Records Management
Encyclopedia
Records management, or RM, is the practice of maintaining the records of an organization from the time they are created up to their eventual disposal. This may include classifying, storing, securing, and destruction (or in some cases, archival preservation) of records.
A record can be either a tangible object or digital
information: for example, birth certificate
s, medical x-rays
, office
document
s, database
s, application
data
, and e-mail
. Records management is primarily concerned with the evidence of an organization's activities, and is usually applied according to the value of the records rather than their physical format.
The ISO
15489-1: 2001 standard ("ISO 15489-1:2001") defines records management as "[the] field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including the processes for capturing and maintaining evidence
of and information
about business
activities and transactions in the form of records".
The ISO 15489-1:2001 defines records as "information created, received, and maintained as evidence and information by an organization
or person
, in pursuance of legal obligations or in the transaction of business". The International Council on Archives
(ICA) Committee on Electronic Records defines a record as "a recorded information produced or received in the initiation, conduct or completion of an institutional or individual activity and that comprises content, context and structure sufficient to provide evidence of the activity." While there are many purposes of and benefits to records management, as both these definitions highlight, a key feature of records is their ability to serve as evidence of an event. Proper records management can help preserve this feature of records.
It should be noted that the format and media of records is generally irrelevant for the purposes of records management. The ISO considers management of both physical and electronic records. Also, section DL1.105 of the United States Department of Defense
standard DoD 5015.02-STD (2007) defines Records Management as "[t]he planning, controlling, directing, organizing, training, promoting, and other managerial activities involving the life cycle of information, including creation, maintenance (use, storage, retrieval), and disposal, regardless of media."
Records management is the storage preservation and retrieval of information in the shortest possible time.(MUDD) Records management is very important for the use of storing document this topic was thought in Office Administration.
Section 4 of the ISO 15489-1:2001 states that records management includes:
Thus, the practice of records management may involve:
Records management principles and automated records management systems aid in the capture, classification, and ongoing management of records throughout their lifecycle. Such a system may be paper based (such as index
cards as used in a library
), or may be a computer system, such as an electronic records management application.
Records must be identified and authenticated
. This is usually a matter of filing and retrieval; in some circumstances, more careful handling is required.
Identifying records
Storing records
Circulating records
Disposal of records
Commercially available products can manage records through all processes active, inactive, archival, retention scheduling and disposal. Some also utilizes RFID technology for the tracking of the physical file.
Much research is being conducted on the management of electronic records. The International Research on Permanent Authentic Records in Electronic Systems (InterPARES) Project is one example of such an initiative. Based at the School of Library, Archival and Information Studies at the University of British Columbia
, in Vancouver, British Columbia, Canada, the InterPARES Project is a collaborative project between researchers all across the world committed to developing theories and methodologies to ensure the reliability, accuracy, and authenticity of electronic records.
Functional requirements for computer systems to manage electronic records have been produced by the US Department of Defense, the National Archives of England & Wales and the European Commission, whose MoReq (Model Requirements for the Management of Electronic Records) specification has been translated into at least twelve languages and is used beyond the borders of Europe. Development of MoReq was initiated by the DLM Forum
, funded by the European Commission.
Particular concerns exist about the ability to access and read electronic records over time, since the rapid pace of change in technology can make the software used to create the records obsolete, leaving the records unreadable. A considerable amount of research is being undertaken to address this, under the heading of digital preservation
. The Public Record Office Victoria (PROV) located in Melbourne, Australia published the Victorian Electronic Records Strategy (VERS) which includes a standard for the preservation, long-term storage and access to permanent electronic records. The VERS standard has been adopted by all Victorian Government departments. A digital archive has been established by PROV to enable the general public to access permanent records. Archives New Zealand is also setting up a digital archive.
Electronic Tax Records
Electronic Tax Records are computer-based/non-paper versions of records required by tax agencies like the Internal Revenue Service
. There is substantial confusion about what constitutes acceptable digital records for the IRS, as the concept is relatively new. The subject is discussed in Publication 583 and Bulletin 1997-13, but not in specific detail.
Businesses and individuals wishing to convert their paper records into scanned copies may be at risk if they do so. For example, it is unclear if an IRS auditor would accept a JPEG
, PNG, or PDF
format scanned copy of a purchase receipt for a deducted expense item.
scandal, and more recently records-related mishaps at Morgan Stanley
, have renewed interest in corporate records compliance, retention period
requirements, litigation preparedness, and related issues. Statutes such as the US Sarbanes-Oxley Act
have created new concerns among corporate "compliance officers" that result in more standardization of records management practices within an organization. Most of the 1990s has seen discussions between records managers and IT managers, and the emphasis has expanded to include the legal aspects, as it is now focused on compliance and risk.
Privacy
, data protection, and identity theft
have become issues of interest for records manager
s. The role of the records manager to aid in the protection of an organization's records has often grown to include attention to these concerns. The need to ensure that certain information about individuals is not retained has brought greater focus to records retention schedules and records destruction.
The most significant issue is implementing the required changes to individual and corporate culture to derive the benefits to internal and external stakeholders. Records management is often seen as an unnecessary or low priority administrative task that can be performed at the lowest levels within an organization. Publicised events have demonstrated that records management is in fact the responsibility of all individuals within an organization and the corporate entity.
An issue that has been very controversial among records managers has been the uncritical adoption of Electronic Document and Records Management Systems (EDRMS). One well known RM thinker, Steve Bailey, has stated:
"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." ( RMS Debate: The case against EDRMS Has EDRMS been a success? The case for the prosecution, RMS Conference, Edinburgh 22 April 2007)
Another issue of great interest to records managers is the impact of social media, such as wikis, Facebook and Twitter, on traditional records management practice, principles, and concepts.
Related topics of current note include information lifecycle management
and enterprise content management
.
in Great Britain and Ireland. Education and training courses and workshops on scientific and technical records full lifecycle management and the Quality Electronic Records Practices Standards (Q-ERPS) are available from the Collaborative Electronic Notebook Systems Association (CENSA).
The University of South Australia offers a Graduate Certificate, a Graduate Diploma, and an MSc in Business Information Management and Library and Information Management with a specialist stream in records management. The Australian National University offer a 6 week e-learning course worldwide, in Electronic Document and Records Management. In addittion, Columbia University offers its Masters of Science in Information & Digital Resource Management (IDRM).
A recent addition to records management education in the United States is the MARA - Master of Archives and Records Management http://slisweb.sjsu.edu/mara/ degree program, offered by the San Jose State University School of Library and Information Science. Another is the Archives and Records Management specialization offered by the University of Michigan School of Information as part of their MSI (Masters of Science in Information) degree. Wayne State University in Detroit offers an on-line Records and Information Management graduate level certification program. http://slis.wayne.edu/degrees/rimcertificate.php
Schools in Canada also provide specialized education opporunities in records management. The Faculty of Information at the University of Toronto allows students in the Master of Information program to concentrate their studies in Archives and Records Management.
(EDRM) is a computer program
(or set of programs) used to track and store records. The term is distinguished from imaging
and document management systems that specialize in paper capture and document management respectively. ERM systems commonly provide specialized security and auditing functionality tailored to the needs of records managers.
The National Archives and Records Administration
(NARA) has endorsed the U.S. Department of Defense
standard 5015.2 as an "adequate and appropriate basis for addressing the basic challenges of managing records in the automated environment that increasingly characterizes the creation and use of records." Records Management Vendors can be certified as compliant with the DoD 5015.2-STD after verification from the Joint Interoperability Test Command which builds test case procedures, writes detailed and summary final reports on 5015.2-certified products, and performs on-site inspection of software.
The National Archives
in the UK has published two sets of functional requirements to promote the development of the electronic records management software market (1999 and 2002). It ran a program to evaluate products against the 2002 requirements. While these requirements were initially formulated in collaboration with central government, they have been taken up with enthusiasm by many parts of the wider public sector in the UK and in other parts of the world. The testing program has now closed; The National Archives is no longer accepting applications for testing. The National Archives 2002 requirements remain current.
The European Commission
has published "MoReq," the Model Requirements for Electronic Records and Document Management in 2001. Although not a formal standard, it is widely regarded and referred to as a standard. This was funded by the Commission’s IDA program, and was developed at the instigation of the DLM Forum
. A major update of MoReq, known as MoReq2, was published in February 2008. This too was initiated by the DLM Forum and funded by the European Commission, on this occasion by its IDABC program (the successor to IDA). A software testing framework and an XML schema accompany MoReq2; a software compliance testing regime was agreed at the DLM Forum conference in Toulouse in December 2008.
The National Archives of Australia
(NAA) published the Functional Specifications for Electronic Records Management Systems Software (ERMS), and the associated Guidelines for Implementing the Functional Specifications for Electronic Records Management Systems Software, as exposure drafts in February 2006.
Archives New Zealand
published a 'discretionary best practice' Electronic Recordkeeping Systems Standard (Standard 5) in June 2005, issued under the authority of Section 27 of the Public Records Act 2005.
A record can be either a tangible object or digital
Digital
A digital system is a data technology that uses discrete values. By contrast, non-digital systems use a continuous range of values to represent information...
information: for example, birth certificate
Birth certificate
A birth certificate is a vital record that documents the birth of a child. The term "birth certificate" can refer to either the original document certifying the circumstances of the birth or to a certified copy of or representation of the ensuing registration of that birth...
s, medical x-rays
X-ray
X-radiation is a form of electromagnetic radiation. X-rays have a wavelength in the range of 0.01 to 10 nanometers, corresponding to frequencies in the range 30 petahertz to 30 exahertz and energies in the range 120 eV to 120 keV. They are shorter in wavelength than UV rays and longer than gamma...
, office
Office
An office is generally a room or other area in which people work, but may also denote a position within an organization with specific duties attached to it ; the latter is in fact an earlier usage, office as place originally referring to the location of one's duty. When used as an adjective, the...
document
Document
The term document has multiple meanings in ordinary language and in scholarship. WordNet 3.1. lists four meanings :* document, written document, papers...
s, database
Database
A database is an organized collection of data for one or more purposes, usually in digital form. The data are typically organized to model relevant aspects of reality , in a way that supports processes requiring this information...
s, application
Application software
Application software, also known as an application or an "app", is computer software designed to help the user to perform specific tasks. Examples include enterprise software, accounting software, office suites, graphics software and media players. Many application programs deal principally with...
data
Data
The term data refers to qualitative or quantitative attributes of a variable or set of variables. Data are typically the results of measurements and can be the basis of graphs, images, or observations of a set of variables. Data are often viewed as the lowest level of abstraction from which...
, and e-mail
E-mail
Electronic mail, commonly known as email or e-mail, is a method of exchanging digital messages from an author to one or more recipients. Modern email operates across the Internet or other computer networks. Some early email systems required that the author and the recipient both be online at the...
. Records management is primarily concerned with the evidence of an organization's activities, and is usually applied according to the value of the records rather than their physical format.
Definitions of records management
In the past, 'records management' was sometimes used to refer only to the management of records which were no longer in everyday use but still needed to be kept - 'semi-current' or 'inactive' records, often stored in basements or offsite. More modern usage tends to refer to the entire 'lifecycle' of records - from the point of creation right through until their eventual disposal.The ISO
International Organization for Standardization
The International Organization for Standardization , widely known as ISO, is an international standard-setting body composed of representatives from various national standards organizations. Founded on February 23, 1947, the organization promulgates worldwide proprietary, industrial and commercial...
15489-1: 2001 standard ("ISO 15489-1:2001") defines records management as "[the] field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including the processes for capturing and maintaining evidence
Evidence
Evidence in its broadest sense includes everything that is used to determine or demonstrate the truth of an assertion. Giving or procuring evidence is the process of using those things that are either presumed to be true, or were themselves proven via evidence, to demonstrate an assertion's truth...
of and information
Information
Information in its most restricted technical sense is a message or collection of messages that consists of an ordered sequence of symbols, or it is the meaning that can be interpreted from such a message or collection of messages. Information can be recorded or transmitted. It can be recorded as...
about business
Business
A business is an organization engaged in the trade of goods, services, or both to consumers. Businesses are predominant in capitalist economies, where most of them are privately owned and administered to earn profit to increase the wealth of their owners. Businesses may also be not-for-profit...
activities and transactions in the form of records".
The ISO 15489-1:2001 defines records as "information created, received, and maintained as evidence and information by an organization
Organization
An organization is a social group which distributes tasks for a collective goal. The word itself is derived from the Greek word organon, itself derived from the better-known word ergon - as we know `organ` - and it means a compartment for a particular job.There are a variety of legal types of...
or person
Person
A person is a human being, or an entity that has certain capacities or attributes strongly associated with being human , for example in a particular moral or legal context...
, in pursuance of legal obligations or in the transaction of business". The International Council on Archives
International Council on Archives
The International Council on Archives is an international non-governmental organization which exists to promote international cooperation in archiving. It was set up in 1948, with Charles Samaran, the then director of the Archives de France, as chairman. It is open to membership of national and...
(ICA) Committee on Electronic Records defines a record as "a recorded information produced or received in the initiation, conduct or completion of an institutional or individual activity and that comprises content, context and structure sufficient to provide evidence of the activity." While there are many purposes of and benefits to records management, as both these definitions highlight, a key feature of records is their ability to serve as evidence of an event. Proper records management can help preserve this feature of records.
It should be noted that the format and media of records is generally irrelevant for the purposes of records management. The ISO considers management of both physical and electronic records. Also, section DL1.105 of the United States Department of Defense
United States Department of Defense
The United States Department of Defense is the U.S...
standard DoD 5015.02-STD (2007) defines Records Management as "[t]he planning, controlling, directing, organizing, training, promoting, and other managerial activities involving the life cycle of information, including creation, maintenance (use, storage, retrieval), and disposal, regardless of media."
Records management is the storage preservation and retrieval of information in the shortest possible time.(MUDD) Records management is very important for the use of storing document this topic was thought in Office Administration.
Practicing records management
A Records Manager is someone who is responsible for records management in an organization.Section 4 of the ISO 15489-1:2001 states that records management includes:
- setting policies and standards;
- assigning responsibilities and authorities;
- establishing and promulgating procedures and guidelineGuidelineA guideline is a statement by which to determine a course of action. A guideline aims to streamline particular processes according to a set routine or sound practice. By definition, following a guideline is never mandatory. Guidelines are not binding and are not enforced. A guideline is a statement...
s;
- providing a range of services relating to the management and use of records;
- designing, implementing and administering specialized systems for managing records; and
- integrating records management into business systems and processes.
Thus, the practice of records management may involve:
- planning the information needs of an organization
- identifying information requiring capture
- creating, approving, and enforcing policies and practices regarding records, including their organization and disposal
- developing a records storage plan, which includes the short and long-term housing of physical records and digitalDigitalA digital system is a data technology that uses discrete values. By contrast, non-digital systems use a continuous range of values to represent information...
information
- identifying, classifying, and storing records
- coordinating access to records internally and outside of the organization, balancing the requirements of business confidentiality, data privacy, and public access.
- executing a retention policy on the disposal of records which are no longer required for operational reasons; according to organizational policies, statutory requirements, and other regulations this may involve either their destruction or permanent preservation in an archiveArchiveAn archive is a collection of historical records, or the physical place they are located. Archives contain primary source documents that have accumulated over the course of an individual or organization's lifetime, and are kept to show the function of an organization...
.
Records management principles and automated records management systems aid in the capture, classification, and ongoing management of records throughout their lifecycle. Such a system may be paper based (such as index
Index card
An index card consists of heavy paper stock cut to a standard size, used for recording and storing small amounts of discrete data. It was invented by Carl Linnaeus, around 1760....
cards as used in a library
Library
In a traditional sense, a library is a large collection of books, and can refer to the place in which the collection is housed. Today, the term can refer to any collection, including digital sources, resources, and services...
), or may be a computer system, such as an electronic records management application.
Managing physical records
Managing physical records involves different disciplines and may draw on a variety of forms of expertise.Records must be identified and authenticated
Authentication
Authentication is the act of confirming the truth of an attribute of a datum or entity...
. This is usually a matter of filing and retrieval; in some circumstances, more careful handling is required.
Identifying records
- If an item is presented as a legal record, it needs to be authenticated. Forensic experts may need to examine a document or artifact to determine that it is not a forgeryForgeryForgery is the process of making, adapting, or imitating objects, statistics, or documents with the intent to deceive. Copies, studio replicas, and reproductions are not considered forgeries, though they may later become forgeries through knowing and willful misrepresentations. Forging money or...
, and that any damage, alteration, or missing content is documented. In extreme cases, items may be subjected to a microscopeMicroscopeA microscope is an instrument used to see objects that are too small for the naked eye. The science of investigating small objects using such an instrument is called microscopy...
, x-rayX-rayX-radiation is a form of electromagnetic radiation. X-rays have a wavelength in the range of 0.01 to 10 nanometers, corresponding to frequencies in the range 30 petahertz to 30 exahertz and energies in the range 120 eV to 120 keV. They are shorter in wavelength than UV rays and longer than gamma...
, radiocarbon datingRadiocarbon datingRadiocarbon dating is a radiometric dating method that uses the naturally occurring radioisotope carbon-14 to estimate the age of carbon-bearing materials up to about 58,000 to 62,000 years. Raw, i.e. uncalibrated, radiocarbon ages are usually reported in radiocarbon years "Before Present" ,...
or chemical analysis. This level of authentication is rare, but requires that special care be taken in the creation and retention of the records of an organization.
Storing records
- Records must be stored in such a way that they are accessible and safeguarded against environmental damage. A typical paper document may be stored in a filing cabinet in an office. However, some organisations employ file rooms with specialized environmental controls including temperatureTemperatureTemperature is a physical property of matter that quantitatively expresses the common notions of hot and cold. Objects of low temperature are cold, while various degrees of higher temperatures are referred to as warm or hot...
and humidityHumidityHumidity is a term for the amount of water vapor in the air, and can refer to any one of several measurements of humidity. Formally, humid air is not "moist air" but a mixture of water vapor and other constituents of air, and humidity is defined in terms of the water content of this mixture,...
. Vital recordVital recordVital records are records of life events kept under governmental authority, including birth certificates, marriage licenses, and death certificates. In some jurisdictions, vital records may also include records of civil unions or domestic partnerships....
s may need to be stored in a disaster-resistant safe or vault to protect against fire, flood, earthquakes and conflict. In extreme cases, the item may require both disasterDisasterA disaster is a natural or man-made hazard that has come to fruition, resulting in an event of substantial extent causing significant physical damage or destruction, loss of life, or drastic change to the environment...
-proofing and public access, such as the original, signed US Constitution. Civil engineers may need to be consulted to determine that the file room can effectively withstand the weight of shelves and file cabinets filled with paper; historically, some militaryMilitaryA military is an organization authorized by its greater society to use lethal force, usually including use of weapons, in defending its country by combating actual or perceived threats. The military may have additional functions of use to its greater society, such as advancing a political agenda e.g...
vessels were designed to take into account the weight of their operating procedures on paper as part of their ballastSailing ballastBallast is used in sailboats to provide moment to resist the lateral forces on the sail. Insufficiently ballasted boats will tend to tip, or heel, excessively in high winds. Too much heel may result in the boat capsizing. If a sailing vessel should need to voyage without cargo then ballast of...
equationEquationAn equation is a mathematical statement that asserts the equality of two expressions. In modern notation, this is written by placing the expressions on either side of an equals sign , for examplex + 3 = 5\,asserts that x+3 is equal to 5...
(modern record-keeping technologies have transferred much of that information to electronic storage). In addition to on-site storage of records, many organizations operate their own off-site records centers or contract with commercial records centers.
Circulating records
- Tracking the record while it is away from the normal storage area is referred to as circulation. Often this is handled by simple written recording procedures. However, many modern records environments use a computerized system involving bar code scanners, or radio-frequency identification technology (RFID) to track movement of the records. These can also be used for periodic auditing to identify unauthorized movement of the record.
Disposal of records
- Disposal of records does not always mean destruction. It can also include transfer to a historical archive, museumMuseumA museum is an institution that cares for a collection of artifacts and other objects of scientific, artistic, cultural, or historical importance and makes them available for public viewing through exhibits that may be permanent or temporary. Most large museums are located in major cities...
, or private individual. Destruction of records ought to be authorized by law, statute, regulation, or operating procedure, and the records should be disposed of with care to avoid inadvertent disclosure of information. The process needs to be well-documented, starting with a records retention schedule and policies and procedures that have been approved at the highest level. An inventory of the records disposed of should be maintained, including certification that they have been destroyed. Records should never simply be discarded as refuse. Most organizations use processes including pulverization, paper shredding or incineration.
Commercially available products can manage records through all processes active, inactive, archival, retention scheduling and disposal. Some also utilizes RFID technology for the tracking of the physical file.
Managing electronic records
The general principles of records management apply to records in any format. Digital records (almost always referred to as electronic records), however, raise specific issues. It is more difficult to ensure that the content, context and structure of records is preserved and protected when the records do not have a physical existence. This has important implications for the authenticity, reliability, and trustworthiness of records.Much research is being conducted on the management of electronic records. The International Research on Permanent Authentic Records in Electronic Systems (InterPARES) Project is one example of such an initiative. Based at the School of Library, Archival and Information Studies at the University of British Columbia
University of British Columbia
The University of British Columbia is a public research university. UBC’s two main campuses are situated in Vancouver and in Kelowna in the Okanagan Valley...
, in Vancouver, British Columbia, Canada, the InterPARES Project is a collaborative project between researchers all across the world committed to developing theories and methodologies to ensure the reliability, accuracy, and authenticity of electronic records.
Functional requirements for computer systems to manage electronic records have been produced by the US Department of Defense, the National Archives of England & Wales and the European Commission, whose MoReq (Model Requirements for the Management of Electronic Records) specification has been translated into at least twelve languages and is used beyond the borders of Europe. Development of MoReq was initiated by the DLM Forum
DLM Forum
The DLM Forum is a European membership community of Public Archives and parties interested in archives, records and information management throughout the European Union. Membership is open to all.- History :...
, funded by the European Commission.
Particular concerns exist about the ability to access and read electronic records over time, since the rapid pace of change in technology can make the software used to create the records obsolete, leaving the records unreadable. A considerable amount of research is being undertaken to address this, under the heading of digital preservation
Digital preservation
Digital preservation is the set of processes, activities and management of digital information over time to ensure its long term accessibility. The goal of digital preservation is to preserve materials resulting from digital reformatting, and particularly information that is born-digital with no...
. The Public Record Office Victoria (PROV) located in Melbourne, Australia published the Victorian Electronic Records Strategy (VERS) which includes a standard for the preservation, long-term storage and access to permanent electronic records. The VERS standard has been adopted by all Victorian Government departments. A digital archive has been established by PROV to enable the general public to access permanent records. Archives New Zealand is also setting up a digital archive.
Electronic Tax Records
Electronic Tax Records are computer-based/non-paper versions of records required by tax agencies like the Internal Revenue Service
Internal Revenue Service
The Internal Revenue Service is the revenue service of the United States federal government. The agency is a bureau of the Department of the Treasury, and is under the immediate direction of the Commissioner of Internal Revenue...
. There is substantial confusion about what constitutes acceptable digital records for the IRS, as the concept is relatively new. The subject is discussed in Publication 583 and Bulletin 1997-13, but not in specific detail.
Businesses and individuals wishing to convert their paper records into scanned copies may be at risk if they do so. For example, it is unclear if an IRS auditor would accept a JPEG
JPEG
In computing, JPEG . The degree of compression can be adjusted, allowing a selectable tradeoff between storage size and image quality. JPEG typically achieves 10:1 compression with little perceptible loss in image quality....
, PNG, or PDF
Portable Document Format
Portable Document Format is an open standard for document exchange. This file format, created by Adobe Systems in 1993, is used for representing documents in a manner independent of application software, hardware, and operating systems....
format scanned copy of a purchase receipt for a deducted expense item.
Current issues in records management
As of 2005, records management has increased interest among corporations due to new compliance regulations and statutes. While government, legal, and healthcare entities have a strong historical records management discipline, general record-keeping of corporate records has been poorly standardized and implemented. In addition, scandals such as the Enron/AndersenArthur Andersen
Arthur Andersen LLP, based in Chicago, was once one of the "Big Five" accounting firms among PricewaterhouseCoopers, Deloitte Touche Tohmatsu, Ernst & Young and KPMG, providing auditing, tax, and consulting services to large corporations...
scandal, and more recently records-related mishaps at Morgan Stanley
Morgan Stanley
Morgan Stanley is a global financial services firm headquartered in New York City serving a diversified group of corporations, governments, financial institutions, and individuals. Morgan Stanley also operates in 36 countries around the world, with over 600 offices and a workforce of over 60,000....
, have renewed interest in corporate records compliance, retention period
Retention period
The retention period of a document is an aspect of records management. It represents the period of time a document should be kept or "retained". At the termination of the retention period, the document is usually destroyed...
requirements, litigation preparedness, and related issues. Statutes such as the US Sarbanes-Oxley Act
Sarbanes-Oxley Act
The Sarbanes–Oxley Act of 2002 , also known as the 'Public Company Accounting Reform and Investor Protection Act' and 'Corporate and Auditing Accountability and Responsibility Act' and commonly called Sarbanes–Oxley, Sarbox or SOX, is a United States federal law enacted on July 30, 2002, which...
have created new concerns among corporate "compliance officers" that result in more standardization of records management practices within an organization. Most of the 1990s has seen discussions between records managers and IT managers, and the emphasis has expanded to include the legal aspects, as it is now focused on compliance and risk.
Privacy
Privacy
Privacy is the ability of an individual or group to seclude themselves or information about themselves and thereby reveal themselves selectively...
, data protection, and identity theft
Identity theft
Identity theft is a form of stealing another person's identity in which someone pretends to be someone else by assuming that person's identity, typically in order to access resources or obtain credit and other benefits in that person's name...
have become issues of interest for records manager
Records manager
The Records Manager for an organization is the person responsible for the management of records in the organization. This role has evolved over time and takes many forms, with many related areas of knowledge required for professional competency....
s. The role of the records manager to aid in the protection of an organization's records has often grown to include attention to these concerns. The need to ensure that certain information about individuals is not retained has brought greater focus to records retention schedules and records destruction.
The most significant issue is implementing the required changes to individual and corporate culture to derive the benefits to internal and external stakeholders. Records management is often seen as an unnecessary or low priority administrative task that can be performed at the lowest levels within an organization. Publicised events have demonstrated that records management is in fact the responsibility of all individuals within an organization and the corporate entity.
An issue that has been very controversial among records managers has been the uncritical adoption of Electronic Document and Records Management Systems (EDRMS). One well known RM thinker, Steve Bailey, has stated:
"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." ( RMS Debate: The case against EDRMS Has EDRMS been a success? The case for the prosecution, RMS Conference, Edinburgh 22 April 2007)
Another issue of great interest to records managers is the impact of social media, such as wikis, Facebook and Twitter, on traditional records management practice, principles, and concepts.
Related topics of current note include information lifecycle management
Information Lifecycle Management
Information Lifecycle Management refers to a wide-ranging set of strategies for administering storage systems on computing devices. Specifically, four categories of storage strategies may be considered under the auspices of ILM.-Policy:...
and enterprise content management
Enterprise content management
Enterprise Content Management is a formalized means of organizing and storing an organization's documents, and other content, that relate to the organization's processes...
.
Education and certification
Many colleges and universities offer degree programs in library and information sciences which cover records management. Furthermore, there are professional organizations such as the Records Management Association of Australasia (RMAA) and the Institute of Certified Records Managers which provides a separate, non-degreed, professional certification for practitioners, the Certified Records Manager designation or CRM. Additional educational opportunities in the form of a certificate program are also available from AIIM International, ARMA, and from the Records Management SocietyRecords Management Society
The Information and Records Management Society was founded in 1983 as the main professional body for records managers in Great Britain and Ireland...
in Great Britain and Ireland. Education and training courses and workshops on scientific and technical records full lifecycle management and the Quality Electronic Records Practices Standards (Q-ERPS) are available from the Collaborative Electronic Notebook Systems Association (CENSA).
The University of South Australia offers a Graduate Certificate, a Graduate Diploma, and an MSc in Business Information Management and Library and Information Management with a specialist stream in records management. The Australian National University offer a 6 week e-learning course worldwide, in Electronic Document and Records Management. In addittion, Columbia University offers its Masters of Science in Information & Digital Resource Management (IDRM).
A recent addition to records management education in the United States is the MARA - Master of Archives and Records Management http://slisweb.sjsu.edu/mara/ degree program, offered by the San Jose State University School of Library and Information Science. Another is the Archives and Records Management specialization offered by the University of Michigan School of Information as part of their MSI (Masters of Science in Information) degree. Wayne State University in Detroit offers an on-line Records and Information Management graduate level certification program. http://slis.wayne.edu/degrees/rimcertificate.php
Schools in Canada also provide specialized education opporunities in records management. The Faculty of Information at the University of Toronto allows students in the Master of Information program to concentrate their studies in Archives and Records Management.
Electronic records management systems
An Electronic Document and Records Management SystemElectronic Document and Records Management System
Electronic document and records management system is a type of content management system and refers to the combined technologies of document management and records management systems as an integrated system....
(EDRM) is a computer program
Computer program
A computer program is a sequence of instructions written to perform a specified task with a computer. A computer requires programs to function, typically executing the program's instructions in a central processor. The program has an executable form that the computer can use directly to execute...
(or set of programs) used to track and store records. The term is distinguished from imaging
Document imaging
Document imaging is an information technology category for systems capable of replicating documents commonly used in business. Document imaging systems can take many forms including microfilm, on demand printers, facsimile machines, copiers, multifunction printers, document scanners, computer...
and document management systems that specialize in paper capture and document management respectively. ERM systems commonly provide specialized security and auditing functionality tailored to the needs of records managers.
The National Archives and Records Administration
National Archives and Records Administration
The National Archives and Records Administration is an independent agency of the United States government charged with preserving and documenting government and historical records and with increasing public access to those documents, which comprise the National Archives...
(NARA) has endorsed the U.S. Department of Defense
United States Department of Defense
The United States Department of Defense is the U.S...
standard 5015.2 as an "adequate and appropriate basis for addressing the basic challenges of managing records in the automated environment that increasingly characterizes the creation and use of records." Records Management Vendors can be certified as compliant with the DoD 5015.2-STD after verification from the Joint Interoperability Test Command which builds test case procedures, writes detailed and summary final reports on 5015.2-certified products, and performs on-site inspection of software.
The National Archives
The National Archives (UK)
The National Archives is a UK government department and an executive agency of the Secretary of State for Justice. It is "the UK government's official archive, containing 1,000 years of history"...
in the UK has published two sets of functional requirements to promote the development of the electronic records management software market (1999 and 2002). It ran a program to evaluate products against the 2002 requirements. While these requirements were initially formulated in collaboration with central government, they have been taken up with enthusiasm by many parts of the wider public sector in the UK and in other parts of the world. The testing program has now closed; The National Archives is no longer accepting applications for testing. The National Archives 2002 requirements remain current.
The European Commission
European Commission
The European Commission is the executive body of the European Union. The body is responsible for proposing legislation, implementing decisions, upholding the Union's treaties and the general day-to-day running of the Union....
has published "MoReq," the Model Requirements for Electronic Records and Document Management in 2001. Although not a formal standard, it is widely regarded and referred to as a standard. This was funded by the Commission’s IDA program, and was developed at the instigation of the DLM Forum
DLM Forum
The DLM Forum is a European membership community of Public Archives and parties interested in archives, records and information management throughout the European Union. Membership is open to all.- History :...
. A major update of MoReq, known as MoReq2, was published in February 2008. This too was initiated by the DLM Forum and funded by the European Commission, on this occasion by its IDABC program (the successor to IDA). A software testing framework and an XML schema accompany MoReq2; a software compliance testing regime was agreed at the DLM Forum conference in Toulouse in December 2008.
The National Archives of Australia
National Archives of Australia
The National Archives of Australia is a body established by the Government of Australia for the purpose of preserving Commonwealth Government records. It is an Executive Agency of the Department of the Prime Minister and Cabinet and reports to the Cabinet Secretary, Senator Joe Ludwig.The national...
(NAA) published the Functional Specifications for Electronic Records Management Systems Software (ERMS), and the associated Guidelines for Implementing the Functional Specifications for Electronic Records Management Systems Software, as exposure drafts in February 2006.
Archives New Zealand
Archives New Zealand
Archives New Zealand is the National Archives of New Zealand, with overall responsibility for government recordkeeping and for community archives. Since 1 February 2011 it has been part of the Department of Internal Affairs...
published a 'discretionary best practice' Electronic Recordkeeping Systems Standard (Standard 5) in June 2005, issued under the authority of Section 27 of the Public Records Act 2005.
Commercial records centers
Commercial records centers are facilities which provide services for the storage for paper records for organizations. In some cases, they also offer storage for records maintained in electronic formats. Commercial records centers provide high density storage for paper records and some offer climate controlled storage for sensitive non-paper and critical (vital) paper media. There is a trade organization for commercial records centers (for example, PRISM International), however, not all service providers are members.See also
- National Archives and Records AdministrationNational Archives and Records AdministrationThe National Archives and Records Administration is an independent agency of the United States government charged with preserving and documenting government and historical records and with increasing public access to those documents, which comprise the National Archives...
(United States) - DIRKSDIRKSDIRKS is an acronym for Designing and Implementing Recordkeeping Systems. It is a comprehensive manual outlining the process for creating record management systems including various business information records and transactions as outlined in the Australian Standard for Records Management - AS-ISO...
, Design and Implementation Of Record Keeping Systems - The National Archives (UK)The National Archives (UK)The National Archives is a UK government department and an executive agency of the Secretary of State for Justice. It is "the UK government's official archive, containing 1,000 years of history"...
, The National Archives - Picture archiving and communication systemPicture archiving and communication systemA picture archiving and communication system is a medical imaging technology which provides economical storage of, and convenient access to, images from multiple modalities . Electronic images and reports are transmitted digitally via PACS; this eliminates the need to manually file, retrieve, or...
- Relational database management systemRelational database management systemA relational database management system is a database management system that is based on the relational model as introduced by E. F. Codd. Most popular databases currently in use are based on the relational database model....
- Design Criteria Standard for Electronic Records Management Software ApplicationsDesign Criteria Standard for Electronic Records Management Software ApplicationsUnited States Department of Defense 5015.2-STD or the Design Criteria Standard for Electronic Records Management Software Applications was implemented in June 2002...
- Paperless OfficePaperless officeA paperless office is a work environment in which the use of paper is eliminated or greatly reduced. This is done by converting documents and other papers into digital form. Proponents claim that "going paperless" can save money, boost productivity, save space, make documentation and information...
- Enterprise content managementEnterprise content managementEnterprise Content Management is a formalized means of organizing and storing an organization's documents, and other content, that relate to the organization's processes...
(ECM) - Document Management
- Document ImagingDocument imagingDocument imaging is an information technology category for systems capable of replicating documents commonly used in business. Document imaging systems can take many forms including microfilm, on demand printers, facsimile machines, copiers, multifunction printers, document scanners, computer...
- Corporate memory
External links
- Why Records Management? by Priscilla Emery
- Research Report discussing the process of building a Records Management System in public agencies by Dustin McLemore, MPA
- Information guides and resources from the Records Management SocietyRecords Management SocietyThe Information and Records Management Society was founded in 1983 as the main professional body for records managers in Great Britain and Ireland...
- UNESCO Archives Portal