequate literature that pertains to ethics in
the public sector.
Jones (1990) further propounded that few scholars are interested in both ethics and
organisational behaviour and decision making. Archivists should behave ethically in
order to fulfil their function to society themselves and function of archives.
Smith (1993:4) archivists are responsible to the users and themselves.
Citizens are obligated to use their knowledge for the good of the society
Part of humankind to preserve and protect human dignity.
Ethics have received little attention in professional archiviology i.e people are aware
of ethics but are not well versed.
Ethics to guide archivists”above reproach” – things that bring disgrace.
Ethical dilemmas occur when values are in conflict.
While the ESARBICA and ICA recognise the importance of ethics in the management
of records, the existing code of ethics is too general and difficult to enforce.
They tend to give frameworks and it is difficult to enforce situation preservation vs
access.
Since archivists are charged with various tasks, it is important for them to understand
their responsibilities they bear, to know how their actions can affect their
organisation, themselves and society and to appreciate both good and harm they can
do.
Utility of professional ethics

Protects the image of the profession

Protects individual members

Instils discipline in a profession

Ensures professionalism and integrity of its members

Educates new members of the profession and constantly old members of the
dos and don’ts of the profession.

Provides a measure of consistency of issues

Maintains public trust in a profession

Serves as quality control mechanism for the profession services
Archives are kept by archivists.
Archivists are professional who are governed by a code of ethics- ICA Code of ethics.
Ethics in conforming to the standard of conduct of a given profession. The code of a
given profession.
The code of ethics for archivists is governed by their relation to:
i.
Archival material
ii.
Donors and depositors
iii.
Employer
iv.
Users
v.
Other archival organisations
Ethics towards archival material
Archivist should ensure the permanent preservation of documents in their care, earmarked
for permanent preservation.
Archivists should work for the morale and physical defence of archives
Ethics towards the employers
Archivists should abide by the organisation’s rules and regulations.
They should not disclose information from the documents to which they have privilege to
access to.
Ethics towards the depositor/Donors
Archivists should respect the confidentiality of negotiations
Archivist should also accept material only if they can be properly stored and processed
Ethics towards the users
Archivists should treat all users fairly and courteously
Archivists should make material available to all users without favour.
Ethics towards archival institutions
Archivists should cooperate in matters relating to acquisition, preservation and disposal of
records.
Archivists should exchange knowledge or archival information on techniques and
methods which will benefit the archives and users.
Archivists should individually or as a group subscribe to the ICA Code of ethics
promulgated by the ICA as well as bodies in their country.
Professional archivists belong to the professional group with an international identity,
recognised with an internationally recognised code of ethics.
The ICA Code of ethics of 1996 was adopted by the General Assembly in XIII 13 Session
in Beijing, China (September 6)
PRESERVATION PLANNING
RECORDS STORAGE
Refers to equipment and systems used to file records during their useful lifetime in an
organisation
Active records must be in a close proximity to the people using them and must be
available on moment’s notice.
Active files maybe centralised or decentralised or a combination of both.
Records vary in media size, type hence special storage requirements. The following
storage requirements should be utilised
a) Paper based records
Vertical cabinets, open shelf or lateral and mobile or mechanised filing unit cabinets
or internally in a computer assisted retrieval system (CAR)
2. Microfilm based records.
Vertical cabinets, trays , ring binders, special storage cabinets and internally in a
computer based assisted system (CAR)
3. Electronic based records
Special folders with sleeves or protective pocket albums and binders, lateral and open
shelf files and hanging or canister racks.
They can also be stored on line through a database management system.
4. Non- standardised size items
Audiovisual records, maps, cards , engineering drawings and continuous paper
records must be stored in special cabinets, hanging files, binders, shelves, trays and
boxes.
INACTIVE FILES
Storing records in a well run low cost storage/ records centres results in substantial
monetary savings to an organisation through economical use of both space and
equipment.
Transferring inactive records to a records centre free up available office space which
can be used for effectively.
STORAGE REQUIREMENTS AND PRESERVATION
Archival materials are based stored in acid- free containers and boxes to minimise the
deterioration of records
Steel shelves backed with backed enamel should be used to reduce fire hazards.
Some forces that may damage records that should be guarded against include heat
(controlled at 18 -22 degrees Celsius)
N.B this varies with media or type of records
Relative humidity- 45 - 55%
Fire detection and suppression equipment such extinguishers should be installed.
Other factors include flood, mutilation, rodents and theft.
Records and archives require storage conditions and handling processes that have to
take into account their specific physical properties as well as chemical properties
Records of continuing value irrespective of media or format require higher quality
storage and handling to preserve them for posterity as long as values exists.
Records should be created , maintained in media that ensures their accessibility,
reliability and authenticity as long as they are needed
CAUSES OF DETERIORATION
1. Relative humidity
2. Temperature
3. Biological agents- rodents, insects, moulds
4. Light
5. Abuse and mishandling
6. Wear and tear
7. Air pollution
8. Acidity
ENVIRONMENTAL STANDARDS AND MONITORING
Should address aspects of who, where, what, why and when (5 Ws)
1. Temperature and Relative Humidity
Proper maintenance and control of the two elements at constant levels required
Use of air conditioners or HVAC system
Use of humidifiers and dehumidifiers and monitoring of levels by use of
hygrothermograph
2. Light
levels of light to be monitored in all areas about 50 lux metres
Use of blinds, shutters, curtains and ultra-violet filters.
3. Biological organismsmonitor and controlling of air quality to reduce insect infestation.
Good housekeeping that involved records storage and inspection
Fumigation- regularly.
4. Air pollution
monitor and control air quality
Installation of air filters, use of monitors to filter incoming air e.g. silver halide and copper
sensor(they react)
5. Archival building
Should be built away from swampy areas or avoid sites near rivers or in low lying areas
which are easily flooded to avoid water damage
Avoid sites near industrial areas where poisonous gases are emitted(sulphur dioxide)
Building separated from the other buildings in a case of fire outbreaks nearby buildings
Strong rooms to be fireproof and building material to include cement, bricks and reinforced
steel
Building to have few windows and use of one entrance.
6. Acidity
Acid has positively charged hydrogen ions that damage paper and makes it fragile and prone
to destruction
With pH 7.0 as neutral, both acidity and alkalinity destroys paper but acidity is more
destructive
Acidity is a quality of being acid or sour.
The level of acid is measured on a pH scale that ranges from 0 – 14pH
Above 7.0 is alkalinity and below is acidity