64069 · Module 06- Administer routine Records and Archives support services LEARNER GUIDE 64069 t. 259477 US: 259477 Page | 2 Learner guide Date of review: June 2015 able of SECTION

2

LEARNING

UNIT:

259477

Demonstrate knowledge of

concepts, terminology and ethics

applicable to archives and

records management

CREDITS:

04

NQF LEVEL:

04

Module 06- Administer routine Records and Archives

support services

LEARNER GUIDE

64

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Learner guide Date of review: June 2015

able of

SECTION A: PROGRAMME/MODULE INFORMATION

1. Introduction

2. Module Introduction

3. Purpose of the Module

4. Duration & Notional Hour Grid

5. Programme delivery structure

SECTION B: LEARNING MAP

1. Purpose

2. Specific Outcomes

3. Learner Support Pack

4. Formative Assessment

5. Summative assessment

6. Module:

SECTION C: SELF-REFLECTION

Addendums: Templates

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Table of Contents

SECTION A: PROGRAMME/MODULE INFORMATION ............................... 9

NOTES TO THE LEARN ........................................................................... 12

Learner Guide Introduction .............................................................................................................. 12

SECTION B: LEARNING MAP .................................................................. 13

Purpose ............................................................................................................................ 13

Recognition of Prior Learning (RPL) .................................................................................................. 13

Range of Learning ............................................................................................................................. 14

Learner Support Pack ....................................................................................................................... 14

Responsibility ................................................................................................................................... 14

Learner Support ................................................................................................................................ 15

Assessment ....................................................................................................................................... 16

SECTION D: LEARNING MAP ................................................................. 19

Critical Cross Field Outcomes .......................................................................................................... 20

SPECIFIC OUTCOME:1 DEMONSTRATE AN UNDERSTANDING OF THE CODE OF

ETHICS FOR ARCHIVES AND RECORDS MANAGEMENT. .............................. 21

The ethical and legal responsibilities to preserve, to protect and to maintain the integrity of the information contained in the records are determined in order to establish standards of practice, administration and professional conduct. (SO 1, AC 1) ................................................................................................... 21

The moral obligations to safeguard records against alteration, theft or destruction are identified in order to articulate the professional responsibilities, duties and conduct of archivists and records managers. (SO 1, AC 2) ................................................................................................................................................. 21

The code of conduct towards users/clients is analysed in terms of the principles of fairness to ensure that there is no discrimination or preferential treatment. (SO 1, AC 3) ....................................................... 21

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The ethical responsibilities towards employers, depositors and donors are identified and explained in the context of archives and record management. (SO 1, AC 4) ............................................................... 21

An explanation is given of the concepts of trust, confidentiality and privacy within records and archives. (SO 1, AC 5) ...................................................................................................................................... 21

1.1THE ETHICAL AND LEGAL RESPONSIBILITIES TO PRESERVE, TO

PROTECT AND TO MAINTAIN THE INTEGRITY OF THE INFORMATION

CONTAINED IN THE RECORDS ARE DETERMINED IN ORDER TO ESTABLISH

STANDARDS OF PRACTICE, ADMINISTRATION AND PROFESSIONAL

CONDUCT. (SO 1, AC 1) ......................................................................... 22

PROFESSIONAL ETHICS ......................................................................... 22

1.2THE MORAL OBLIGATIONS TO SAFEGUARD RECORDS AGAINST ALTERATION, THEFT OR DESTRUCTION ARE IDENTIFIED IN ORDER TO ARTICULATE THE PROFESSIONAL RESPONSIBILITIES, DUTIES AND CONDUCT OF ARCHIVISTS AND RECORDS MANAGERS. (SO 1, AC 2) ........................... 24

1.3THE CODE OF CONDUCT TOWARDS USERS/CLIENTS IS ANALYSED IN TERMS OF THE PRINCIPLES OF FAIRNESS TO ENSURE THAT THERE IS NO DISCRIMINATION OR PREFERENTIAL TREATMENT. (SO 1, AC 3) ................... 27

FORMATIVE ASSESSMENT ...................................................................... 30

Role play ........................................................................................................................................... 30

Activity: 01 ......................................................................................................................................... 30

What is the ethical and legal responsibilities to preserve, to protect and to maintain the integrity of the information contained in the records are determined in order to establish standards of practice, administration and professional conduct? (SO 1, AC 1) ..................................................................... 30

Project ............................................................................................................................................... 31

Group Activity: 02............................................................................................................................... 31

Which moral obligations to safeguard records against alteration, theft or destruction? (SO 1, AC 2) .. 31

Research PROJECT ............................................................................................................ 32

Activity: 03 ......................................................................................................................................... 32

Which code of conduct towards users/clients is analysed in terms of the principles of fairness to ensure that there is no discrimination or preferential treatment? (SO 1, AC 3) ............................................... 32

SUMMATIVE ASSESSMENT ...................................................................... 33

Simulation .......................................................................................................................................... 33

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ACTIVITY1 ........................................................................................................................................ 33

Explain the ethical responsibilities towards employers. (SO 1, AC 4) ................................................. 33

Take some time to reflect on what you have learnt in this module and assess your knowledge against the following pointers. Write down your answers. Should you not be able to complete each of these statements, go back to your notes and check on your understanding? You can also discuss the answers with a colleague. ................................................................................................................................ 34

SPECIFIC OUTCOME:2 EXPLAIN AND DEFINE THE CONCEPTS OF RECORDS MANAGEMENT. ...................................................................................... 35

A definition of the term records is given in terms of international standards and definitions. (SO 2, AC 1) .......................................................................................................................................................... 35

The processes involved with records management procedures are described in order to facilitate records management. (SO 2, AC 2) ............................................................................................................... 35

Key concepts of records management are described in terms of the tools to perform records management duties. (SO 2, AC 3) .......................................................................................................................... 35

The principles of records management are defined in accordance with an international glossary. (SO 2, AC 4) ................................................................................................................................................. 35

The critical elements of records in terms of management terminology are identified and described and provide information on the underlying factors and principles involved with records management. (SO 2, AC 5) ....................................................................................................................................................... 35

2.1A DEFINITION OF THE TERM RECORDS IS GIVEN IN TERMS OF INTERNATIONAL STANDARDS AND DEFINITIONS. (SO 2, AC 1) ..................... 36

2.2THE PROCESSES INVOLVED WITH RECORDS MANAGEMENT PROCEDURES ARE DESCRIBED IN ORDER TO FACILITATE RECORDS MANAGEMENT. (SO 2, AC 2) .................................................................................................... 38

THE ARCHIVAL INSTITUTION AS PART OF THE RECORDS AND ARCHIVES INSTITUTION ......................................................................................... 38

Relationship of the Archival Repositories to Other Institutions .................................................... 41

2.3KEY CONCEPTS OF RECORDS MANAGEMENT ARE DESCRIBED IN TERMS OF THE TOOLS TO PERFORM RECORDS MANAGEMENT DUTIES. (SO 2, AC 3) .... 41

2.4THE PRINCIPLES OF RECORDS MANAGEMENT ARE DEFINED IN ACCORDANCE WITH AN INTERNATIONAL GLOSSARY. (SO 2, AC 4) .............. 43

DEVELOPING AN ARCHIVES POLICY ......................................................... 43

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2.5THE CRITICAL ELEMENTS OF RECORDS IN TERMS OF MANAGEMENT TERMINOLOGY ARE IDENTIFIED AND DESCRIBED AND PROVIDE INFORMATION ON THE UNDERLYING FACTORS AND PRINCIPLES INVOLVED WITH RECORDS MANAGEMENT. (SO 2, AC 5) .................................................................... 44

RESPONSIBILITIES UNDER THE LAW ........................................................ 44


Role play ........................................................................................................................................... 46

Activity: 04 ......................................................................................................................................... 46

What is a definition of the term records is given? (SO 2, AC 1) ........................................................... 46

Project ............................................................................................................................................... 47

Group Activity: 05............................................................................................................................... 47

Which are processes involved with records management? (SO 2, AC 2) ............................................ 47


Activity: 06 ......................................................................................................................................... 48

Which key concepts of records management? (SO 2, AC 3) ............................................................... 48


Simulation .......................................................................................................................................... 49

ACTIVITY 02 ..................................................................................................................................... 49

Which principles of records management? (SO 2, AC 4) .................................................................... 49


SPECIFIC OUTCOME:3 EXPLAIN AND DEFINE THE KEY CONCEPTS OF ARCHIVAL MANAGEMENT. ...................................................................... 51

A definition of the term archives is given in terms of international standards and definitions. (SO 3, AC 1) .......................................................................................................................................................... 51

The impact of cultural, historical and societal events is explained in terms of the creation and permanent preservation of records. (SO 3, AC 2) ................................................................................................ 51

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An explanation is given of the development of archival institutions in terms of their origins. (SO 3, AC 3) .......................................................................................................................................................... 51

The principles of archival management are defined in accordance with international standards. (SO 3, AC 4) ....................................................................................................................................................... 51

The process of evaluating records for archival preservation is explained in terms of criteria against which the records are measured. (SO 3, AC 5) ........................................................................................... 51

The main functions of the archives are explained in terms of their selection, preservation and availability. (SO 3, AC 6) ...................................................................................................................................... 51

3.1A DEFINITION OF THE TERM ARCHIVES IS GIVEN IN TERMS OF INTERNATIONAL STANDARDS AND DEFINITIONS. (SO 3, AC 1) ..................... 52

The Life Cycle .................................................................................................................................... 52

Archives ............................................................................................................................................. 52

Public Records ................................................................................................................................... 52

Parastatal Bodies ............................................................................................................................... 53

Other Terms ...................................................................................................................................... 53

3.2THE IMPACT OF CULTURAL, HISTORICAL AND SOCIETAL EVENTS IS EXPLAINED IN TERMS OF THE CREATION AND PERMANENT PRESERVATION OF RECORDS. (SO 3, AC 2) .......................................................................... 54

3.3AN EXPLANATION IS GIVEN OF THE DEVELOPMENT OF ARCHIVAL INSTITUTIONS IN TERMS OF THEIR ORIGINS. (SO 3, AC 3) ........................... 55

Heads of Public Offices ...................................................................................................................... 55

The Director ....................................................................................................................................... 56

3.4THE PRINCIPLES OF ARCHIVAL MANAGEMENT ARE DEFINED IN ACCORDANCE WITH INTERNATIONAL STANDARDS. (SO 3, AC 4) ................. 57

The Director ....................................................................................................................................... 58

Heads of Public Offices ...................................................................................................................... 58

Mandatory Duties of the Director ........................................................................................................ 59

Permissive Duties of the Director ....................................................................................................... 59


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Role play ........................................................................................................................................... 61

Activity: 07 ......................................................................................................................................... 61

Which term archives is given in terms of international standards and definitions? (SO 3, AC 1) ......... 61

Project ............................................................................................................................................... 62

Group Activity: 08............................................................................................................................... 62

Explain the impact of cultural, historical and societal events. (SO 3, AC 2) ........................................ 62


Activity: 09 ......................................................................................................................................... 63

Explain the development of archival institutions in terms of their origins. (SO 3, AC 3) ....................... 63


Simulation .......................................................................................................................................... 64

ACTIVITY 03 ..................................................................................................................................... 64

Which principles of archival management? (SO 3, AC 4) ................................................................... 64


REFERENCES ........................................................................................ 66

SECTION C: SELF REFLECTION .............................................................. 67

SELF-ASSESSMENT ................................................................................ 69

LEARNER EVALUATION FORM ............................................................... 70

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SECTION A: PROGRAMME/MODULE INFORMATION

1. Introduction

The learning experiences are designed to enable the learners to master the learning

content at the appropriate level.

The Learner Pack for this module contains the following documents/prescribed books:

Learner Orientation Guide

Learner Guide

Prescribed Material

Portfolio of Evidence

Logbook

2.Module Introduction

The module introduction with the facilitator will cover:

Overview of the module, including tasks and activities - expectations

Timetable

The Learner Guide

The Learner Portfolio of Evidence

Assessment: The importance of completing all tasks in the PoE; the neat and orderly

submission of evidence in the PoE; all forms completed and signed

Exit leaning outcomes Component

The Summative Assessment

Programme Assessment timetable schedule

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3. Purpose of the Module

UNIT STANDARD NUMBER:

259477 Demonstrate knowledge of

concepts, terminology and ethics applicable

to archives and records management

LEVEL ON THE NQF:

04

CREDITS:

04

FIELD:

Field 04 - Communication Studies and

Language

Sub Field:

Communication Studies

PURPOSE:

Demonstrating an understanding of the code of ethics for archives and records management.

Explaining and defining the concepts of records management.

Explaining and defining the key concepts of

archival management.

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3RD Semester

Quadmester system divides the academic year into four terms, up to 12 weeks each, and generally

counts the summer as one of the terms.

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Notes to the Learn

Learner Guide Introduction

Dear Learner,

Welcome to this Learning Programme. We trust that this Learning

Programme will be of great value to you during your studies and in your

future career.

To succeed in anything in life requires a lot of hard work.

It will be expected of you to work through this study guide with a great

deal of attention. It provides you with information on how to work

through the material, details exactly what will be expected of you and

what objectives you need to achieve during the study of this Learning

Programme. You will have to:

Complete your assignments with dedication and submit them in time.

Complete the self study sections for your own benefit. The self

study sections provide you with the opportunity to practice what you

have learnt.

Act as adult learners.

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SECTION B: LEARNING MAP

Recognition of Prior Learning

(RPL)

RPL is a way of recognising what you already know and can do. You

can receive recognition of existing competency regardless of where,

how and when it was acquired.

For RPL assessment, you need to submit evidence of a skill or

experience. This can be done by compiling a portfolio, being

interviewed, giving a practical demonstration, completing a project, or

by writing a formal ‘test’.

Purpose The purpose of this unit standard is to facilitate learning and to ensure

that learners are able to cope with learning in the context of

learnerships, skills programmes and other learning programmes. Many

adult learners in the FET band have not been in a learning situation for

a long time, and need learning and study strategies and skills to enable

successful progression. Learners competent at this level will be able to

deal with learning materials, to access and use useful resources, to

seek clarification and help when necessary, and apply a range of

learning strategies. They do this with an understanding of the features

and processes of the workplaces and occupations to which their

learning programmes refer.

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Range of Learning

This describes the situation and circumstance in which competence

must be demonstrated and the parameters in which the learner

operates.

Learner Support Pack

Every learner will receive at least the following resources during this

Learning Programme:

Learner Guide.

Learner Workbook.

The learner workbook must be used in conjunction with this learner

guide for developmental and formative assessment activities.

Responsibility The responsibility of learning rests with you, so . . .

Be proactive and ask questions.

Seek assistance and help from your facilitator, if required.

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Learner Support

Please remember that as the programme is outcomes based – this

implies the following:

a) You are responsible for your own learning. Make sure you

manage your study, research and portfolio time responsibly.

b) Learning activities are learner driven. Make sure you use the

learner guide and workbook in the manner intended, and are

familiar with the portfolio guide requirements.

c) The facilitator is there to reasonably assist you during contact,

practical and workplace time of this programme – make sure

that you have his/her contact details.

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Assessment

How will I be prepared for assessment?

During the programme developmental activities will be conducted to

assist you in preparing for final assessment. For your own benefit,

make sure that you participate fully in all the developmental and

formative assessment activities!

What will I finally be required to do for assessment?

Final assessment will be conducted on the following submission of

evidence:

Knowledge questionnaire.

Portfolio of evidence.

Structured interview.

What will be assessed in the above?

All assessments are conducted strictly in accordance with the unit

standard requirements. Assessment is a way of measuring what you

know and are able to do. When you have learnt something, you should

be able to apply what you have learnt. You may be assessed when you

are sure that you are ready to be assessed. If you do not achieve the

standard the first time, you can be coached or trained further and then

be assessed again later. You will be assessed in a number of ways and

at regular intervals. You will also sit a formal examination at the end of

your studies.

When do I start preparing for assessment?

Right from the start – make sure you are familiar with the assessment

guide/portfolio guide, and start preparing and collecting evidence from

the onset of the programme.

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Formative Assessment

In order to gain credits for this programme you will need to show an assessor that you are

competent in the unit standard. The activities in this programme are designed not only to

bring about your competence but also to prove that you have mastered competence. You

are required to create a file called your portfolio of evidence (POE) to show your assessor

that you have mastered the outcomes of the unit standard. Where you see the POE icon,

you must remove the worksheet from your learner guide and place it in your POE.

Summative assessment

Not all the specific outcomes will be formatively assessed during the programme or in the

workplace. The objective is to create independent and self-sufficient learners. This means

that you will also be required to do independent research and assignments outside the

training room. This work will also need to be presented in your POE. Your assessor and you

will conduct a pre assessment meeting to discuss the assessment process and how you will

collect evidence of your competence. When you are ready, you will advise your assessor that

you are ready for the assessment. The summative assessment activities are indicated at the

end of the learning guide. If your summative assessment is conducted using observation,

role plays or verbal assessment, place a signed copy of the checklists, once completed by the

assessor/assessment panel, in your POE.

ICONS

Icons Type of assessment Description

Formative knowledge

assessment:

This comprises of questions

to assess your knowledge.

You must obtain at least

80% in each assessment

criterion.

Self-reflexive assessment You will be required to

answer a few reflexive

questions.

Teamwork Self-Assessment

Form

After you completed this

course, you will be required

to assess your own

behaviour regarding team

work.

Work place experience After you completed this


to assess your own

behaviour regarding work

experience.

Project research After you completed this


to assess your own

behaviour regarding

reseach.

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SECTION D: LEARNING MAP

Learning unit Reference Hours

Demonstrate an

understanding of the code of

ethics for archives and

records management.

SO: 01

Explain and define the

concepts of records

management.

SO: 02

Explain and define the key

concepts of archival

management.

SO: 03

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Competencies

Critical Cross Field Outcomes

Demonstrating an understanding of the code of ethics for archives and records management.

Explaining and defining the concepts of records management.

Explaining and defining the key concepts of archival management

http://www.google.co.za/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&docid=Zzb39Jt1ArQIAM&tbnid=xfPH4oExiUsLaM:&ved=0CAUQjRw&url=http://www.businesswest.co.uk/business-solutions/skills-for-business&ei=g6ofUtqeCcaZ0QX6xYHgDw&bvm=bv.51495398,d.d2k&psig=AFQjCNFB7YXd9GLJ5TBhCBl5j-ePjWm7Vw&ust=1377893191425707

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SPECIFIC OUTCOME:1 Demonstrate an understanding of the

code of ethics for archives and records management.

Learning Outcomes

On completion of this section you will be able to: Demonstrate

an understanding of the code of ethics for archives and records

management.

Assessment Criteria

The ethical and legal responsibilities to preserve, to protect and to maintain the integrity of the information contained in the records are determined in order to establish standards of practice, administration and professional conduct. (SO 1, AC 1)

The moral obligations to safeguard records against alteration, theft or destruction are identified in order to articulate the professional responsibilities, duties and conduct of archivists and records managers. (SO 1, AC 2)

The code of conduct towards users/clients is analysed in terms of the principles of fairness to ensure that there is no discrimination or preferential treatment. (SO 1, AC 3)

The ethical responsibilities towards employers, depositors and donors are identified and explained in the context of archives and record management. (SO 1, AC 4)

An explanation is given of the concepts of trust, confidentiality and privacy within records and archives. (SO 1, AC 5)

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1.1The ethical and legal responsibilities to preserve, to

protect and to maintain the integrity of the information

contained in the records are determined in order to

establish standards of practice, administration and

professional conduct. (SO 1, AC 1)

Professional Ethics

The professional staff of the archival institution are archivists: that is, they belong to a

professional group with an international identity and with an internationally recognised code

of ethics.

Regardless of the scope of his or her responsibilities, the records manager or archivist in

the public sector has an obligation to serve the public. Good information management is

essential in a knowledge-based society. A public servant, records manager or archivist has

a public obligation to conduct his or her job to the best of his or her abilities. Accountability,

ethics, stewardship and commitment are essential qualities in a public servant. It is hoped

that these qualities are found in archivists working in the private sector as well.

Archivists should individually and as a group subscribe to the code of ethics promulgated by

the International Council on Archives, as well as to any similar code adopted by the

appropriate professional body in their country or region.

Following are the key principles found in many codes of ethics adopted by records and

archives professionals around the world.

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Records professionals manage, appraise, select, acquire, preserve and make available

for use records and archives, ensuring their intellectual integrity and physical protection,

for the benefit of users both in the present and future.

Records professionals perform their tasks without discrimination on the basis of race,

colour, religion, sex, age or national or ethnic origin.

Records professionals encourage and promote the greatest possible use of the records

in their care, giving due attention to confidentiality, personal privacy, physical

preservation and legislative or policy requirements.

Records professionals carry out their duties according to accepted records and archives

principles and practices, to the highest standard of conduct.

Records professionals contribute to the advancement of records and archives

knowledge and skills by sharing their knowledge with other professionals and with the

public in general, using their knowledge for the benefit of society as a whole.

The staff of any archival institution are professionals and should be free to participate in the

work of the appropriate professional bodies within the country.

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1.2The moral obligations to safeguard records against alteration, theft or destruction

are identified in order to articulate the professional responsibilities, duties and

conduct of archivists and records managers. (SO 1, AC 2)

PROBLEM AREAS IN IMPLEMENTING RECORDKEEPING REQUIREMENTS

In addressing recordkeeping requirements, there are several problem areas that require

particular attention. Agency program officials and records managers should determine

when the following materials are needed for adequate and proper (i.e., complete and

accurate) documentation. Major problem areas include the following:

Documentation of policy and decision making accomplished orally or electronically.

In most agencies, policies, decisions, and commitments are frequently made in meetings,

over the telephone, or by electronic mail or facsimile transmission. To ensure that such

policies and decisions are adequately documented, agencies should establish procedures

that require personnel at all levels to document conversations and meetings dealing with

significant program business by preparing a dated and signed memorandum or form

identifying the participants and summarizing the conversation or meeting. All personnel

should ensure that records of policy and decision making made or received through

electronic mail and facsimile are retained in appropriate recordkeeping systems.

Documentation of formal meetings.

Meetings of formal bodies such as boards, commissions, advisory groups, committees, and

task forces, as well as high-level staff meetings at which agency business is transacted or

discussed, should be properly documented. At a minimum, documentation in a meeting file

should include the names and organizational titles of participants, an agenda, a list of

materials distributed to participants, a summary of discussion of significant policy or

procedural matters, decisions reached and actions decided upon, actions to be taken

following adjournment, and assignments of responsibility. If the meeting is taped and a

transcription subsequently made and filed, all speakers should be identified on the

transcript.

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Drafts and working files.

Although records of Federal agencies usually contain high-level policies and decisions,

policy formulation and execution may be poorly documented. Support documents such as

drafts and working files for reports, special studies, memorandums, and correspondence

that support major program policy development may not be incorporated into office files.

These support documents may be needed to fully understand the alternatives and options

considered for high-level program initiatives, and the basis for deciding on a course of

action. Some drafts contain unique information in substantive annotations or comments

added during circulation for comment or approval. Agencies should maintain such drafts,

with the file copy of the final document, if any, when the drafts relate to formulation and

execution of high-level policies, decisions, actions, or responsibilities.

In addition to drafts, working files and background materials may be needed to adequately

document agency activities. Agencies should evaluate the documentation practices of

senior officials and staff, engineers, scientists, and other professionals and specialists,

particularly those who manage unique agency programs and major contracts, and provide

guidance for ensuring adequate documentation. Special attention should be given to

notebooks, notes, calculations, and other background materials that may contain

information needed to supplement formal records. Drafts and working papers or files that

propose and evaluate options or alternatives and their implications in the development of

high-level policies and decisions or that document findings or support recommendations

should be preserved.

Background materials or drafts that are records according to agency recordkeeping

guidelines should be maintained in agency recordkeeping systems. Senior officials or their

staff members should not keep such Federal records as personal papers. (See "personal

papers/files" below.) Drafts and working papers or files that relate to routine program or

administrative operations or that contain only corrections or editorial or stylistic changes

may be disposed of as no record materials.

Electronic information systems.

Documentary materials in electronic form include records, no record materials, and

personal files. Electronic information systems present special problems because of the

diversity of the materials in the system, the fragility of the media, the potential for technical

obsolescence, and the decentralized control over the materials in office automation

applications. Agencies must ensure that electronically- generated records are identified and

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that the systems used to store the records comply with recordkeeping requirements.

Electronic recordkeeping systems must be designed to ensure the security and integrity of

records, preservation of records for the time they are needed, and migration of data to other

agency systems or subsequent systems. If record messages that are made or received

through electronic mail do not show the complete names of senders, addressees, and the

date of transmission, users should also take reasonable steps to preserve the mail

envelope information sheet, distribution list, or other screen that contains any of that

information that is not on the message itself. In addition, receipts should be maintained if

needed for recordkeeping purposes. (See Appendix B.) Contractor records.

The term "contractor records" is frequently applied to paper, audiovisual, and electronic

records and data created or received from or maintained by contractors for Federal

agencies. Contractors performing agency functions create records essential for effective

management and for accurate and complete documentation of these functions.

Unless contract provisions explicitly define the documentation to be provided to the agency,

contractors are likely to treat needed documentation as private property. Agencies should

ensure that contract provisions require the submission of program and administrative

documentation needed by the agency, including background data and technical

documentation. Contracts should also specify which records need to be kept by the

contractor for audit or other administrative purposes, and the length of time they are to be

maintained.

http://www.archives.gov/records-mgmt/publications/agency-recordkeeping-requirements.html#b

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1.3The code of conduct towards users/clients is analysed in terms of the principles

of fairness to ensure that there is no discrimination or preferential treatment. (SO 1,

AC 3)

Word Processing

When an agency determines that its needs would best be served with maintenance of these

records in a paper recordkeeping system, the creator of a word processing document

should complete these tasks:

Identify the record status of drafts and other background materials, and print those that are

records.

Generate or ensure that the support staff generates appropriate file copies of final

documents.

Ensure that the final documents and official file copies show the date, approval of the

signer, and file classification.

Ensure that any necessary drafts and related materials are attached to the official file copy.

Ensure that the file copies of the final document (if the end-user produces one) are placed

in a file box or other designated place for such items to be filed.

When an agency determines that its needs would best be served with maintenance of these

records in an electronic recordkeeping system, the creator of a word processing document

should follow these procedures:

Identify the record status of drafts and other background materials, and save all versions

that are records.

Electronically associate drafts and other background materials that are records with the

final document, if there is one.

Ensure that the directory in the electronic recordkeeping system where the document will

be maintained is noted on all records.

Transmit an electronic copy of all records to the appropriate directory in the electronic

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recordkeeping system once the document is finalized or when no further action on the

document will be taken.

Spreadsheets

When an agency determines that its needs would best be served with maintenance of

paper files, the creator of a spreadsheet should first identify the record status of the

spreadsheet. Then, for spreadsheets that are Federal records, he or she should determine

whether the formulas for the individual cells need to be documented. When documentation

is required, the spreadsheet creator should perform one of the following tasks:

If the spreadsheet program can include this information on a printed copy, print the

spreadsheet with the formulas.

If the spreadsheet program cannot print the formulas, print the spreadsheet and annotate

the printout.

(When documentation of the formulas is not required, the creator should simply print the

spreadsheet.)

If it is associated with another record, e.g., if it is an enclosure to a memorandum or letter,

an appendix or exhibit to a report, or background material needed for complete

documentation, attach a copy to the related record.

If it is not associated with another record, mark the document as the official file copy, write

the file classification on it, and place it in a file box or other designated place for such items

to be filed.

When an agency maintains electronic recordkeeping systems, the creator of a spreadsheet

should first identify record status and then take one of the following steps:

If it is associated with another record, ensure that an electronic copy is part of the related

record.

If it is not associated with another record, transmit an electronic copy to the appropriate

directory in an electronic recordkeeping system.

Data Base Reports

When an agency determines that its needs would best be served with maintenance of

paper files, the creator of a data base report should first determine whether the report is a

Federal record or a no record working or background document, and print those that are

Federal records.

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If it is associated with another record, e.g., if it is an enclosure to a memorandum or letter,

an appendix, or exhibit to a report, or background material needed for complete

documentation, attach a copy to the related record.

If it is not associated with another record, mark the document as the official file copy, write

the file classification on it, and place it in a file box or other designated place for such items

to be filed

When an agency maintains electronic recordkeeping systems, the creator of a data base

report should first identify record status, then take one of the following steps: If it is

associated with another record, e.g., if it is an enclosure to a memorandum or letter, an

appendix or exhibit to a report, or background material needed for complete documentation,

ensure that an electronic copy is part of the related record. If it is not associated with

another record, transmit an electronic copy to the appropriate directory in an electronic

recordkeeping system.

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Formative assessment

Role play

Activity: 01

Instructions What is the ethical and legal responsibilities to preserve,

to protect and to maintain the integrity of the information

contained in the records are determined in order to

establish standards of practice, administration and

professional conduct? (SO 1, AC 1)

Method individual Activity

Media Method Flipchart

Answers:

CCFO

DEMONSTRATING

Marks 10

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Project

Group Activity: 02

Instructions Which moral obligations to safeguard records against

alteration, theft or destruction? (SO 1, AC 2)

CCFO

COMMUNICATING

Method Group Activity

Answers:


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Research PROJECT

Activity: 03

Instructions Which code of conduct towards users/clients is analysed

in terms of the principles of fairness to ensure that there

is no discrimination or preferential treatment? (SO 1, AC

3)

CCFO Collecting



Answers

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Simulation

ACTIVITY1

Instructions Explain the ethical responsibilities towards employers.

(SO 1, AC 4)

CCFO

ORGANISING



Mark 10

Answer:

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Essay

Take some time to reflect on what you have learnt in this module and assess your

knowledge against the following pointers. Write down your answers. Should you not

be able to complete each of these statements, go back to your notes and check on

your understanding? You can also discuss the answers with a colleague.

Demonstrate an understanding of the code of ethics for archives and records management

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SPECIFIC OUTCOME:2 Explain and define the concepts of records management.

Learning Outcomes

On completion of this section you will be able to: Explain and

define the concepts of records management.

Assessment Criteria

A definition of the term records is given in terms of international standards and definitions. (SO 2, AC 1)

The processes involved with records management procedures are described in order to facilitate records management. (SO 2, AC 2)

Key concepts of records management are described in terms of the tools to perform records management duties. (SO 2, AC 3)

The principles of records management are defined in accordance with an international glossary. (SO 2, AC 4)

The critical elements of records in terms of management terminology are identified and described and provide information on the underlying factors and principles involved with records management. (SO 2, AC 5)

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2.1A definition of the term records is given in terms of international standards and

definitions. (SO 2, AC 1)

THE USES OF ARCHIVES

Few records are recognised as having archival value at the point of their creation. The

perceived value and use of the bulk of records change over time. A file created this week

may have great archival value in twenty-five years, but it can be difficult to discern that

value at this early stage in the record’s life.

Furthermore, the value of records differs between the different communities of users. For

the creator or original user, the usefulness of the records is likely to diminish once the

record has fulfilled its initial purpose. Managers and auditors, for example, use records to

assess performance and accountability. To them, the administrative value of records ends

when regulatory requirements have been met. The majority of records will be destroyed

once their business function has ended and there is no further need to retain the evidence

they contain.

Academic communities value records as a source of information to be analysed and

interpreted for research purposes. To many researchers, archival records are seen as

another information resource, like published materials. The context or provenance of

archives, while a vital concern to the archivist, is of lesser importance to the researcher,

who is more concerned with accessing the information in the records and using that

information for his or her own research purposes.

The wider community and the general public recognise the symbolic value inherent in

archives; many people appreciate the vital connection between records and the past.

Archival treasures, such as the original documents that enshrine a country’s independence,

have an immediate appeal, as do documents of intrinsic beauty such as illuminated

charters. Citizens also revere archives associated with great events or persons in history.

Some documents will have an enduring value to the citizen because they enshrine

evidence of his or her legal rights or family history.

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In spite of the different uses to which archives are put, all the different perceived values of

archival materials rest upon a common foundation. In order for a record to provide valuable

research information, its value as evidence and its integrity, authenticity and meaning must

be retained intact. Organisations and individuals can be exposed to business and legal

liability if they neglect essential record-keeping requirements. However, the long-term

consequences of neglect can be even more serious. Unique and irreplaceable evidence of

the past may be lost forever if bodies of records are destroyed without being appraised for

their enduring value or when records are damaged through neglect or mishandling. Equally

damaging is the breakup of organic archival accumulations, with the preservation of only

small unconnected fragments, rather than that portion of records that best represents the

functions and activities of the creating agency.

Record keepers and archivists must be able to prove that the essential characteristics of

records as evidence have been protected and preserved over time. The value of archives

as authoritative evidence depends upon the quality of their custody and care from the time

they were first created and used. The archivist is perfectly placed to understand this

requirement. At any point in their life, whether in the custody of their creators or an archival

institution, records are unusable or valueless if their context and authenticity has not been

safeguarded. Without context and authenticity, the evidence contained in archives cannot

be relied upon or fully understood.

Restoring the order and context of archives is also an important part of the work of

archivists. Inevitably, accidents and mishaps occur, responsibilities change and

organisations evolve. Sometimes records are partially or completely destroyed without

regard to their enduring value. At other times, the original order of records is disturbed,

making it difficult if not impossible to place the records into context. Private papers or the

records of small or defunct organisations may also come to the archivist in a disorderly and

incomplete state. Hence archivists and records professionals must sometimes reconstruct

the past from surviving records and other materials.

In order to ensure that all the needs for evidence – both business and cultural – are met,

archivists and records managers must have the co-operation and support of everyone

interested in using records, including the creators of records, researchers, historians and

society at large.

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2.2The processes involved with records management procedures are described in

order to facilitate records management. (SO 2, AC 2)

The Archival Institution as part of the Records and Archives Institution

The archival institution is one of the essential institutions of a

modern society.

The traditional role of the archival institution is to be the custodian of those records set

aside for permanent preservation. Around the world, much of what has survived from the

nineteenth century or earlier is the result of luck. Until the second half of the twentieth

century, archival repositories were still mainly the passive recipients of records judged

worthy of retention for public (especially legal) use or determined to have no value to the

creating agency.

While archival institutions may have had some input into the selection process and

exercised a supervisory function over the appraisal of records, decisions about what to

preserve were left largely to chief clerks and office administrators, the majority of whom

were untrained and who operated in ignorance of retention and disposal decisions being

made in other agencies. In short, the management of records and the preservation of

archives were seen as separate activities, the latter commencing when the former had

ended.

In more recent years, the life-cycle and continuum concepts of records and archives

management have been followed more widely. The perception that records and archives

are two distinct entities with different characteristics and different management

requirements has been replaced with a new integrated approach, and this change in

perception has taken place in the context of a vast increased in the volume of records being

generated.

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Records are managed continuously and coherently by records and archives professionals

throughout their life. By controlling the processes of creation, use, maintenance and

disposal, the requirements of all users can be met. By being involved in the record-keeping

processes from the point of record creation, organisations can make coherent decisions

about the retention and ultimate disposition of records. The increasing dependence on

non-physical electronic records, and the ease with which electronic records can be

changed, has emphasised this need for active involvement in the care of the record

throughout its life.

Some archival institutions have yet to adopt the new approach; consequently, they still have

little involvement in or influence over records management systems in the creating

agencies. In some countries, the life-cycle approach must await the introduction of new

records legislation, which should assign responsibility to a records and archives institution:

a comprehensive records management entity that manages records throughout their life

from their creation to their ultimate disposal.

Recognising that every organisation’s structure will be different, this module assumes that

the archival institution is an integral part of a larger records and archives institution, which

has responsibility for managing records and information throughout all stages of the life

cycle. The archival institution is an essential part of this wider records service, the function

of which is to ensure that from the moment of their creation, the organisation’s records

match information requirements, are managed efficiently and effectively and are used to the

best advantage.

A typical records and archives institution may be divided broadly into three primary areas of

responsibility:

current records care, responsible for the management of records in active use,

held by records offices to support current business activities in the creating

agencies

semi-current records care, responsible for records no longer in day-to-day use

but that cannot yet be destroyed or transferred to the archival repository, held in

a records centre

Archives care, responsible for those records selected for permanent

preservation and transferred to the archival institution.

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Whereas the records and archives institution as a whole provides leadership, guidance and

expertise in all matters relating to records management, the archival institution provides a

specific service to its sponsor (the government or corporation) and to the wider community.

The archival institution is the base for the last phase in the life of records that have enduring

value. This module focuses on this responsibility of the archival institution, to manage and

make available those records selected for permanent preservation.

Archival repositories are major cultural institutions within society. They serve as centres of

research, repositories of evidence, places where users can have access to records in

pursuit of their interests and guardians of the documentary memory.

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2.3Key concepts of records management are described in terms of the tools to

perform records management duties. (SO 2, AC 3)

At a national level, the National Archives, together with the National Library, the National

Museum and any other national cultural institutions, is one of a country’s core research

resources. Users come to it from all sectors of society, including professional and

academic researchers in many disciplines, researchers from government departments,

amateur researchers or members of the public, people wishing to have some contact with

the primary sources of the national culture and tradition and citizens with a problem that can

only be solved by reference to the evidence preserved in archival institutions.

The links between these cultural and research institutions need not be formally expressed

through their position in the structures of government. However, formal relationships, such

as reporting to a common government agency or directorate, can sometimes be useful. In

other situations, liaison can be established through professional channels.

There is also international interest in the health and efficiency of a National Archives and

other nationally significant archival institutions. Many research topics touch on matters of

international concern. A significant number of users of any National Archives come from

other countries. This international aspect of the use of archives grows in importance as

international information networks develop and as the international community increasingly

recognises its common interest in heritage and culture.

There need to be strong links between an archival institution and all other aspects of the

work of controlling records and the information in them. The archival facility should be an

integral part of a records and archives administration. The sponsor organisation should

provide an adequate budget for the performance of archival duties.

Relationship of the Archival Repositories to Other Institutions

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The national archival institution is also part of an international network of similar institutions

and has common interests with the archival repositories in other countries. The National

Archives should be a member of the appropriate categories of the International Council on

Archives and its regional branches, and its staff should be able to participate in the

consultations and work of international bodies.

In many countries — perhaps in most — larger institutions such as the National Archives

also have a role as the repository of valuable records that originated outside government

service but are of interest to the nation. Therefore, national and other publicly provided

archival services often acquire selected private or non-government archival materials. It is

open to non-governmental institutions and individuals to make use of this service.

However, there are often considerations of confidentiality or privacy that make it desirable

for these organisations to provide their own archives service.

In general, private or non-governmental archival institutions should follow similar

procedures and be subject to the same professional codes of ethics as public repositories.

They should also conform to guidelines and standards laid down in national legislation or

adopted by appropriate professional bodies. The archival institution should have a strong

programme of outreach and development activities aimed at raising public awareness of its

work.

It is also often necessary for a records and archives institution or an archival institution to

establish and run regional or branch facilities. Under the general supervision of the central

management of the records and archives institution or archival institution, these branch

establishments perform the same function in relation to regional or local government

agencies as the National Archives does to central government. The principles and

practices described in this module should also apply to regional or branch archival

establishments.

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2.4The principles of records management are defined in accordance with an

international glossary. (SO 2, AC 4)

Developing an Archives Policy

The Mission Statement

The archival institution should have an agreed mission statement, approved by the

government or creating organisation, by which the success of its programmes can be

measured. A mission statement can be as short as one sentence. For example,

The National Archives exists to preserve the documentary heritage of the nation, by

preserving and making available for public use both public and private records of

national significance.

The mission statement itself should be clear and concise, but it needs to be supported by a

fuller policy document setting out the mandate, aims and objectives of the organisation in

more detail.

The mission statement should be determined and promulgated by the governing body of

the archival institution, endorsed by that governing body and published widely. The

archives staff should be consulted in drawing it up.

The mission statement should be reviewed regularly to ensure that it remains relevant.

There should be a consultative body that revises the mission statement from time to time as

part of its duties.

The mission statement of the archival repository should set out clearly the role of the

institution in relation to the administration of organisational records and record keeping. As

part of the records and archives institution, the archival institution is the place to which all

the organisation’s records that have passed the necessary appraisal tests will come and

where the research values inherent in these records will be realised. A model mission

statement is presented below

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The mission statement outlines the role of the archival

institution.

2.5The critical elements of records in terms of management terminology are

identified and described and provide information on the underlying factors and

principles involved with records management. (SO 2, AC 5)

Responsibilities under the Law

The following information relates specifically to public sector archival institutions, but the

guidelines are applicable to archival facilities in the private sector as well.

An archival service should operate under the provisions of specific legislation or policies

that validate its operations. The archives law should include the following provisions.

1. Establishment of the archival facility as a public institution. The law should grant it the

necessary powers and duties. These include a definition of the jurisdiction of the institution

over records generated in the government service and over any other records of

importance that are included in the remit of the archival institution.

2. A public right of access to the holdings of the archival institution. This legislation will include

a policy on the regular opening of government records under clear conditions, usually lapse

of time, and a workable procedure for sensitivity review and declassification. Public rights

of access should be clearly defined and, as far as possible, follow the best models for this

kind of legislation. Where there is freedom of information legislation, this usually takes

precedence, but efforts should be made to ensure that it is compatible with both the letter

and the spirit of archival legislation.

3. Protection for the rights of individuals and organisations that may have provided information

held in the records, under terms of confidentiality. These provisions should also conform to

the best models. Again where there is privacy or data protection legislation, this usually

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takes precedence, but efforts should be made to ensure that it is compatible with both the

letter and the spirit of archival legislation.

4. Provision for public scrutiny of the archival institution and its success in achieving its targets.

This provision should ideally include the establishment of structures whereby advice,

consultation and co-ordination with parallel services can be obtained in the formulation of

policy and the execution of programmes and activities.

Archives legislation must protect records and ensure a right of

public access.

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Role play

Activity: 04

Instructions What is a definition of the term records is given? (SO 2,

AC 1)



Answers:

CCFO

DEMONSTRATING

Marks 10

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Project

Group Activity: 05

Instructions Which are processes involved with records management?

(SO 2, AC 2)

CCFO

COMMUNICATING


Answers:


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Research PROJECT

Activity: 06

Instructions Which key concepts of records management? (SO 2, AC

3)

CCFO Collecting



Answers

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Simulation

ACTIVITY 02

Instructions Which principles of records management? (SO 2, AC 4)

CCFO

ORGANISING



Mark 10

Answer:

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Essay





Explain and define the concepts of records management.

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SPECIFIC OUTCOME:3 Explain and define the key concepts of archival

management.

Learning Outcomes

On completion of this section you will be able to: Explain and

define the key concepts of archival management.

Assessment Criteria

A definition of the term archives is given in terms of international standards and definitions. (SO 3, AC 1)

The impact of cultural, historical and societal events is explained in terms of the creation and permanent preservation of records. (SO 3,

AC 2)

An explanation is given of the development of archival institutions in terms of their origins. (SO 3, AC 3)

The principles of archival management are defined in accordance with international standards. (SO 3, AC 4)

The process of evaluating records for archival preservation is explained in terms of criteria against which the records are measured. (SO 3, AC 5)

The main functions of the archives are explained in terms of their selection, preservation and availability. (SO 3, AC 6)

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3.1A definition of the term archives is given in terms of international standards and

definitions. (SO 3, AC 1)

The Life Cycle

The three phases of the life-cycle of records -- ‘current records’, ‘semi-current records’ and

‘archives’ -- should be explained.

Archives

‘Archives’ in the sense of the final stage of the life cycle should be distinguished from the

institution responsible for their management (‘archival institution’) or the building in which

they are preserved and made available for consultation (‘archival repository’).

The exception to the last point is the use of ‘National Archives’, ‘Regional Archives’, and so

on, as the title of a specific archival repository.

Public Records

There should also be a detailed definition of ‘public records’ (often placed in a schedule to

the legislation) covering the whole of their life cycle and bringing the following

unambiguously with the ambit of the legislation:

all past, present and future agencies or ‘public offices’ in the executive, judicial and

legislative branches of central government and any officer (from the head of state

down) of such a public office

Agency: A generic title for any public sector institution forming part of the

executive, judiciary or legislature, national or local that creates records

and has its own record-keeping system. In legislation the equivalent term

may be public office.

comparable institution and officers within regional and local government

institutions and officials in the parastatal sector (where appropriate)

All public records within the meaning of previous archival legislation already in

the custody of the national archival institution.

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Provision should be made for the future by giving power to add any other body or individual

by regulation under the legislation.

Parastatal Bodies

Parastatal bodies come in a wide variety of forms but generally they are of two types:

nationalized industries, such as the electricity supply industry

Public corporations, such as the state broadcasting corporation or the national

airline.

The identification of parastatal bodies may present particular problems in a mixed economy,

especially when they are partly or completely privatised. As a general rule so long as fifty-

one per cent of the stock of such a body is owned by the government, its records should be

public records. Hence it follows that where government ownership of a parastatal body falls

below fifty-one per cent, all its records up to that time should be and should remain public

records, but any created thereafter will be private records. It may be necessary to write

such a specific provision into the legislation.

Other Terms

‘Retention and disposal schedule’ and ‘records centre’ are other technical terms that should

be defined.

It is also useful to explain in the definitions the way in which periods of time (such as the

‘thirty-year rule’) specified in the legislation are to be calculated.

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3.2The impact of cultural, historical and societal events is explained in terms of the

creation and permanent preservation of records. (SO 3, AC 2)

In many countries, the existing national archival institution is regarded primarily as a cultural

institution and is responsible to the minister of culture or his or her equivalent. However,

the centrality and significance of records work to sound administration throughout

government and the security implications of that work in many sectors make it imperative

that ultimate responsibility should rest with a more appropriate sponsor.

Hence, it is appropriate for cross-governmental responsibility for public records throughout

their life to be assigned specifically to whoever plays the central governing role within the

country, such as the president or prime minister. However, this may be an unachievable

goal in some countries and another senior minister with a strong cross-governmental role

may have to be accepted. In some legislation the designation of the responsible minister is

left to the head of state or head of government.

‘Minister’ means the Minister of Home Affairs or any other Minister to whom the

President may from time to time assign the administration of this Act.

National Archives of Zimbabwe Act 1985, s. 2.

‘Minister’ means such member of the Queen’s Privy Council for Canada as is

designated by the Governor in Council as the Minister for the purposes of this Act.

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3.3An explanation is given of the development of archival institutions in terms of

their origins. (SO 3, AC 3)

The legislation should set out the respective responsibilities of the heads of public offices

and of the director of the National Records and Archives Institution for the management of

public records and archives at each stage of their life (that is, current records, semi-current

records and archives). This part of the legislation should establish the framework within

which improvements in records work in public offices would be effected and is, therefore,

crucial to the success of the whole records and archives reform initiative.

Of course, it is not anticipated that the heads of public offices will themselves be directly

involved in the day-to-day management of the records of their agencies. However, one

aspect of their overall responsibility for those records should be the appointment of an

agency records manager. This will normally be required of them by a guidance note from

the minister responsible for public records and archives rather than by the primary

legislation itself.

Current Records

Current records: Records regularly used for the

conduct of the current business of an organisation or

individual. Also known as active records. Current

records will normally be maintained in or near their place

of origin or in a registry or records office.

Heads of Public Offices

Primary responsibility for current records and for the establishment and maintenance of

good record-keeping practices should rest with the head of each public office. This would

involve

the creation and management of current records within appropriate filing

systems

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the implementation of general retention and disposal schedules and the drafting

and implementation of retention and disposal schedules relating to records

specific to that public office

The transfer of semi-current records into a records centre (subject to a

mechanism for the formal authorization of deferment of transfer of highly

sensitive records).

The Director

At this stage the director would be responsible for:

overseeing records work within public offices, with powers of inspection, and in

particular providing professional assistance, advice and guidance on the

establishment and management of filing systems

establishing and ensuring compliance with standards for the management of

public records

advising the heads of public offices on the number and gradings of posts in the

records class and making appropriate postings (if not otherwise provided for by

a scheme of service under civil service legislation)

arranging the necessary training of members of the class

drawing up general retention and disposal schedules and agreeing retention and

disposal schedules relating to records specific to each public office

ensuring that the provisions of retention and disposal schedules are

implemented

Authorizing the disposal of public records other than as provided for by retention

and disposal schedules.

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3.4The principles of archival management are defined in accordance with

international standards. (SO 3, AC 4)

Retention and Disposal Schedules

Disposal schedule: The control document recording

appraisal decisions and prescribing disposal action. Also

known as disposal list, disposition schedule, records

schedule, retention schedule, retention and disposal (or

disposition) schedule or transfer schedule.

The mechanism for the drawing up of retention and disposal schedules should involve

agreement with the heads of the public offices concerned and with other senior officers of

the government best qualified to advice on the continuing administrative, financial and legal

value of the records and consultation with the advisory body. Schedules should be issued

in such a way as to confer the maximum authority on them. This will normally be done by

the minister responsible for public records (hence a preference for the president or prime

minister being the responsible person), but procedures should not be so rigid and

bureaucratic that the issue or amendment of schedules is unacceptably delayed.

Semi-current Records

Semi-current records: Records required only

infrequently in the conduct of current business. Also

known as semi-active records. Semi-current records will

normally be maintained in a records centre or other off-

site intermediate storage pending their ultimate disposal.

If a records centre or records centres do not already exist in a country, they should be

established under the legislation and such records centres. Any that may already exist

should be managed by the National Records and Archives Institution created by that same

legislation. Within such a system the primary responsibility for public records should pass

to the director once they have become semi-current and he or she has accepted custody of

those that have been scheduled for further retention within a records centre.

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Records centre: A building or part of a building

designed or adapted for the low-cost storage,

maintenance and communication of semi-current records

pending their ultimate disposal.

The Director

In particular, the director should:

implement retention and disposal schedules in respect of records in the records

centres

appraise and dispose appropriately of semi-current records that are in his or her

custody and are not covered by retention and disposal schedules

arrange the transfer of records of permanent value to the National Archives or

another archival repository or place of deposit not later than a specified period

from their creation, in order to give the National Archives time to arrange and

describe them before the expiry of the period after which the public has the right

of access to public archives (such as twenty years when the public access

period is thirty years)

Return semi-current records temporarily from his or her custody to the public

office that created them for the purposes of current administration, subject to

safeguards to maintain the integrity of such records while out of archival

custody.

Heads of Public Offices

Heads of public offices would continue to be responsible for co-operation with the director in

the management of semi-current records and in particular for:

approving access by third parties to semi-current records in the records centres

maintaining semi-current records whose transfer has been deferred in conditions

comparable to those provided by the director in the records centres

implementing retention and disposal schedules relating to such semi-current

records, disposing of those of no further value and transferring records of

permanent value to the National Archives or to another archival repository not

later than a specified period (such as twenty years) from their creation (subject

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to a formal mechanism for the further deferment of transfer for a specified period

of records of continuing sensitivity).

Archives

Archives: Records, usually but not necessarily non-current records, of

enduring value selected for permanent preservation. Archives will

normally be preserved in an archival repository.

The director should be responsible for safeguarding and providing access to all public

records selected for permanent preservation other than any whose transfer may have been

formally deferred under the provisions of the legislation or that are held in another place of

deposit appointed under it. The director’s duties fall under two main headings: those that

are mandatory and those that are permissive.

Mandatory Duties of the Director

The mandatory duties are to:

take charge of the National Archives and to provide there and in other archival

repositories under his or her control suitable conditions for the preservation of

the archives

arrange and describe those archives so as to facilitate access to them

Arrange for reasonable facilities to be available to the public for inspecting and

obtaining copies of archives in the National Archives and other archival

repositories under his or her control (insofar as such records are open to public

inspection).

Permissive Duties of the Director

The permissive duties include all such things as appear necessary or expedient for

maintaining the utility of the National Archives and other archival repositories under his or

her control. Such duties may include

the issue of rules to be observed by those wishing to consult archives in the

National Archives and other archival repositories under his or her control

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the exhibition of archives and their loan for exhibition elsewhere subject to

conditions that he or she may specify (except that loans outside the country

should require the consent of the minister responsible for public records)

the preparation and sale of publications

the disposal of archives in the National Archives or any other archival repository

under his or her control that are not of permanent value (subject to the

agreement of the head of the public office in which they were created and of the

minister

The acceptance of non-public records and archives for safekeeping and the

acquisition of non-public records and archives by purchase, gift, bequest or

deposit.

The director should also be permitted to enter into arrangements with other institutions

(such as National Museum or National Library) for the joint management of conservation

and restoration, reprographic or other technical facilities.

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Role play

Activity: 07

Instructions Which term archives is given in terms of international

standards and definitions? (SO 3, AC 1)



Answers:

CCFO

DEMONSTRATING

Marks 10

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Project

Group Activity: 08

Instructions Explain the impact of cultural, historical and societal

events. (SO 3, AC 2)

CCFO

COMMUNICATING


Answers:


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Research PROJECT

Activity: 09

Instructions Explain the development of archival institutions in terms

of their origins. (SO 3, AC 3)

CCFO Collecting



Answers

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Simulation

ACTIVITY 03

Instructions Which principles of archival management? (SO 3, AC 4)

CCFO

ORGANISING



Mark 10

Answer:

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Essay





Explain and define the key concepts of archival management

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References

Prescribed Booklist

Learning unit Supplier

259477 Demonstrate

knowledge of concepts,

terminology and ethics

applicable to archives and

records management

Yellow Media Publishers

Senior learning material Developer:

Ms DuduzileZwane

www.yellowmedia.co.za

[email protected]

http://www.yellowmedia.co.za/

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SECTION C: SELF REFLECTION

I enjoyed/did not enjoy this module because:

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I enjoyed/did not enjoy this module because:

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I found group work ___________________________________!!!

The most interesting thing I learnt was:

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I feel I have gained the necessary skills and knowledge to:

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Please add the following to this module:

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Some comments from my classmates about my participation in class:

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Self-Assessment

Self-Assessment:

You have come to the end of this module – please take the time to review what you have learnt to date, and conduct a self-assessment against the learning outcomes of this module by following the instructions below:

Rate your understanding of each of the outcomes listed below: Keys: - no understanding - Some idea - Completely comfortable

NO OUTCOME

SELF RATING

1. Demonstrate an understanding of the code of ethics for archives and records management.

2. Explain and define the concepts of records management.

3. Explain and define the key concepts of archival management.

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Learner Evaluation Form

Learning Programme Name

Facilitator Name

Learner name (Optional)

Dates of Facilitation

Employer / Work site

Date of Evaluation

Learner Tip:

Please complete the Evaluation Form as thoroughly as you are able to, in order for us to continuously improve our training quality! The purpose of the Evaluation Form is to evaluate the following:

logistics and support

facilitation

training material

assessment Your honest and detailed input is therefore of great value to us, and we appreciate your assistance in completing this evaluation form!

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A Logistics and Support Evaluation

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B Facilitator Evaluation 1 The Facilitator was prepared and knowledgeable on the

subject of the programme

2 The Facilitator encouraged learner participation and input

3 The Facilitator made use of a variety of methods, exercises, activities and discussions

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5 The Facilitator was understandable, approachable and respectful of the learners

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1 2 3 4 5

C Learning Programme Evaluation 1 The learning outcomes of the programme are

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2 The content of the programme was relevant and suitable for the target group.

3 The length of the facilitation was suitable for the programme.

4 The learning material assisted in learning new knowledge and skills to apply in a practical manner.

5 The Learning Material was free from spelling and grammar errors

6 Handouts and Exercises are clear, concise and relevant to the outcomes and content.

7 Learning material is generally of a high standard, and user friendly

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1 A clear overview provided of the assessment requirements of the programme was provided

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Additional Comments on Assessment

Documents

64069 · Module 06- Administer routine Records and Archives support services LEARNER GUIDE 64069 t. 259477 US: 259477 Page | 2 Learner guide Date of review: June 2015 able of SECTION