Records and Archives Management

Etiquette of administrative communication, especially, file minuting is one of the essential qualities of Colleges of Education administration that promotes acceptable rules of communication through file. It regulates unethical file minuting. Intentional wrongful file minuting is synonymous with administrative fraud just like financial fraud in financial parlance. People least expect that fraud cuts across various disciplines other than finance. Administration is the life wire of any organization as it houses both human and material resources. Administrative communication is also a specialized communication where administrative fraud can be committed. This research intends to look at etiquette of administrative communication to eliminate fraud using Deontology Theory and Deductive Thematic Analysis of Secondary expository research method. The review revealed that administrative fraud mostly take place within the clerical, executive and even officers levels where tampering with the pagination and minuting of offline files can completely distort records of information in the file. This paper recommends that Registrars who are the administrative heads of tertiary institutions and responsible for record keeping should be more vigilant with submissions in the offline files to curb administrative fraud menace through intentional tampering with pagination or defacing original write-ups through minuting for personal gain.

As organizations in Sri Lanka and beyond transition toward digital ecosystems, document and information management has become a crucial pillar for operational success especially in banking and finance, HR, and service-based sectors. This article explores how Artificial Intelligence (AI) and automation are transforming traditional Document Management Systems (DMS) by improving indexing, retrieval, compliance, and overall document workflows. Drawing from firsthand experience, the article presents practical insights into how businesses can adopt smarter systems that are faster, more accurate, and better suited for today's information-heavy environments.

Records are byproducts of business transactions and provide evidence of actions and decisions. They are key for enabling accountability and transparency which are key principles of good governance. Without records organization face a challenge of accounting for their actions and establishing transparent dealings. They are therefore critical for good governance. To a dismay, Records Management (RM) has not received the attention it deserves by majority of organizations both public and private which has hindered good governance efforts. This study therefore aimed at investigating the contribution of RM to good governance at Ministry of Finance, Planning and Economic Development (MoFPED) to reveal how RM is critical for good governance in the Ugandan public sector. The study was guided by four research objectives namely; To identify the records generated at MoFPED and their formats, To establish the contribution of RM in the governance of MoFPED, To identify the challenges hindering effective RM in MoFPED and their impact on good governance, To develop strategies for enhancing RM practices in MoFPED to support good governance and improve public sector performance.
Mixed research methods were utilized by using both quantitative and qualitative methods to collect data from 43 participants. A questionnaire was used to collect data from 33 participants who were randomly selected, and also 10 participants selected purposively took part in qualitative interviews. Quantitative data were analyzed using Statistical Package for Social Sciences (SPSS) and the results were summarized in tables and charts giving the frequencies and percentages. Qualitative data was transcribed, coded in excel and analyzed thematically.
The study found that the MoFPED heavily relies on a manual records management (RM) system, with paper records being the dominant type of records generated and managed by the ministry. This manual system is not sustainable and poses a number of challenges including delays in records retrieval, mishandling of records by some staff. Therefore, by addressing the identified challenges and leveraging the opportunities presented by modern technology, the ministry can transition towards an advanced and resilient RM system that not only safeguards historical data but also empowers decision-makers, enhances transparency, and bolsters accountability, thereby contributing substantively to the overall efficiency and effectiveness of the ministry's operations.
MoFPED and the government of Uganda at large should put RM at the forefront by including RM in the government MDAs strategic plans. They should invest in RM of all ministries, construct and purchase modern storage space and equipment for RM respectively, recruit skilled staff and carryout continuous trainings in RM to all staff of the ministry so that good RM practices are exercised to preserve the organization information assets inform of records.

An alternative historical vision, proposed in counterpoint to the domain of history protected by an orthodox virility and a Eurocentric vision, deepens the importance of archives related to race and gender issues to the detriment of class Social. Gayatri Spivak, for the need to understand the post-colonial situation, contributed to the construction of the notion of archive, causing the fall of social codes rooted in political economy and not cultural. In a recent publication, Hal Foster reinforces this idea of ​​post-globalization of the notion archive, which has always been present in artistic projects, but which In recent years it has come to constitute itself as an artistic process and device. Post-conceptual painting, as long as it uses pre-existing images, no longer just coming from the written press, television, video, it is part of the diaspora of the digital world. So: - What meaning is expected in the process of post-conceptual painting?

Audio-visual records and archives constitute a fundamental heritage that satisfies multiple needs, including education, training, research and entertainment. As such, there is a need to appropriately preserve and conserve them so they can be accessed for as long as they are needed. In spite of their significant role in safeguarding cultural heritage, audio-visual records and archives, are often neglected and accorded less attention than paper-based records, especially in developing countries. Hence, there is a risk of losing information held in audio-visual form. That is why this study looked at how the National Archives of Zambia (NAZ) and the Zambia National Broadcasting Corporation (ZNBC) preserve audio-visual materials to ensure long-term accessibility of the information. The study investigated the types of audio-visual collections held, the storage equipment used, measures put in place to ensure long-term accessibility of audio-visual materials, the disaster preparedness plans ...

This paper is extracted from a master's dissertation titled, "An evaluation of customer satisfaction at Botswana Examinations Council Records Management Unit." The purpose of this study was to investigate customer satisfaction at Botswana Examinations Council Records Management Unit (BEC RMU) using the SERVQUAL conceptual model. The study convergent mixed methods research approach with survey, interview, participant observation and document review as data collection tools. The findings of this study revealed that: the BEC RMU has adequate facilities, equipment and human resources that enable it to serve customers; there is no disaster management plan in the RMU; the RMU rarely conducts user needs assessment surveys and its officers use face-to-face communication, telephone, and emails to communicate with customers. The study recommends training for RMU officers in good customer service, management support, introduction of ERMS, workshops to sensitise RMU officers on customer service standards or any other related document, development of a disaster management plan, customer service programme and user needs assessment. The study further recommends orientation and induction of action officers.

Good records management boosts efficient and effective public service delivery in that it minimizes litigation risks, promotes accountability and transparency, ensures compliance with regulatory requirements and supports informed decision-making. The current study sought to find out what initiatives have been implemented by land boards in Botswana, as a way of improving their records management programmes to enhance effective service delivery. An interpretive paradigm was adopted through a case study research design. This study adopted purposive sampling and collected data from 53 employees at the Tlokweng Land Board (TLB). Data were collected through interviews, observation, document review and an open-ended questionnaire. The study findings revealed that the TLB has implemented various initiatives as a way of improving the recordkeeping processes. As a result, the land board has improved its service delivery as there is adherence to policies, reduction of errors, online services, ...

This article is based on an MLIS case study undertaken at the University of the Western Cape. The article is meant to add knowledge and insight into university records management and presents a records management model for an intelligent university. The study used the functionalist theory to frame this exploratory qualitative study to investigate whether records management contributes to making the University of the Western Cape intelligent. The findings of the study showed that records management as a function was not used optimally by the university and therefore did not contribute to making the University of the Western Cape intelligent. A records management model for an intelligent university was recommended.
Key words: intelligent university, records, records management, University of the Western Cape

This article is based on an MLIS case study undertaken at the University of the Western Cape. The article is meant to add knowledge and insight into university records management and presents a records management model for an intelligent university. The study used the functionalist theory to frame this exploratory qualitative study to investigate whether records management contributes to making the University of the Western Cape intelligent. The findings of the study showed that records management as a function was not used optimally by the university and therefore did not contribute to making the University of the Western Cape intelligent. A records management model for an intelligent university was recommended.

This article discusses pathways to successful partnership working between a significant private archive of a major Scottish landed estate and family, its local community, the wider academic context, and public and charitable agencies. The archives of the Argyll estates and family are housed at their seat, Inveraray Castle, and represent one of the most important private collections in Scotland, encompassing political, social, cultural and economic content over a large geographical area and a long chronology. As such it has obvious academic attractions, which this article explores, but it is also a vital local resource for communities who used to or currently reside on the Argyll estates, as well as genealogists, and family historians. This article uses the Argyll Papers as a case study to explore the ways in which estate archives can animate and illuminate community and heritage priorities in remote and rural areas of great socioeconomic fragility.

The onset of the Covid-19 pandemic and the resultant intervention measures disrupted and affected the normal operations of business and access to records and archives as information sources. The study sought to explore the impact of Covid-19 on the access to records and archives in the public sector during the pandemic, bearing in mind the disruptive and catalytic effects of the pandemic. Using a qualitative methodology, data were gathered through document studies, and interviews were conducted with records managers from 18 purposively selected organisations. The findings showed that organisations had not moved much towards e-records but depended heavily on paper records. The lockdown period witnessed misdirection and loss of records. Staff taking turns to report for duty also impacted negatively on records. This posed serious threats to proper records and archives management, making room for occurrences such as destruction or alterations by unscrupulous individuals. The study concl...

In 2017 abandoned on the dusty attic for at least twenty years the valuable fungi collection was discovered. After the investigation, it turned out that counting 2159 specimens collection is forgotten and long wanted life work of professor Andrzej Nespiak, a significant polish mycologist (1921-1981). The decision was easy: the collection must be restored, digitalised and secured for the future. These processes met many difficulties on all possible levels. The project consisted of three main stages: cataloging, conservation, and digitisation. Cataloging stage showed how valuable the collection is. Almost every specimen has very detailed information about location and habitat like hosting plant name (even specific names for bark or dead branches for fungi growing on wood), soil type for terrestrial ones, phytocoenosis, etc. Almost every specimen has a microscopic drawing of spores with dimensions attached. Collection dates mostly mention only month and year of collection. The big problem cataloging was chaotic naming. No name contains the names of authors. Different grammatic forms of specific epithets of the same species are used. There are a lot of species names and lower taxa names which do not exist in Index Fungorum. The main challenge was to set one standard of conduct. ‡

This article is based on an MLIS case study undertaken at the University of the Western Cape. The article is meant to add knowledge and insight into university records management and presents a records management model for an intelligent university. The study used the functionalist theory to frame this exploratory qualitative study to investigate whether records management contributes to making the University of the Western Cape intelligent. The findings of the study showed that records management as a function was not used optimally by the university and therefore did not contribute to making the University of the Western Cape intelligent. A records management model for an intelligent university was recommended.

Governments all over the world require comprehensive archival legislation to ensure that records and archives are managed accordingly for effective running of the current operations of organisation, as well as for posterity. This article argues that comprehensive legislation in the records management and archives administration act as a guiding principle to custodians and users of records and archives. Furthermore, the article discusses archives legislation in Zambia and its role in the control and preservation of records of enduring value. The article points out that the National Archives Act does not mandate the National Archives of Zambia to manage current records and this hinders its operations. The article concludes by making recommendations on the need for the National Archives of Zambia to extend its mandate to the management of records in public intuitions, the need to manage electronic records and ensure that the Freedom of Information is developed and implemented.

Author(s): Carbone, Kathy Michelle | Advisor(s): Gilliland, Anne J | Abstract: This dissertation is an ethnography of the inaugural artist-in-residence program (2013-2015) at the Portland Archives a Records Center (PARC) in Portland, Oregon. Despite over the past two decades of abundant artistic engagement with archives, a concurrent increase in artist-in-residence projects within institutional archives, and a rich humanities-centered discourse about artists’ archival endeavors, significant attention has yet to be given by the field of archival and recordkeeping studies to the ways in which artists respond to records; to the kinds of conceptual, aesthetic, and physical work artists do with records; and, to the kinds of social and cultural relations into which archives enter through art practice, production, circulation, and reception. Moreover, the field lacks information about how people respond to records, what records can inspire people to do, what kinds of things can be done wit...

Reporting on components of an exploratory study (2013–14) of the inaugural artist-in-residence program at the City of Portland Archives & Records Center in Oregon, this article provides a view of the experiences and actions of the archivists, the artists, and the public arts manager participating in the residency. It pays particular attention to how the artists conceptualize, use, and respond to archival records, how and where the records circulate as works of art and poetry, and how connections are formed around the use and reuse of records. The study suggests that examining the records used in such a residency from the standpoints of their forms, uses, and paths through space and time is a productive way to reflect on the human transactions, experiences, and relationships that can occur between records, art, poetry, and the archive. RESUME En faisant le point sur des parties constituantes d’une etude exploratoire (2013-2014) sur le programme inaugural d’artiste en residence au Cit...

Over the past several decades the archival turn in contemporary art practice has produced a panoply of visual, performance and literary art works that activate the archives. Artists working within this turn often employ critical-aesthetic strategies to records in order to reconsider historical narratives, expose missing or silenced voices, interrogate modes of representation, or investigate relations between official and personal memory through art-making processes and works. Other artists combine these strategies with socially and communityengaged practices, as did poet Kaia Sand and interdisciplinary artist Garrick Imatani, who were artists-in-residence at the City of Portland Archives and Records Center in Portland, Oregon from 2013 to 2015. This paper explores how Sand and Imatani affectively engaged history and memory with a collection of police surveillance records, transforming records of control into works of art that commemorate the lives and work of activists. Employing interdisciplinary thinking about the nature, use and movement of records through time, space and circumstances, this paper argues that records are affectively charged objects able to evoke sensations and feelings, orient thought, and stimulate ideas about ways in which they can be used, which in turn generate new connections, relations and possibilities between the past, present and future. These days I linger in archives, those repositories of documents organized according to idiosyncrasies of lives lived alongside paper … Piles of documents, akin to a kind of enduring shadow-life. The documents are relational, but I also consider a document in its flickering autonomy, a small system of language, a form … A document seems like a poem in its becoming. 1 [A]rt does not have a monopoly on creation, but it takes its capacity to invent mutant coordinates to extremes: it engenders unprecedented, unforeseen and unthinkable qualities of being. 2 We are moved by things. And in being moved, we make things. 3 Artists have been and continue to be moved by archival things. Artistic engagement with archives is not new, and indeed, over the past 20 years the 'archival turn' in contemporary art practice 4-a turning towards the archives as a site (institution, source, practice, concept or subject) of enquiry and intervention, the increased use of records in art-making processes, and, the movement of records into and through art production, display, circulation, consumption and exchange-has given rise to a rich body of art practices, works and experiences

This article is based on an MLIS case study undertaken at the University of the Western Cape. The article is meant to add knowledge and insight into university records management and presents a records management model for an intelligent university. The study used the functionalist theory to frame this exploratory qualitative study to investigate whether records management contributes to making the University of the Western Cape intelligent. The findings of the study showed that records management as a function was not used optimally by the university and therefore did not contribute to making the University of the Western Cape intelligent. A records management model for an intelligent university was recommended.

This article discusses pathways to successful partnership working between a significant private archive of a major Scottish landed estate and family, its local community, the wider academic context, and public and charitable agencies. The archives of the Argyll estates and family are housed at their seat, Inveraray Castle, and represent one of the most important private collections in Scotland, encompassing political, social, cultural and economic content over a large geographical area and a long chronology. As such it has obvious academic attractions, which this article explores, but it is also a vital local resource for communities who used to or currently reside on the Argyll estates, as well as genealogists, and family historians. This article uses the Argyll Papers as a case study to explore the ways in which estate archives can animate and illuminate community and heritage priorities in remote and rural areas of great socioeconomic fragility.

In post-colonial societies especially there "has been a growing recognition that western archival science and practice reflect and reinforce a privileging of settler/invader/colonist voices and narratives over Indigenous ones, of written over oral records" and that the archival profession has failed to "understand the priorities of Indigenous communities and embrace Indigenous frameworks of knowledge, memory and evidence." In order to address the dilemma of locating marginalized voices in archival collections, scholars have recognized that in order to address the paucity of records on the previously disadvantaged communities, the parameters of what ordinarily would be considered the "historical archive" have to be enlarged. Over the past decades a number of embroidery projects have been established in previously disadvantaged communities in South Africa, focusing specifically on black South African women. Proponents of these projects claim that the construction of story cloths involves the active participation of a community in documenting and making accessible the history of their particular group and/or locality on their own terms, and more importantly, in providing them with previously denied participation in the archival process. This article will look at the Mogalakwena Craft Art Development Foundation embroidered story cloth project as an example of such an archive that could contribute in the writing of a more inclusive history, add another perspective to the history of South Africa and possibly democratise the historical record.

The importance of institutional archives cannot be denied especially where institutions of higher learning are concerned. Universities generate a lot of records, which are at the heart of their administrative and academic activities. Due to the importance of records in institutions of higher learning, universities all over the world have established institutional archives to manage a plethora of recorded information which document the daily activities and transactions, the culture, history and fabric of the university. The National University of Science and Technology in Zimbabwe currently has no dedicated documents, records and archives management and staff dedicated to managing records fundamental to the survival of the university. Universities that have established documents, records and archives management programmes surely are benefiting from such establishments and NUST can learn from such universities. This literature paper makes a case for the need for establishing a Univers...

Universities all over the world generate a lot of records whether paper-based or in electronic format in the course of their daily engagement. Records are created and maintained for legal, fiscal or administrative reasons. In most universities, records need to be captured, managed and safeguarded in an organized and efficient way in order to retain their value for as long as possible. The archive serves as the institutional memory of any university and plays an integral role in the management of the institution's information resources in all media and formats. The paper discusses the importance and the justification of the establishing a records management and archival program in National Open University of Nigeria. The objectives; functions and services of a university archive and the different types of materials that constitute archives in a university were discussed.

The article deals with the concept of cost analysis in the context of managing records throughout their life cycle. Ways of cost saving or avoidance in managing records are covered. Document management strategies have the potential to provide some substantial cost – saving benefits if they are used judiciously. The document management strategiesc overed by the article include paper, micrographics and electronic formats. Audio-visual records are not given any special treatment because they are part of these formats. The article demonstrates through the literature review that cost analysis is an essential part of planning records management programmes and making informed decisions about costs and benefits that may accrue to an organisation that desires to have a competitive edge. The argument is that cost benefit analysis may be employed as a powerful tool for determiningand assigning costs and benefits, identifying all alternatives and specifying the critical characteristics demanded...

Governments all over the world require comprehensive archival legislation to ensure that records and archives are managed accordingly for effective running of the current operations of organisation, as well as for posterity. This article argues that comprehensive legislation in the records management and archives administration act as a guiding principle to custodians and users of records and archives. Furthermore, the article discusses archives legislation in Zambia and its role in the control and preservation of records of enduring value. The article points out that the National Archives Act does not mandate the National Archives of Zambia to manage current records and this hinders its operations. The article concludes by making recommendations on the need for the National Archives of Zambia to extend its mandate tothe management of records in public intuitions, the need to manage electronic records and ensure that the Freedom of Information is developed and implemented. Keywords:...

This study investigated the challenges and prospects of creating and storing records in the cloud by Zimbabwe Open University in Zimbabwe. Like other universities in Zimbabwe, the university adopted Education 5.0 advocated by the government in 2019. Consequently, the university came up with innovation hubs and industrial parks that became centres for records creation. Keeping all records in the computer without appropriate backups and servers has consequences such as losing vital records. Organisations around the world use cloud computing increasingly to address records storage and disposal. Adoption of cloud computing services carries with it cost implications, and legal and ownership challenges as the virtualised environments are hosted and managed by third parties. The objective of this study was to examine the management, operational, legal and technical issues surrounding the storage of records in the cloud, and the implications for their trustworthiness and authenticity. The s...

The Digital Crisis: Large organizations faced with retaining and preserving huge amounts of digital information for very long periods of time are at the front edge of a troubling crisis. Digital information1
is actually easier to lose than if it were on paper or film. It is one thing to
manage a domain of digital records that an archivist can personally
guard and shepherd. It is quite another to meet the archival challenges of today’s enterprise data center.

This article is based on an MLIS case study undertaken at the University of the Western Cape. The article is meant to add knowledge and insight into university records management and presents a records management model for an intelligent university. The study used the functionalist theory to frame this exploratory qualitative study to investigate whether records management contributes to making the University of the Western Cape intelligent. The findings of the study showed that records management as a function was not used optimally by the university and therefore did not contribute to making the University of the Western Cape intelligent. A records management model for an intelligent university was recommended.

This course will enable students to acquire knowledge and skill on how to make catalogue cards to guide users in quick access to information. Course objectives The aim of this course is to; • Equip learners with skills of cataloguing. • Equip learners with different ways of cataloguing library materials. Learning outcomes

In the information society, records are generated in many forms including paper and electronic forms. In addition, technology is consistently being used to convert paper records into electronic format presenting a change in a way records have to be managed. In the quest to increase efficiency in business processes in organisations, the management of electronic records is critical. However, the ascendancy of digital records poses a number of challenges in their management including those related to storage and preservation, aspects which fosters easy accessibility and retrieval for posterity. Records managers are challenged to possess specialised skills in handling digital records. They are also faced with the challenge of ensuring knowledge gaps do not exist as a result of poor storage and preservation approaches. One of the problems also confronting records managers in the digital age relates to security of information held in an electronic media and the privacy of records. This paper reviews the role of records managers in the era of Information and Communication Technologies (ICTs), with a specific focus on Zambia. It discusses theories and methodologies that have been developed to ensure the reliability, security, accuracy, authenticity and long term accessibility of digital records. In addition, it highlights the impact of new technologies on records management practices and examines the skills records managers should possess to effectively handle the new technologies as well as digital records. It concludes by recommending that records managers in Zambia should consider adopting contemporary records management practices in order to effectively manage organisational records in various forms.

This article examines the role played by records and archives in the attainment of each of the eight (8) MDGs in Zambia.  A number of studies have examined the role of records and archives in development. However, few studies have investigated the link between the MDGs and Records and archives. This paper provides a critical review of studies on the role of records and archives in the attainment of the MDGs. The paper begins by highlighting the eight (8) MDGs. In addition, the paper discusses records and archival information. The paper further discusses the contribution of records and archival information in the attainment of the MDGs. Finally, it discusses why records and archives are under- utilised in many regions and the way forward.

The aim of the study was to investigate the role of records and archives in resolving chiefdom wrangles at the National Archives of Zambia. The study employed qualitative methods. Data was collected through document study and interviews of staff at the institution. The findings are reported and include the kinds of records and archives available on chiefdom boundaries and inheritance, consultation of these records and archives, the extent to which they resolve 2 chiefdom boundary wrangles, security of these records and archives and the challenges faced in accessing these records and archives. The paper concludes by recommending for increased publicity of existing records and archives on chiefdom boundaries. Additionally, there is need for documentation and preservation of information on chiefdom boundaries where there is none to avoid information sink.

The need for organisations to demonstrate good corporate governance remains unquestionable. Effective management of records is a stratagem to realize because it ensures that sound decisions are made based on full, accurate and up-to-date information. Additionally, it ensures that the rationale for decisions are traced, scrutinised and justified as necessary. In spite of the significance of records in organizations, most organisations in Zambia including the pension industry face numerous challenges in as far as records management is concerned. Unless they systematically manage their information recorded in different media, most organisations including the pension industry in Zambia risk punitive damages. The overall aim of this study was to ascertain the records management practices in Zambian pension industry. The study involved both qualitative and quantitative methods. Eighty (80) participants that included senior and middle level managers were drawn from all the four pension institutions in Zambia. To gather primary data, observations to these institutions were conducted. In addition, a semi structured questionnaire was used to gather primary data. The results indicated that 76.3% of the respondents were not aware of any organised records management programme while 80% were not aware of any legislation regulating the management of records. Respondents also noted that records management programmes did not receive adequate support from management though they perceived some benefits of records management such as reduced time and effort spent to retrieve records as well as savings in storage. In terms of challenges, respondents noted that finances allocated to records management programmes were inadequate and that staff did not have adequate training in the area of records management. It was thus recommended that management support the programmes by providing adequate funds as well as train the staff if the pension industry in Zambia was to be efficient and effective in its operations.

The importance of records and archives cannot be overemphasized.  They document essential activities, decisions and evidence of government. Without records and archives, government can neither operate effectively and efficiently nor be accountable to its citizens. Besides, the rights of its citizens including that of the environment, land rights and territorial integrity cannot be protected without records. The future of any nation depends on the past. Past records are used as gateway into the past. Thus governments all over the world require records and archives legislation for compliance and to ensure that records and archives are managed accordingly for posterity and historical purposes. The absence of records and archives legislation to act as a guiding principle to custodians, creators and users of records and archives poses risks that cannot be ignored.

Financial institutions transact locally and internationally. In this regard, there is need to enact comprehensive records and archival legislation to ensure that records emanating from such transactions are managed in an effective manner to protect their integrity. The paper posits that without an effective legislation on financial institutions, issues of transparency and accountability will not be tenable in these institutions. This scenario will not only affect the financial institutions but also the users of these financial institutional. The situations may also lead to financial crimes and other related crimes that thrive on financial transactions. The paper discusses the various legal frameworks for archives and regards management in financial institutions in Zambia and its role in the control and management of. The article was written based on a critical analysis of various anti-crime regulatory frameworks pertaining to banking and finances in Zambia. It was discovered that each regulatory framework had penalties for not managing records in an appropriate manner. The contends that the provisions of the regulatory frameworks in a way encourages appropriate records management and archives administration in financial institutions as they act as a guiding principle to custodians and users of records and archives. The paper concludes that guidelines in financial institutions concerning records and archiving processes, retention periods and all associated legal frameworks though punitive in nature are actually very good as they ensure that financial records in Zambia are managed in an appropriate manner. It was thus recommended that National Archival Institutions' legislation should have punitive measures in place to ensure that institutions under their mandate adhere to their wishes.