TOPIC 6

ARCHIVES MANAGEMENT PRINCIPLES

6.0 INTRODUCTION
The meaning and value of archives derive from the social and organization mille in which they
were created and used. And from their link with other records, with which they share series or
groups, used or interpreted out of their context, the meaning, their value and significance are either
cost or compromised

Early archivist, including Sir Hillary Jenkison (referred to as the father of archives management)
established two interconnected principles which have remained so significant that they continue
to inform the activity of archives management today.

Archival principles are the basis in which archives are arranged, described, stored and preserved
in archival institutions.

6.1 THE PRINCIPLE OF PROVENANCE

This principle was first introduced in 1790, when the Minister of Interior in France, in a circular,
directed that: all records originating from one organisation or family, shall be kept together as the
fonds (records group) of that particular organisation of family.
In simpler terms, what this principle provides is that whenever records are transferred into archival
repository, officially becoming archives, they should be arranged, group and stored together
physically as per the creator and not mixed with those of other creators.

Management of the archives should reflect the activities of the original organization.

In actual fact, whenever archives are transferred into archival repository, the archivist only
assumes custody of the archives but does not assume ownership. This is because the archivist does
not create the records and may have little interest in the purpose for which they were created for,
but the creator may have high interest. Therefore, since the creator may want to refer to them or
other users may want to refer to the archives by virtue of them having comes from the specific
creator, it makes sense to maintain the archives from the creator physically together. This
facilitates easy physical and intellectual control as well as faster access and retrieval.
Indeed this principle guides the practice of archives management today even where the archivist
assumes ownership like in the National Archival Institutions. It is acknowledged in archival
profession that the principle of provenance has enormous benefits to archivists in fostering
operational efficiency, through facilitation of faster access and retrieval by offering a better
approach to arrangement and storage of the archives.

6.3 THE PRINCIPLE OF ORIGINAL ORDER

This principle was also derived from the same similar directive that established the principle of
provenance in 1790. It is a subsequent development from the principle of provenance and it
requires that within the record groups (fonds) records should be arranged by subject matter.
The principle also requires that arrangement of the record groups must also indicate how the
record group was accumulated. It involves keeping archives in the order in which they were
accumulated when they were created as well as the order of their maintenance and use.
According to the principle, archives must not be arranged based on imposed subjects, numericals
or any other order. Sir Hillary Jenkinson points out that records and archives are organic in nature
because they accumulate naturally inspired by order of activities they represent.
These principles has greatly informed the activity of arrangement of records and archives, where
it is recommended that arrangement should reveal accumulation of the record groups.
Record group e.g. Dept of information Sciences

Series e.g. 3rd years

Record Item e.g. John J. John

Summary
These two important principles, which are based on fonds (records group) are collectively referred
to as the principle of respect de fonds (we may literally translate this in English as respect for
record groups). The full application of these principles in archives management commenced in
1841.

Revision Questions
1. Name and discuss the archival management principles?
2. Discuss the importance of this principle?

TOPIC 7
ARCHIVES MANAGEMENT STANDARDS
7.0 INTRODUCTION
A standard is a published document, a form of scientific and technical literature, that sets out
specifications and procedures designed to ensure that a material, product, process, method or
service is fit for its purpose and consistently performs in the same way it was intended.
Standards establish a common language, which defines quality and establishes safety criteria.
They main role of standards is to enhance universability of materials, products, processes and
methods to enhance interoperability across different regions. A standard will ensure for instance,
an electrical plug manufactured in Kenya can fit in a socket manufactured in Japan.
Standards can be international, regional, national or local.

7.1 BENEFITS OF STANDARDS

• Standards protect users by giving confidence that the good or service are safe and reliable.
• They help consumers make choices between one product and another.
• They enhance universality of products, processes and services by standardizing quality.
• They support innovation by providing a platform on which to build new ideas.
• Standards save businesses time and money by helping prevent waste and accidents that
could have otherwise resulted out of lack of standardization.
 • Standards also make businesses more competitive in t he sense that products or services
that meets standards have a competitive advantage.

Standards exist as de facto or de jure. De facto standards are those that are a norm or requirement,
which has an informal but dominant status. De jure standards are those that are legal requirements.

Archives standards, are those standards that support unity in the management of archives through
efforts in standardizing the archives management practices and principles.

7.3 GENERAL INTERNATIONAL STANDARD ARCHIVAL DESCRIPTION- ISAD

(G)

The ISAD (G) standard is an international standard that was developed by the International
Council of Archives (ICA) in 1996, through its ICA Adhoc Commission on Descriptive Standards
(ICA/DDS).

This standard provides general guidance for the preparation of archival descriptions. It is to be
used in conjunction with existing national standards or as the basics of the development of national
standards.

The purpose of archrival description is to identify and explain the context and content of archival
material in order to promote accessibility. This is achieved by creating accurate and appropriate
representations and by organizing them in accordance with predetermined models. Description-
related processes may begin at or before record creation and continue throughout the life of the
records. This process makes it possible to institute the intellectual controls necessary for reliable,
authentic, meaningful and accessible descriptive records to be carried forward through time.

Specific elements of information about archival materials are recorded at every phase of their
management(e.g. creation, appraisal, accessioning, conversation, arrangement) if the material is to
be on one hand securely preserved and controlled, and on the other hand made accessible at the
proper time to all who have a right to consult it. Archival description in the widest sense of the
term covers every element of information no matter at what stage of management it is identified
or established. At every stage the information about the material remains dynamic and may be
subject to amendment in the light of further knowledge of its content or the context of its creation.
Computerized information systems in particular may serve to integrate or select elements of
information as required, and to update or amend them. While the focus of these rules is the
description of archival materials after the point at which they have been selected for preservation,
they may also be applied at the earlier phases.

These standards contain the general rules for archival description that may be applied irrespective
of the form or medium of the archival material. The rules contained in this standard do not give
guidance on the description of special materials such as seals, sound materials or maps. Manuals
setting out descriptive rules for such materials already exist. This standard should be used in
conjunction with these manuals to enable appropriate description of special materials.

These set of general rules for archival description is part of a process that will
a. Ensure the creation of consistent, appropriate and self explanatory descriptions;
b. Facilitate the retrieval and exchange of information about archival material;
c. Enable the sharing of authority data; and
Make possible the integration of description from different locations into a unified information
system.

Archival descriptive standards are based on accepted theoretical principles. For example, the
principle that archival description proceeds from the general to the specific is the practical
consequence of the principle of respect des fonds. This principle must be articulated if a general
applicable structure and system of archival description is to be built which is not dependent on the
findings aids of any given repository, whether in a manual or automated environment.

Each rule consists of:

a. The name of the element of the description governed by the rule;
b. A statement of the purpose of incorporating the element in a description;
 c. A statement of the general rule (or rules) applicable to the element; and
d. Where applicable, examples illustrating implementation of the rule(s).

The rules are organized into seven areas of descriptive information:

1. Identify Statement Area(where essential information is conveyed about the origin
and custody of the unit description)
2. Context area(where information is conveyed about the origin and custody of the
unit of description)
3. Content and Structure Area(Where information is conveyed about the subject
matter and arrangement of the unit of description)
4. Condition of Access and Use Area(where information is conveyed about the
availability of the unit of description)
5. Allied Materials Area (where information is conveyed about materials having an
important relationship to the unit of description).

7.4 ISO 11799:2003 – INFORMATION AND DOCUMENTATION – DOCUMENT

STORAGE REQUIREMENTS FOR ARCHIVE AND LIBRARY MATERIALS
This standard, published by the International Standards Organisation (ISO) specifies
characteristics of general purpose repositories used for the long-term storage of archives and
library materials. It covers the witting and construction of buildings, as well as equipment and its
installation. It applies to all archive and library materials in general purpose repositories where
mixed media may be stored together.

7.5 ABOUT THE INFORMATION AND DOCUMENTATION-RECORDS

MANAGEMENT (ISO 15489)
It is important within this discussion of Archival Management Standard to briefly talk about the
ISO 15489 and its place in archives management. This is the world’s renowned international
standard on records management developed by the International Standards Organizations.
However, for clarity to archival practice, the ISO 15489 DOES NOT include the management of
archival records within archival institutions, as clearly stated in its objectives. Hence it is not an
archival management standard but a records management standard.

7.6 SUMMARY
It is worth noting that developing of archival standards has not taken root in many societies,
including Kenya. So far most of the existing standards, code of practice and/or laws exist in
developed economies, which have in effect advanced in the records and archives management
professions.
There are many other standards relating to the broader records and information management. Most
of these have in fact been developed with the onset of electronic records environments. However
for many of these standards, their relation to archives management is neither clear nor direct. They
tend to encompass archives management within the larger records management.
Nonetheless, the importance of Archival Management standards cannot be emphasized. Just as
records management is gaining tremendous momentum, so does and should be archives
management. That necessitates the need for archives management standards to support the
management of information that is critical in preserving societal memory and heritage besides
other important uses of archives.
Revision Questions
1. Discus archival standards
2. Name and discus archival models
3. What is the importance of standards
 TOPIC 8
MANAGEMENT OF ELECTRONIC ARCHIVES
8.0 INTRODUCTION
Computerization of activities in virtually every sector of the economy world over has ushered in a
new era in records and archives management. Today most organizations both within the public
and private sector have moved to computerize their operations.

This has resulted into massive creation of electronic records since records are natural by-products
of transactions. For these records to remain accessible for a long time, adequate management of
these records is necessary.

Just like paper records, electronic archives are derived from electronic records save for the fact
that they exist in different media and formats. Electronic archive therefore is an electronic record
that has been identified and selected for long term preservation. Electronic archives have become
inevitable with increasing creation and use of electronic records in organisations.

An electronic record is a record that that has been created, maintained and used by and through
the electronic media. A number of authors refer to electronic records as digital records-those
created, maintained and used by aid of computers.

However, Wissor (2205) says that electronic records comprise both digital and analogue records
in electronic media like microfilms and the traditional audio and videotapes which need
electronic gadgets to use, but not necessarily computers. This argument presents a more
inclusive definition particular in view of the true sense of the word electronic.

8.2 COMPONENTS OF E-ARCHIVES MANAGEMENT

Electronic archives management includes four basic aspects:
• Indexing: The process of establishing access points to facilitate retrieval of records.
• Classification: Systematic identification and arrangement of business activities or records
into categories according to logically structured conventions, methods, and procedural
rules represented in a classification scheme.
 • Long term archival: The process of creating a backup copy of computer files for long-term
storage.
• Storage: The function of storing records for future retrieval and use.

8.3 CHARACTERISTICS OF TRUSTWORTHY ELECTRONIC RECORDS

The characteristics of trustworthy electronic records are:
• Reliable: Electronic records whose content can be trusted as a full and accurate
representation of the transactions, activities, or facts to which it attests and can be depended
upon in the course of subsequent transactions or activities.
• Authentic: Records proven to be what they purport to be and were sent or created by the
person who purports to have created and sent them.
• Integrity: Refers to the complete and unaltered characteristic of a record. Another aspect is
structural integrity. The structure of a record, that is its physical and logical format and the
relationships between the data elements comprising the record, should remain physically
and logically intact. Failure to do so may hinder the records' reliability and authenticity.
• Usability: A record which can be located, retrieved, presented and interpreted.
All good electronic records include these essential characteristics.

8.4 THE IMPORTANCE OF MANAGING ELECTRONIC ARCHIVES

• It ensures that records remain accessible irrespective of technological changes for example
use of migration strategies among others.
• To ensure that records are stored in good storage mediums to ensure that they ca n be easily
preserved in to the future.
• Management of electronic archives entails developing good preservation policies that
provide guidelines and procedure for management of electronic archives.

8.5 CHALLENGES IN MANAGING ELECTRONIC ARCHIVES

According to Hare & McLeod (1997), managing records in the electronic environment brings into
play issues, which are either new to or different from the previous world of paper. Such issues
include compatibility of hardware and software, security and legal admissibility.
Trevor (2001) notes that currently, digitization remains plagued by confusing standards, changing
technologies and doubts about the long-term liability of digital files.

Another security threat to digital records is the ease with which digital storage media deteriorates.
Hedstrom (2003) observes that recording media for digital material are vulnerable to deterioration
and catastrophic loss. Ordinary computer storage media are easily destroyed by such
environmental factors like dust, water, high temperatures, banging and exposure to magnetic fields

The National Archives of Australia (2004) notes that digital technology evolves at a rapid rate thus
the software and hardware used by an agency to create digital records tends to be short-lived and
quickly replaced by upgrades or improvements. UNESCO adds that the rapid obsolescence of the
hardware and software, which brings it to life, uncertainties about resources, responsibility and
methods for maintenance and preservation and the lack of supportive legislation constitute part of
the preservation challenges.

Revision Question
1. Outline the importance of electronic archives management?
2. list and discuss challenges of managing electronic archives?
 TOPIC 9
KENYA NATIONAL ARCHIVES AND DOCUMENTATION SERVICE
9.0 INTRODUCTION
Most countries all over the world, have set up archival institutions to preserve their national
heritage. These centres ensure that countries records are preserved as long as they are required.

In Kenya, the Kenya National Archives and Documentation Service (KNADS), previously referred
to as the Kenya National Archives was established to protect government and public vital records
and information and preserve national heritage as well.

9.1 HISTORY OF KNADS

The Kenya National Archives and Documentation Service (KNA&DS) was established in 1965
through an Act of parliament-CAP 19-of the laws of Kenya (KNA, 1998).Before independence,
in the mid 1950s, the colonial Kenyan government took practical steps to establish the archives
service in Kenya.

The office of the Chief Secretary in 1956 issued an Archives Circular No.1 of 1956 that contained
archives rules and regulations. All government officials were notified that accommodation had
been provided in the basement of the central government offices for official archives of all
ministries and departments of the central government.

An archivist was appointed whose main responsibility was to manage and control official archives.
He was responsible to the administrative secretary in the office of the Chief Secretary.

Archives were regarded as strictly official records hence not accessible by the public. In January
1959, this policy was altered and all colonial territories were required to enforce the 50-year rule
observed in England. This implied that an archive that had existed for 50 years since its creation
was to be opened for public access.

In June 1961, the archivist post was abolished and his functions transferred to the controller-of-
the-office services. Between 1961 and 1963, it was not clear what was going on in government
offices regarding official records. Most official records were either destroyed or exported overseas
during this period.
Shortly after independence, the newly found Kenyan Government took practical steps to restore
the archives service in Kenya.

The archives Circular No.2 of 12th January 1965 was issued pending enactment of the Public
Archives Act. The Public Archives Bill No.32 of 1956, CAP 19 of the laws of Kenya was debated
upon and passed in parliament as the Public Archives Act and formally effected on January 25th,
1966. CAP 19 formally established the Kenya National Archives and since then it remains the
sole legislation upon which KNA&DS operates. Prior to this enactment, the cabinet had
authorized for a 30-year rule unlike the previous 50-year rule set by the colonial government.

In 1990, the Act was amended to incorporate a new function-The National Documentation and
Retrieval Service (NDS) hence the present name Kenya National Archives and Documentation
Service (KNA&DS). Currently, the KNA&DS is a department under the Office of The Vice
President and Ministry of Home Affairs and National Heritage. It is headed by a Director and
funded by the central government.

KNA&DS also runs provincial records centres countrywide located in Nairobi, Nakuru, Kisumu,
Kakamega and Mombasa. It has the highest concentration of official documentation in form of
correspondence files and reports in the country. In addition they have a reference library that is
equally comprehensive collection of official and non-official publication and other materials that
are unique and rich.
9.2 VISION OF KNADS
To excel as an archives service in view of all Kenyans, and to serve as the Memory of the Nation.
9.3 MISSION OF KNADS
To preserve valuable public records as part of the information resources of the Republic of Kenya,
and to make them accessible to present and future generations.
To fulfil this mission, the Kenya National Archives and Documentation Service continue to: -
• Advise public offices on proper records management.
• Select valuable records for permanent preservation as archives.
 • Store and preserve archives in the repositories.
• Publicize availability of information resources in our custody through computerization of
indexes, digitization, World Wide Web; and through use of other communications and
information technologies.
• Promote access to public records and archives for reference and research purposes, or just
for leisure and enjoyment.

9.4 CORE FUNCTIONS/MANDATE

• To provide advisory services to public offices on all matters relating to the creation, care,
control, use and general management of public records.
• To acquire, processes and preserve public records and archives.
• To provide reference services and research facilities to public offices, scholars and general
public.
• To promote records and archives services in Kenya.

The Kenya national archives and documentation service acquire its financial resources from the
government through the ministry of national heritage budget

9.5 OBJECTIVES OF KNA&DS

In specific terms, KNADS aims at:
• Providing archives and records services to the government of the republic of Kenya;
• Making archives information accessible to all members of the research fraternity;
• Acquiring and processing documentary materials of national, historical, research and
educational importance;
• Conducting appropriate research in the areas of archives and records management;
• Developing, coordinating and maintaining professional archives and records services in the
public service;
• Maintaining standard practices to ensure the most effective records management service to
public offices and members of the public;
• Providing professional advisory service to public offices in the field of archives and records
management;
 • Providing reference service facilities for the inspection of archives which are lawfully open
to the public;
• Safe keeping in suitable environmental conditions of all national archives;

9.6 KNADS RECORDS CENTRES

A records centre is an essential meeting point between KNADS and the government offices. Semi-
current records are normally transferred to the records centres situated at provincial headquarters.
The main aims of the records centres are to:
• Prevent unnecessary use of office space for storage of records which are no longer in active
use.
• Ensure that records which are no longer in active use are destroyed at the end of agreed
retention periods, and those, which should be transferred to archives are transferred
immediately
• Provide reference service by making the transferred records readily available to agencies
which transferred them and to a limited extent, members of the public.

KNADS has consequently set up five records centres nation-wide to meet the above objectives.
The centres are headed by provincial archivists as indicated herein under:
• Kakamega – Western Province
• Kisumu – Nyanza Province
• Nakuru – Rift Valley Province
• Nairobi – Nairobi, Eastern, Central and North Eastern Provinces
• Mombasa – Coast Province

9.7 TRANSFER OF ARCHIVES

The process of transferring records from public offices country-wide to the KNADS custody
follows the following process.
1. Staff from respective record centres visit public offices and appraise records to determine
their retention and disposition status.
 2. Records determined to be inactive are appraised and those of continuing value transferred
to the responsible records centre.
3. The creating office is issued with a transfer list
4. At the records centre, the records are processed and shelved.
5. Later the record centre appraises its collection to determine those of archival value that are
then transferred to KNADS repositories in Nairobi.
6. The creating office may request for its files from the records centre, but the same must be
returned after use.

Records transferred to KNADS records centres and KNADS repositories in Nairobi are regarded
as confidential for creating offices. Consequently, they cannot be accessed by another office or
officer without written authority from the creator.

Once the records are categorized as archives and moved to archival storage in Nairobi, the files
are closed and not availed for public access until after lapse of 30 years, what is famously referred
to as the 30 year rule. However, the director of KNADS has discretionary powers to review this
period on a case basis.

Revision Questions
1. Identify and discuss some of the role of archival institutions today?
 TOPIC 10
THE ROLE OF ARCHIVISTS
The value of archives as authoritative evidence depends upon the quality of their custody and care
from the time they were created. The archivist is perfectly placed to understand this responsibility.

Archives managers, in their professional way, should always strive to contribute towards
accountability and good governance. Because of the enormous roles that records and records play
in accountability, the archivist is the centre stage of ensuring that those roles are effectively played.
Otherwise he may need up being part of bad governance-by simply not ensuring proper record
keeping systems and programmes are in place.

The principle responsibility of the archivist is to provide information. Information that holds the
memory of the society. This information has a historical bearing, recording the genesis of
democratic struggles and landmark happenings in the society that touch on various issues of
governance and accountability. These are the issues that determine levels of accountability.

According to Mackemmish (1998), to fulfil their mission recordkeeping professionals nurture

accountable recordkeeping cultures; establish integrated recordkeeping and archival regimes to
determine what essential evidence is and how long it is of value and capture, manage and deliver
evidence and its meaning over time; monitor and audit these regimes.

The archivist like any other members of the society has also a role to protect the society in which
he operates by contributing to the efforts of enhancing and sustaining good governance.

But how do archivists do all this? They should be professional and offer impartial services outside
the buffetings of politics. They should be guided by the professional ethics and standards in
archival management. Archivists use their specialized knowledge and experience for the benefit
of society as a whole (SAA, 2002).

However, it is important to point out that many a time archivists find themselves in tricky
circumstances where they have to balance between their professional role of contributing to social
good and serving the interests of the governments and organizations they serve. What archivists
do about ethical issues seems to be a challenge since archives hold powerful sway over individuals,
governments and organizations because of the evidence they may reveal about misconduct.

Adherence to ethics code and personal conviction contribute enormously in ensuring the archivist
performs his professional duty and supports the function of accountability within the system under
which the archives relate.

Revision Questions
1. Describe the role of an archivist in fostering good governance in society.