Record management

Previously, the definition of “record management” was used to mean the management of records that are already out of everyday use, but whose shelf life has not yet expired - “semi-relevant”, “inactive”, often stored in the basement or outside the enterprise. A more modern use of this concept includes the entire life cycle of the recording - from the point of creation to the final destruction.

ISO 15489: 2001 defines record management as “the area of ​​management responsible for the effective and systematic control of the creation, receipt, storage, use and destruction of records, including the process of collecting and maintaining data on the activities and transactions of an enterprise in the form of records ”.

ISO defines a record as " information created, received and stored as evidence or information by an organization or person in accordance with legal obligations or doing business ."

The International Council on Archives (ICA) defines a record as “ recorded information prepared or obtained in the process of starting, conducting and completing a corporate or individual activity, including the content, context and structure sufficient to provide evidence of activity ”. The key word in definitions is evidence. Simply put, a record can be defined as “evidence of an event”.

Record management practices may include:

• Planning the need for information support for the organization;
• Definition of information necessary for collecting;
• Creating, approving and enforcing policies and practices regarding materials, including their storage and destruction;
• Development of a record storage plan, including short-term and long-term placement of physical records and digital information;
• Identification, classification and storage of records;
• Distribution of access to records inside and outside the organization, requirements of confidentiality , data confidentiality and general access;
• The selection of records not required for operational purposes for their subsequent destruction. In accordance with the organizational policy, regulations and other requirements of the organization, this may be either their physical destruction or placement for permanent storage in the archive.

According to the basic rules of records management, automated systems are an auxiliary tool in the collection, classification and continuous management of records throughout their life cycle. Such a system can be paper (for example, catalog cards used in the library ) or computer ( electronic record management application ).

According to ISO 15489: 2001, record management includes:

• setting policies and standards ;
• distribution of duties and powers;
• development and implementation of procedures and guidelines;
• providing a wide range of functions related to managing records and their use;
• development, implementation and management of specialized systems for managing records;
• integration of record management in business systems and processes.

The management of physical records includes various regulatory measures and can be based on a variety of forms of expertise . Records must be identified and authenticated. As a rule, this is a matter of organizing and searching for information; in some cases, more gentle handling is necessary.

Document Identification

An item presented as a legal entry requires authentication. You may need to study the document (or other material evidence) by forensic experts for authenticity and documenting any damage, changes or omissions in the content. In extreme cases, the elements can be examined through a microscope , X-ray , radiocarbon dating and chemical analysis . This level of verification is quite rare, but implies special care in creating and storing records of the organization.

Record Storage

Records must be stored in such a way that they, on the one hand, have access, and on the other, they must be protected from possible external influences. A typical paper document can be stored in a clerical closet in an office, however, some organizations use special facilities with micro-climate control (including temperature and humidity ). Critical recordings should be stored in earthquake-resistant safe safes or cameras to protect against fires , floods , earthquakes and other collisions. In extreme cases, it is necessary that the record is simultaneously isolated from external influences and publicly accessible (an example is the signed original of the US Constitution ). Civil engineers may need to be consulted to determine if the room can effectively hold paper shelves and cabinets. Historically, some military vessels were designed taking into account the weight of their technological regulations on paper as part of the equalizing ballast (modern record storage systems transferred this information to electronic storage). In addition to storing records in the organization’s premises, many organizations store their records outside the office, entering into contracts with commercial companies engaged in off-site storage .

Document Circulation

The path of a document seized from its usual storage location is called circulation. Often, it is fixed by a simple written procedure. However, most modern hardware systems use computer systems, including barcode scanners , radio tag technologies, to track the movement of a document. They can also be used for periodic audits to detect unauthorized movement of records.

Write-offs

Writing off records does not always mean destruction, they can be transferred to the archive, museum or private person . Write-offs must be in accordance with law , statutes, regulations, or operational procedures; Precautions must be taken to prevent inadvertent disclosure of information. The process should be well documented, starting with a protocol for the storage of documentation, policies and procedures, approved at a high level. A list of destroyed records, including a certificate of destruction, should be maintained. Organizations never get rid of records by throwing them away like trash: most use a shredder to shred paper into small strips or pieces, or burn what is needed.

The products on the market are designed to manage records up to the processes of entry into force, expiration, storage, scheduling and retention of records. In some cases, RFID technology is also used to track the physical file.

The general principles of record management apply regardless of the format of the records. Digital recordings (in most cases called electronic recordings) give rise to specific controversial issues: recordings without physical presence are more difficult to maintain and protect content, context and structure.

The functional requirements for computer systems for managing electronic records were prepared by the US Department of Defense ^[1] , the National Archives of England and Wells ^[2] and the European Commission , whose standard is MoReq (Model Requirements for the Management of Electronic Records - Typical requirements for electronic records management) ^[3] was translated as a minimum into 12 languages ​​(including Russian) and is used both in Europe and abroad. The standard was developed at the initiative of the DLM forum , funded by the European Commission. ^[4] .

The main problems are related to the ability to access and read electronic records over time: the rapid development of technology may make the software used to create records obsolete, and the recordings themselves inaccessible to the reader. Under the auspices of preserving the digital heritage, a lot of research is being done to solve this problem. The Public Record Office Victoria (PROV) , located in Melbourne , Australia , has published its Victorian Electronic Records Strategy (VERS) methodology , which includes a standard for the protection, long-term storage and access to existing electronic records. VERS has been accepted by all Victorian state departments. PROV has created an electronic archive to provide the general public with constant access to records.

Since 2005, record management has been of great interest among corporations because of the need to comply with new rules and regulations. While government, legal, and medical structures kept records according to strict, historically established rules, general reporting of corporate records was implemented, being not standardized enough. In addition, the scandal between Enron and the Arthur Andersen audit company and all recent scandals related to record management have renewed interest in corporate record keeping, retention requirements, litigation preparation , and related matters. In the United States, the Sarbanes-Oxley Act brought additional compliance issues to employees who needed to meet the requirements - the result was a more standardized process for storing records within a single organization. Almost all the 90s had discussions between clerks and IT managers - the main focus was on expanding the legal aspects, and now it is focused on compliance with laws and risks .

Ensuring the secrecy and protection of records, as well as preventing the theft of personal data, have become important tasks for clerks. The task of the latter in promoting the protection of records has grown, drawing attention to the problems that exist. The importance of the storage and destruction of records is emphasized by the need to take measures to prevent certain information about individuals from being stored.

The most significant issue was the necessary changes in the individual and corporate culture , benefiting both internal and external stakeholders. Record management is often considered an unnecessary or low priority task, solved at the lowest level of the organization. The events that received publicity showed that in fact the management of records is in the competence of all persons within the corporation and corporate entities.

The issue, which was considered highly controversial among clerks, concerned the uncritical adoption of electronic document and record management systems (EDRMS). According to the famous thinker of office work:

As for the average users, for them EDRMS is something that they do not want, do not like and cannot use. Essentially, there is nothing surprising in the fact that so few users accept these systems - one employee once told me: “getting me to use EDRMS is the same as getting the plasterer to work with a hammer.”

And now, finally, it's time to turn our eyes to the record management profession as such. In my opinion, we are on the verge of allowing our blind obsession with EDRMS to turn us into an intellectually sterile, vendor-led profession. For most of the last decade, we have allowed others to think for us and have begun to rely on EDRMS as our “intellectual crutch”. But do not make mistakes about this, the blame for this is solely on us. Like the children following Pied Piper from a fairy tale, we allowed ourselves to be enchanted by the melody played by those whom we followed, without questions or discussions, wherever technology would lead us.

Original text

As far as the average user is concerned, the EDRMS is something they didn't want, don't like and can't use. As such, its no wonder that so few users accept them - as one person once said to me “making me use an EDRMS is like asking a plasterer to use a hammer”! And now, finally, it is time to turn our eyes to the records management profession itself. In my opinion, we have come within a whisker of allowing our blind obsession with EDRMS to turn us into an intellectually-sterile, vendor-led profession. For the best part of a decade we have allowed others to do the thinking for us and have come to rely on EDRMS as our intellectual-crutch. But make no mistake about it, the blame for this rests squarely with us. Like children following the Pied Piper, we allowed ourselves to be so enchanted by the tune being played that we were led, without question or debate, wherever the technology took us.

- Steve Bailey, RMS Debate: The Case Against EDRMS. ^[5] .

Another issue of great interest to clerks is the impact of social media such as Wiki , Facebook , Twitter on traditional practices, requirements and principles of recording management.

Foreign experience

Many colleges and universities offer degree programs in library or information sciences, covering record management. In addition, there are professional organizations such as the Records Management Association of Australasia (RMAA), the Institute of Certified Records Management, which conducts separate, non-certified, professional certifications for practitioners and certified Certified Records Manager ( CRM). Additional educational opportunities in the form of a certification program also provide:

• International Records and Images Management Association (AIIM International);
• Association of Records Managers and Administrators (ARMA);
• Clerical Society of Great Britain and Ireland.

Collaborative Electronic Notebook Systems Association (CENSA) provides training and practical courses and seminars on managing the full life cycle of scientific and technical records, as well as the Standard Electronic Records Practices (Q-ERPS). The University of South Australia offers certificates, diplomas and master's degrees in Business Information Management and Library and Information Management specialist in record flow management.

A recent addition to U.S. records management education is MARA ^[6] , a postgraduate degree in archives and records management offered by the Department of Library and Information Science at San Jose State University School of Library and Information Science). Another option for teaching the specialty of records and archives management is offered by the University of Michigan Department of Computer Science as part of its MSI degree (Masters of Science in Information). Wayne State University in Detroit conducts online certification in the field of Records and Information Management. ^[7]

Russian experience

The Electronic Document and Records Management System (EDRM)) is a software (or suite of programs) used to track and store documents. The term differs from “image processing systems” or “ workflow systems ” that specialize in image capture or document management, respectively. Record Management Systems (ERMs) typically provide specialized functionality for securing and controlling documents, tailored to the needs of clerks.

Foreign practice

The US National Archives and Records Administration (NARA) has approved the US Department of Defense standard 5015.2 as “an adequate and appropriate basis for solving the basic problems of records management in an automated environment that increasingly describes their creation and use .” ^[eight]

Suppliers of record management systems can be certified for compliance with the US Department of Defense standard 5015.2, after passing the Joint Interoperability Test Command (JITC), where test cases are developed (test cases) , detailed summarizing reports for compliance with 5015.2 are written and online research of the software product is carried out.

The UK National Archives has published two sets of functional requirements to help develop the market for electronic records management software (1999 and 2002). He also launched a product evaluation program for 2002 requirements. Although they were originally formulated with the participation of the central government, they were enthusiastically received by a wider range of public services in the UK and other countries. Currently, test programs are closed and the National Archive no longer accepts applications for their implementation. However, the requirements of the National Archives of 2002 remain relevant.

The European Commission published MoReq (see above) in 2001. ^[9] Not being formally a standard, MoReq is nevertheless assigned to this type of regulatory document. ^[10] It was funded by the IDA initiative and developed with the filing of a DLM forum. The main MoReq update, known as MoReq 2, was published in February 2008. ^[11] MoReq 2 was also initiated by the DLM forum and funded by the European Commission (in this case, the IDABC program, the successor to IDA). ^[12] MoReq is accompanied by a software testing environment and XML schema ; At the DLM forum conference in Toulouse in December 2008, compliance with the software testing system was established.

The National Archives of Australia published Functional Requirements for ERMS Systems ^[13] and its associated guidelines for using the functional requirements for ERMS as a preliminary draft in 2006 ^[14] .

The New Zealand Archive published “Independent Best Practices” - a standard for electronic record keeping systems (Standard 5) in June 2005 ^[15] , issued under Article 27 of the 2005 Public Act. ^[sixteen]

Russian practice

Commercial centers providing these services specialize in storing paper and electronic documents of the organization. They provide high density and secure storage of paper documents and can provide climate control for informal storage media that require special storage. The industry organization for them is PRISM International, an international non-profit association uniting business owners and leading experts in the field of records and information flow management.

• Electronic archive
• Document management system, electronic document management system (EDMS, EDMS)
• Enterprise Content Management (ECM)
• Document Management System, DMS
• Document Imaging
• E-library
• Archive
• Off-site storage of documents

• Official site of the DLM forum
• The official website of the MoReq standard