Issue 2007 > Records Management Fundamentals
Records Management Fundamentals: Part I
This is the first article in a series about the basics of building a records management program.
Those who are not experienced in managing information assets in a business environment may be only marginally aware of records management. Some would rightly associate the term with filing, archiving, organizing principles and information protection. Records management encompasses all of those areas and more. Properly implemented, records and information management can lower risk to companies, improve operating efficiencies and improve profitability by raising productivity.
The terms record, document and data are not synonymous. A record provides details of business transactions, decisions taken or other operational evidence. It may be generated within the organization or externally. A record may exist as paper, a computer file, a digital or film image, an audio tape or a video. While there are certain similarities, records management is a distinct and different discipline than archival science or librarianship. A record is retained as long as it has value and is destroyed at the conclusion of that period.
Start at the Beginning
Before a program can be designed, it is critical to understand what types of records exist, who creates the records, how they are named, etc. All employees are potential records creators and each desk area or office is a potential repository of information that may constitute an official record of the organization’s operation. Each of these employees must be interviewed in order to determine both information output and information requirements.
Conduct a Survey
The survey may be conducted more formally using forms designed specifically for the purpose at hand, or may be a series of informal conversations with detailed notes being taken by the records manager. If some type of work flow study, business process redesign or other internal study has been done to document types of work performed, department responsibilities, etc., this can be an excellent guideline for conducting the survey. The focus of the records survey is not highly detailed information (that will come later with the records inventory) rather an attempt to gain a basic understanding of record types, their use and the information needs of various departments within the organization.
Create an Inventory
Successful completion and analysis of survey data will guide the records manager in preparation for the records inventory. This process is very detailed, labor and resource intensive, and may require outside expertise if work loads do not permit department personnel to assist in the records inventory process. A good records inventory must be completed in an identical fashion, regardless of department. If office personnel are being used to assist with the inventory, they must be trained to conduct the inventory in an identical fashion.
The records inventory form will capture a considerable amount of information about the records series, volumes of records, how they are stored, whether they are considered vital, if so how they are protected, terms used to request the record, departments in need of the information contained in the records, etc. Once the records have been identified thoroughly they need to be assigned a retention period. Then, policies, procedures, schedules and an internal compliance program will need to be established. The second article in this series will discuss these topics.
The design of a records system is crucial to its overall success. In order to have a proper record keeping system, the following characteristics should be incorporated into the design:
Consistency: Records should be captured, managed and maintained in the same way, regardless of the medium. Policies must be applied universally and carried out in the normal course of operations in order to provide maximum risk protection.
Accessibility: Records must be maintained in an environment that allows access to the information by authorized persons. This does not mean the information must be kept at the company’s principle location, or even on company property. Commercial outsourcing partners can provide a reliable and accessible system capable of rapid retrieval and refile capability.
Security: Information must remain in an access controlled and protected environment. This includes shielding against unauthorized access, protection from environmental hazards such as flooding and protection from fire. Again, this security can be maintained either on the premises or through an outsourced provider.
Inalterability: In order to have the highest value as evidence, records must be shown to be originals or record copies which are free of alteration. This may require special management of digital information – particularly documents that can be easily altered.
Legally conforming: Retention schedules and other records policies should reflect the requirements of laws, rules and regulations governing their retention period, type of media used to store the record, and other requirements.