LECTURE NOTES FOR ARCHIVES AND RECORDS MANAGEMENT

WEEK ONE: Definitions of terms in records and archives management:

Records

 Records are recorded information, created or received and maintained as evidence and
information by an organization or person, in pursuance of legal obligations or in connection
with legitimate business or other activities. (International Council on Archives, 2022)
 Records are any recorded information, regardless of medium or format, that provides
evidence of activity, organization, or function. (Society of American Archivists, 2023)
 Records are the documentary byproducts of activity that are created or received during
business, government, or individual affairs. (Association of Canadian Archivists, 2023)
 Records are documented information created, received, and maintained by an organization or
individual in pursuance of legal obligations or in connection with legitimate business or other
activities. (Australian Recordkeeping Metadata Schema, 2023)

Archives

 Archives are the non-current records of an organization or institution preserved because of

their continuing value. (Society of American Archivists, 2023)
 Archives are the accumulated records of an individual or organization that are kept
permanently because of their historical, administrative, legal, fiscal, or research value.
(Association of Canadian Archivists, 2023)
 Archives are the documentary heritage of a society or individual, preserved for reference and
research. (International Council on Archives, 2022)
 Archives are the non-current records of an organization or individual that are preserved for
their enduring value. (Australian Recordkeeping Metadata Schema, 2023)

Management

 Management is the process of planning, organizing, leading, and controlling organizational

resources to achieve organizational goals. (American Management Association, 2023)
 Management is the process of directing and coordinating the activities of others to achieve a
desired goal. (Peter Drucker, 1974)
 Management is the process of getting things done through people. (Mary Parker Follett, 1941)
 Management is the art and science of organizing and directing human and material resources
to achieve a desired goal. (Harold Koontz, Heinz Weihrich, and Mark Cannice, 2013)

In the context of records and archives management, management refers to the activities and processes
involved in creating, managing, and preserving records and archives. This includes activities such as:

 Developing and implementing records and archives management policies and procedures
 Identifying and classifying records
 Storing and retrieving records
  Preserving and disposing of records
 Providing access to records and archives

Records and archives management is essential for ensuring that organizations have the information
they need to operate efficiently and effectively and to comply with legal and regulatory requirements.

Types of archives and types of records kept in archives

There are many different types of archives, each with its own unique focus. Some of the most
common types of archives include:

 National archives: National archives preserve the records of the national government.
 State and local archives: State and local archives preserve the records of state and local
governments.
 Academic archives: Academic archives preserve the records of colleges and universities.
 Business archives: Business archives preserve the records of businesses and corporations.
 Religious archives: Religious archives preserve the records of religious organizations.
 Community archives: Community archives preserve the records of communities and
individuals.

The types of records kept in archives vary depending on the type of archive. Some of the most
common types of records kept in archives include:

 Government records: Government records include a wide range of records, such as laws,
regulations, court records, and census records.
 Business records: Business records include a wide range of records, such as financial records,
marketing materials, and product development records.
 Educational records: Educational records include a wide range of records, such as student
records, faculty records, and curriculum materials.
 Religious records: Religious records include a wide range of records, such as church records,
sermons, and hymnals.
 Community records: Community records include a wide range of records, such as
photographs, diaries, and letters.

Archives play a vital role in preserving and making accessible the documentary heritage of our
society. By collecting, preserving, and making accessible records, archives help us to understand our
past and to make informed decisions about our future.

WEEK TWO: The Theory and Practice of Archiving

Theory of archiving
Archiving theory is the body of knowledge and understanding that informs the practice of archiving.
It is concerned with the nature of archives, their role in society, and the principles and best practices
for their management and preservation.

Some of the key concepts in archiving theory include:

 The principle of provenance: This principle states that records should be maintained in their
original order and context. This is important for ensuring the authenticity and integrity of
records.
 The principle of respect des fonds: This principle states that records should be kept together
as a unit, reflecting the structure and function of the organization that created them. This is
important for understanding the context in which records were created and the relationships
between them.
 The concept of the archival continuum: This concept views the lifecycle of records as a
continuum, from creation to disposal. It emphasizes the importance of managing records
throughout their lifecycle, and of preserving records that have enduring value.

Practice of archiving

Archiving practice is the application of archiving theory to the management and preservation of
records. It involves a range of activities, including:

 Appraisal: This process involves evaluating records to determine their retention value.
Records that have enduring value are selected for preservation, while records that have no
enduring value are disposed of.
 Arrangement and description: This process involves organizing and describing records in a
way that makes them accessible to users. Records are typically arranged according to their
provenance and described using metadata standards.
 Preservation: This process involves protecting records from damage and loss. Records may be
preserved in their original format or digitized for digital preservation.
 Access: This process involves providing access to records to authorized users. Records may
be accessed in person, online, or through other means.
WEEK THREE: The Lifecycle of Records
The lifecycle of records is the process by which records are created, maintained, and disposed of. It is
a continuous process that begins with the creation of a record and ends with its disposal.

Records creation

Records are created when information is recorded in any medium, such as paper, electronic, or
microfilm. Records are created because of business activities, such as creating a contract, sending an
email, or taking a photograph.

Maintenance of records

Records must be maintained in a way that ensures their authenticity, integrity, and accessibility. This
includes storing records in a secure environment, protecting them from damage and loss, and
organizing them so that they can be easily retrieved.
Disposal of records

Not all records need to be kept forever. Some records can be disposed of after a certain period, by
legal and regulatory requirements and organizational policies. Records that are disposed of must be
done so in a secure and environmentally responsible manner.

The lifecycle of records is important because it ensures that organizations manage their records
effectively and efficiently. It also helps to ensure that records are preserved for as long as they are
needed and that they are disposed of when they are no longer needed.

Benefits of managing the lifecycle of records

There are many benefits to managing the lifecycle of records, including:

 Increased efficiency and productivity: By managing records effectively, organizations can

save time and money by reducing the need to search for lost or misplaced records.
 Improved compliance: By following legal and regulatory requirements for recordkeeping,
organizations can reduce their risk of fines and penalties.
 Enhanced decision-making: By having access to accurate and up-to-date records,
organizations can make better decisions about their operations.
 Preserving history and culture: By preserving records that have historical or cultural value,
organizations can help to protect their heritage and contribute to the public good.

How to manage the lifecycle of records

There are several steps that organizations can take to manage the lifecycle of records, including:

1. Develop and implement a records management policy. This policy should outline the
organization's requirements for records creation, maintenance, and disposal.
2. Identify and classify records. This will help to ensure that records are managed in a consistent
manner and that they are stored and disposed of in accordance with their retention schedules.
3. Store and retrieve records. Records should be stored in a secure environment and organized in
a way that makes them easy to retrieve.
4. Preserve and dispose of records. Records should be preserved for as long as they are needed,
and then disposed of in a secure and environmentally responsible manner.
Managing the lifecycle of records is an important part of any organization's operations. By
following the steps outlined above, organizations can ensure that their records are managed
effectively and efficiently.

WEEK FOUR: Archiving Activities

Archival activities are the processes and procedures that archivists use to manage and preserve
records and archives. These activities include:

Appraisal
Appraisal is the process of evaluating records to determine their retention value. Records that have
enduring value are selected for preservation, while records that have no enduring value are disposed
of. Archivists use a variety of factors to appraise records, including their legal, administrative,
evidential, and informational value.

Acquisition

Acquisition is the process of acquiring records and archives for preservation. Records may be
acquired from a variety of sources, including government agencies, businesses, and individuals.
Archivists may also acquire records through donation, purchase, or transfer.

Description and arrangement

Description and arrangement are the process of organizing and describing records in a way that makes
them accessible to users. Records are typically arranged according to their provenance and described
using metadata standards. Metadata is data about data, and it provides information about the content,
context, and structure of records.

Referencing

Referencing is the process of providing access to records to authorized users. Archivists may provide
access to records in person, online, or through other means. Archivists also aid users in researching
and finding records.

Preservation and conservation

Preservation and conservation are the processes of protecting records and archives from damage and
loss. Records may be preserved in their original format or digitized for digital preservation. Archivists
use a variety of preservation and conservation techniques to protect records, such as environmental
controls, pest control, and disaster planning.

Exhibition and outreach

Exhibition and outreach are the activities that archivists use to promote awareness of and access to
archives. Archivists may create exhibits, develop educational programs, and participate in public
outreach events. Archivists also work with researchers and educators to support research and
education.

Archival activities are essential for ensuring that records and archives are preserved and made
accessible to future generations. Archivists play a vital role in preserving and promoting the
documentary heritage of our society.

WEEK FIVE: Technologies and tools for archiving and managing records.
There are a variety of technologies and tools available for archiving and managing records. Some of
the most common include:

 Electronic document management systems (EDMS): EDMS are software programs that help
organizations store, manage, and share electronic records. EDMS typically include features
such as document scanning, indexing, version control, and workflow management.
  Recordkeeping software: Recordkeeping software is specifically designed to help
organizations to manage their records in accordance with regulatory requirements.
Recordkeeping software typically includes features such as record retention scheduling, audit
trails, and secure disposal.
 Digital preservation tools: Digital preservation tools are used to ensure the long-term
accessibility of digital records. Digital preservation tools can be used to convert digital
records to open and widely supported file formats, to create and manage checksums, and to
store digital records in a secure and redundant manner.
 Cloud storage services: Cloud storage services can be used to store and manage records in a
secure and remote location. Cloud storage services typically offer a variety of features, such
as scalability, redundancy, and disaster recovery.

In addition to these technologies and tools, there are a few other resources available to help
organizations with archiving and managing records. These include:

 Professional associations: Several professional associations offer resources and support to

archivists and records managers. For example, the Society of American Archivists (SAA) and
the Association of Canadian Archivists (ACA) and Records and Archives Professional
Association of Nigeria (RAPAN) offer a variety of educational resources, publications, and
conferences.
 Government agencies: Many government agencies offer resources and support to
organizations on archiving and managing records. For example, the National Archives and
Records Administration (NARA) in the United States offers a variety of resources, including
publications, online training courses, and webinars.
 Consultants: Several consultants can help organizations with archiving and managing records.
Consultants can provide advice on developing records management programs, selecting and
implementing technologies and tools, and complying with regulatory requirements.

By using the right technologies and tools, and by taking advantage of the resources available,
organizations can effectively and efficiently archive and manage their records.

WEEK SIX: Archiving and managing records in the age of the Internet.
Archiving and managing records in the age of the Internet presents several challenges and
opportunities. On the one hand, it is easier than ever to create and share records. On the other hand,
the volume and complexity of records is increasing exponentially, making it more difficult to manage
and preserve records effectively.

Some of the key challenges of archiving and managing records in the age of the Internet include:

 The digital divide: Not everyone has access to the internet or to the devices and skills needed
to create and manage digital records. This can lead to digital exclusion, where some people
are unable to participate fully in society.
 The ephemeral nature of digital records: Digital records can be easily lost or deleted, either
accidentally or intentionally. This makes it important to have robust preservation strategies in
place.
 The challenges of preserving digital records: Digital records can be stored in a variety of
formats, and these formats can change over time. This makes it challenging to preserve digital
records for the long term.
  The need to protect privacy and security: Digital records can contain sensitive personal
information. It is important to have measures in place to protect the privacy and security of
digital records.

Despite these challenges, there are also several opportunities for archiving and managing records in
the age of the Internet. For example, new technologies can be used to improve the efficiency and
effectiveness of records management processes. In addition, the internet can be used to provide access
to records to a wider audience.

Here are some tips for archiving and managing records in the age of the internet:

 Develop a records management policy: This policy should outline the organization's
requirements for records creation, maintenance, and disposal.
 Identify and classify records: This will help to ensure that records are managed in a consistent
manner and that they are stored and disposed of in accordance with their retention schedules.
 Store and retrieve records: Records should be stored in a secure environment and organized in
a way that makes them easy to retrieve.
 Preserve and dispose of records: Records should be preserved for as long as they are needed,
and then disposed of in a secure and environmentally responsible manner.
 Use appropriate technology: There are a number of technologies available that can help
organizations to manage their records more effectively. For example, organizations can use
electronic document management systems (EDMS) to store and manage their electronic
records.

By following these tips, organizations can ensure that their records are managed effectively and
efficiently in the age of the Internet.

Here are some additional tips for archiving and managing digital records:

 Use appropriate file formats: When creating digital records, use file formats that are open and
widely supported. This will help to ensure that records can be accessed in the future, even if
the software used to create them is no longer available.
 Create backups: Regularly back up your digital records to a separate storage device. This will
help to protect your records from loss or corruption.
 Store your records in a secure location: Store your digital records in a secure location, such as
a cloud storage service or a physical server room.
 Implement appropriate security measures: Implement appropriate security measures to protect
your digital records from unauthorized access, modification, or destruction.
By following these tips, you can help to ensure that your digital records are preserved and accessible
for future generations.
METADATA SCHEMAS USE IN ARCHIVES AND RECORDS MANAGEMENT
A metadata schema is a set of rules and elements that define the structure and content of metadata.
Metadata is data about data, and it provides information about the content, context, and structure of
records. Metadata schemas are used in archives and records management to ensure that records are
described consistently and comprehensively. This makes it easier to find, retrieve, and understand
records. Metadata schemas can also be used to automate tasks such as recordkeeping and
preservation.

Some of the benefits of using metadata schemas in archives and records management include:

 Improved access to records: Metadata schemas can help to improve access to records by
making it easier to find and retrieve records. This is because metadata schemas provide a
consistent way of describing records, which makes it easier for search engines to index and
retrieve them.
 Enhanced preservation: Metadata schemas can help to enhance the preservation of records by
providing information about the context and structure of records. This information can be
used to develop and implement preservation strategies.
 Increased efficiency: Metadata schemas can help to increase efficiency by automating tasks
such as recordkeeping and preservation. This can free up archivists and records managers to
focus on other tasks.

Some of the most common metadata schemas used in archives and records management include:

 Dublin Core: Dublin Core is a simple and widely used metadata schema. It is often used to
describe digital resources, such as websites and images.
 Encoded Archival Description (EAD): EAD is a metadata schema that is specifically
designed for describing archival materials. It is used by archives and libraries around the
world to describe their collections.
 Metadata Object Description Schema (MODS): MODS is a metadata schema that is designed
for describing a wide range of resources, including books, journals, and manuscripts. It is
often used to describe library collections.
 Preservation Metadata for Digital Objects (PREMIS): PREMIS is a metadata schema that is
designed for describing the preservation status of digital objects. It is used by archives and
libraries to track the preservation of their digital collections.
These are just a few examples of the many metadata schemas that are used in archives and records
management. The best metadata schema to use will depend on the specific needs of the organization.

Here are some tips for using metadata schemas in archives and records management:

 Choose the right metadata schema: There are many different metadata schemas available, so
it is important to choose the one that is right for your organization's needs. Consider the types
of records that you need to describe and the specific requirements of your organization.
 Use metadata schemas consistently: Once you have chosen a metadata schema, it is important
to use it consistently. This will make it easier to find and retrieve records, and it will also
make it easier to automate tasks such as recordkeeping and preservation.
 Document your metadata schema: It is important to document your metadata schema so that
others can understand how to use it. This includes documenting the elements of the metadata
schema and their definitions.
 Train your staff: It is important to train your staff on how to use the metadata schema. This
will help to ensure that records are described consistently and accurately.
WEEK SEVEN: Challenges and opportunities in archiving

The archiving profession is facing several challenges, including:

 The increasing volume and complexity of records: Organizations are creating more records
than ever before, and these records are becoming increasingly complex. This makes it
challenging to manage and preserve records effectively.
 The rapid pace of technological change: New technologies are emerging all the time, and
archivists need to keep up with these changes in order to preserve digital records.
 The need to balance access and preservation: Archivists need to balance the need to provide
access to records with the need to preserve them for future generations.

Despite these challenges, there are also several opportunities in archiving. For example, the
development of new technologies is opening new possibilities for digital preservation and access.
Archivists are also playing an increasingly important role in supporting research and education.

Archiving is a complex and challenging profession, but it is also an essential one. Archivists play a
vital role in preserving and making accessible the documentary heritage of our society.

WEEK EIGHT: Issues and challenges surrounding archiving and records management in
Nigeria.
Nigeria faces several issues and challenges in archiving and records management. These include:

 Lack of awareness and understanding: Many people in Nigeria are not aware of the
importance of archiving and records management. This can lead to records being lost or
destroyed, or not being managed in a way that ensures their authenticity, integrity, and
accessibility.
 Inadequate resources: Many Nigerian organizations do not have the resources they need to
implement effective records management programs. This includes a lack of trained staff,
adequate facilities, and appropriate technology.
 Legal and regulatory framework: The legal and regulatory framework for archiving and
records management in Nigeria is fragmented and outdated. This can make it difficult for
organizations to comply with their obligations.
 Cultural challenges: There is a culture of secrecy and distrust in Nigeria, which can make it
difficult to manage records effectively. In addition, there is a tendency to value oral traditions
over written records.

These challenges have a few negative consequences, including:

 Loss of information: Records that are not properly managed can be lost or destroyed. This can
lead to a loss of valuable information, which can have a negative impact on organizations and
individuals.
 Inefficiency and waste: Poor records management can lead to inefficiency and waste. For
example, organizations may have to spend time and resources searching for lost or misplaced
records.
 Non-compliance: Organizations that do not comply with their legal and regulatory obligations
may face fines and penalties.
  Poor decision-making: Organizations that do not have access to accurate and up-to-date
records may make poor decisions.

Despite these challenges, several things can be done to improve archiving and records management in
Nigeria. These include:

 Raising awareness and understanding: It is important to raise awareness of the importance of

archiving and records management among all stakeholders. This can be done through
education and training programs.
 Investing in resources: Organizations need to invest in the resources they need to implement
effective records management programs. This includes training staff, providing adequate
facilities, and investing in appropriate technology.
 Strengthening the legal and regulatory framework: The Nigerian government needs to
strengthen the legal and regulatory framework for archiving and records management. This
will help to ensure that organizations comply with their obligations.
 Changing cultural attitudes: It is important to change cultural attitudes towards archiving and
records management. This can be done through education and awareness-raising programs.

Improving archiving and records management in Nigeria is essential for ensuring that the country's
documentary heritage is preserved and made accessible to future generations. It will also help to
improve the efficiency and effectiveness of Nigerian organizations and to promote good governance.

WEEK NINE: Competencies required by an archives and records manager

Archives and records managers play a vital role in preserving and making accessible the documentary
heritage of our society. They require a wide range of competencies to be successful in their roles,
including:

 Knowledge of archives and records management principles and practices: Archives and
records managers must have a deep understanding of the principles and practices of archives
and records management. This includes knowledge of recordkeeping requirements, appraisal,
arrangement and description, preservation, and access.
 Technical skills: Archives and records managers need to have strong technical skills in order
to use the technologies and tools that are used to manage records. This includes skills in using
EDMS, recordkeeping software, and digital preservation tools.
 Communication and interpersonal skills: Archives and records managers need to be able to
communicate effectively with a variety of stakeholders, including staff, customers, and the
public. They also need to be able to build and maintain relationships with key stakeholders.
 Problem-solving and analytical skills: Archives and records managers need to be able to
identify and solve problems related to records management. They also need to be able to
analyze data and trends to make informed decisions about records management programs.
 Organizational and time management skills: Archives and records managers need to be able
to organize and prioritize their work. They also need to be able to manage their time
effectively to meet deadlines.
 Leadership skills: Archives and records managers often must lead and motivate teams. They
need to be able to set clear goals and objectives, and to provide feedback and support to their
team members.
In addition to these general competencies, archives and records managers may also need to have
specific competencies depending on the type of organization they work for. For example, archives and
records managers who work in healthcare organizations may need to have knowledge of healthcare
regulations and compliance requirements.

Archives and records managers play a critical role in ensuring that the documentary heritage of our
society is preserved and made accessible to future generations. By developing the competencies
required for this role, archives and records managers can make a significant contribution to their
organizations and to society.

STUDY GUIDE QUESTIONS:

Definitions of terms in records and archives management:

1. What is the difference between a record and an archive?

2. What is the purpose of a records management policy?

The theory and practice of archiving:

1. What is the principle of provenance?

2. What are the different types of archival repositories?

Lifecycle of records:

1. What are the four stages of the records lifecycle?

2. What is the difference between appraisal and disposition?

Challenges and opportunities in archiving:

1. What are some of the challenges faced by archivists in the digital age?
2. What are some of the opportunities that new technologies offer for archivists?

Archival activities:

1. What is the difference between arrangement and description?

2. What are some of the ways that archivists can make records more accessible
to users?

Issues and challenges of archives and records management in Nigeria:

1. What are some of the reasons why archiving and records management is
important in Nigeria?
2. What are some of the challenges that Nigerian archives face?
Archiving and managing records in the age of the internet:

1. What are some of the benefits of using digital records management systems?
2. What are some of the challenges of preserving digital records?

Tips for archiving and managing records:

1. What are some of the best practices for organizing records?

2. What are some of the things that organizations should do to protect their
records from loss or damage?

Technologies and tools for archiving and managing records:

1. What are some of the most common electronic document management

systems (EDMS)?
2. What are some of the ways that archivists can use social media to promote
their collections?

Metadata schemas for managing records:

1. What is the difference between Dublin Core and Encoded Archival Description
(EAD)?
2. What are some of the benefits of using metadata schemas to describe
records?

Competencies of an archives and records manager:

1. What are some of the technical skills that archivists and records managers
need?
2. What are some of the interpersonal skills that archivists and records
managers need?