RECORDS
MANAGEMENT
Records management (RM), also known as Records
information management or RIM, is the professional
practice or discipline of controlling and governing what are considered to be
the most important records of an organization throughout the records life-cycle, which includes from
the time such records are conceived through to their eventual disposal. This
work includes identifying, classifying, prioritizing, storing, securing,
archiving, preserving, retrieving, tracking and destroying of records.[1]
A record is something that represents proof of existence and that can be used to recreate or
prove state of existence, regardless of medium or characteristics. A record is
either created or received by an organization in pursuance of or compliance
with legal obligations, or in the transaction of business.[3][4] Records can be either tangible objects, such as paper documents
like birth
certificates, driver's licenses, and physical medical x-rays, or digital information, such as electronic office documents, data in application databases,
web site content, and electronic mail (email).
KEY RECORDS
MANAGEMENT TERMINOLOGY
Records identification is the
means by which consensus is achieved within an organization that leads to how a
record is uniquely distinguished from other non-record material, such as a
convenience file or draft. How records are managed throughout their life cycle
is formalized into the policies and practices of the RIM program.
Once a record is created, record
controls are triggered to regulate its access and distribution. A human
resource employee may separate documents from a personnel file and keep them in
a locked cabinet with a control log to control and track access. Role security
may be set on a repository allowing access to approved users. Software may identify
the official record, versions, copies, and distribution.
Just as the records of the
organization come in a variety of formats, the storage of records can vary
throughout the organization. File maintenance may be carried out by the owner,
designee, a records repository, or clerk. Records may be managed in a
centralized location, such as a records center or repository, or the control of
records may be decentralized across various departments and locations within
the entity. Records may be formally and discretely identified by coding and
housed in folders specifically designed for optimum protection and storage
capacity, or they may be casually identified and filed with no apparent
indexing. Organizations that manage records casually find it difficult to access
and retrieve information when needed. The inefficiency of filing maintenance
and storage systems can prove to be costly in terms of wasted space and
resources expended searching for records.
An inactive record is a record
that is no longer needed to conduct current business but is being preserved
until it meets the end of its retention period, such as when a project ends, a
product line is retired, or the end of a fiscal reporting period is reached.
These records may hold business, legal, fiscal, or historical value for the
entity in the future and, therefore, are required to be maintained for a short
or permanent duration. Records are managed according to the retention schedule.
Once the life of a record has been satisfied according to its predetermined
period and there are no legal holds pending, it is authorized for final
disposition, which may include destruction, transfer, or permanent
preservation.
A disaster recovery plan is a
written and approved course of action to take after a disaster strikes that
details how an organization will restore critical business functions and
reclaim damaged or threatened records.
An active record is a record
needed to perform current operations, subject to frequent use, and usually
located near the user. 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 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".[5]
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".[5] 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 from the perspective that records must be identified and managed,
regardless of their form. The ISO considers management of both physical and
electronic records.[5] Also, section DL1.105 of the United States Department of
Defense standard DoD 5015.02-STD (2007) defines Records Management as "the
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."[6]
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
guidelines; 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
digital 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 archive.
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.
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