Records management is a fundamental discipline within Library and Information Management that ensures the systematic control of records throughout their lifecycle. For professionals in Kenyan libraries, archives, and information centres, effective records management supports access to reliable information, compliance with regulatory requirements such as the Kenya Information and Communications Act, and preservation of institutional memory. This chapter introduces the core concepts of records management with a focus on identifying and creating records that meet organizational needs in libraries and related institutions.

1.1 Introduction to records management

Records management involves the systematic control of records from their creation or receipt through processing, distribution, organization, storage, retrieval, and ultimately to their disposition. For library and information professionals, managing records properly facilitates efficient service delivery, protects sensitive information, and ensures accountability.

1.1.1 Meaning of key terms

Understanding records management requires clarity on several key terms that form the foundation of the discipline.

Record

Records are documents or information created, received, and maintained as evidence and information by an organization or individual in the transaction of business or conduct of affairs. In libraries, records include acquisition files, circulation logs, membership registers, and digital archives that document activities and decisions.

Example: a signed order form sent to a book supplier is a record because it proves that the library committed funds for specific titles on a given date.

Record management

Records management is the discipline that applies systematic control to the creation, receipt, maintenance, use, and disposition of records. It ensures that records are authentic, reliable, and accessible throughout their retention period, supporting transparency and operational efficiency.

Example: a college library registry that numbers every incoming letter, files it under an agreed classification and retrieves it within minutes for the librarian is practising records management.

Document

A document is any recorded information or object that can be treated as a unit, whatever its form or medium, such as a letter, a report, a form, a photograph or an electronic file. Not every document is a record: a document becomes a record only when it is kept as evidence of a transaction or activity. A draft circular still being edited is a document, but once it is approved, issued and filed it becomes a record.

Example: a publisher's catalogue received in the library is a document, while the purchase requisition raised from it is a record.

Circulation of records

Circulation of records is the controlled movement of records from the records store or registry to users within the organization, and their return. Because records can be lost or misfiled while away from their place, each movement is tracked using a file movement register, a borrower's card or an out-card placed in the shelf position. The tracking entry shows who has the record, the date taken and the expected date of return.

Example: when the head of acquisitions requests a supplier contract file, the records clerk enters the file number, the officer's name and the date in the movement register and inserts an out-card in the shelf. The entry is cancelled when the file is returned.

Appraisal

Appraisal is the process of evaluating records to decide their value and therefore how long they should be kept and whether they should be preserved permanently or destroyed. Records are judged on their administrative, legal, financial and historical or research value, as well as on how often they are used. The outcome of appraisal feeds directly into the retention schedule.

Example: a librarian appraising old files may keep the minutes of the library board permanently because of their historical value, but destroy daily visitor tally sheets after a short period because their value has ended.

Survey

A records survey is a systematic collection of facts about the records of an organization: what records exist, their types, volume, location, condition, format, creators, frequency of use and the equipment used to store them. It is normally the first step when a records programme is started or reorganised, because it shows the true state of the records before decisions are made.

Example: in a university library, the records officer visits the circulation desk, acquisitions section, cataloguing room and store, and records on a survey form the number of shelf metres of files, their condition and who uses them.

Records disposal

Records disposal, also called disposition, is the final stage in the records lifecycle involving the destruction, transfer, or permanent preservation of records. Proper disposition prevents unnecessary storage costs and ensures sensitive information is securely handled. Disposal is carried out only after appraisal and according to the approved retention schedule, with proper authority, and the action is documented.

Example: expired membership application forms may be shredded and recorded in a disposal register, while records of lasting value are transferred to the institution's archives.

Records lifecycle

The records lifecycle refers to the stages a record undergoes from creation or receipt, active use, storage, and eventual disposition through destruction or permanent preservation. Library professionals must understand this lifecycle to manage records effectively, balancing access needs and legal compliance.

Records retention

Records retention is the policy and practice that determine how long records are kept before disposition. Retention schedules guide librarians on when to archive, destroy, or transfer records, ensuring compliance with institutional and statutory requirements such as the Public Archives and Documentation Service Act.

Chapter Summary

This chapter provides a comprehensive introduction to records management, defining key terms such as record, document, appraisal, and records disposal to establish a clear understanding of the field. It explores the identification of record content through methods like metadata analysis and content summarization, emphasizing the benefits of accurately identifying records for efficient management. The categorization of records is examined in detail, highlighting different categories from non-essential to vital, the factors influencing categorization decisions, various methods used, and the challenges encountered in this process. The chapter also addresses records documentation by outlining effective methods, the advantages of thorough documentation, the procedures involved, and the difficulties that may arise. Together, these topics form a foundational framework for creating, organizing, and maintaining records that support organizational accountability and operational efficiency.