records management models
DESCRIPTION
Faculty of Archival Science, Bucharest, Romania, 2008TRANSCRIPT
THE THREE RECORDS THE THREE RECORDS MANAGEMENT MODELSMANAGEMENT MODELS
Lucia StefanArchiva Ltd
RECORDS MANAGEMENT MODELS
European Administrative model – Archival model
Anglo-Saxon model – Lifecycle model
Australian Model – Records Continuum
EUROPEAN ADMINISTRATIVE MODEL No distinction between records and
documents
The word record doesn’t exist in many European languages
Document management rules dictated by administrative needs and managed by administrative staff
No records management function, only an archival function
EUROPEAN ADMINISTRATIVE MODEL Document life composed of two stages:
current and archived
Active records created and managed by users
No clear definition of time and no retention schedules
Inactive documents are retained until appraisal
Appraisal made by archivists
Documents sent to Archives for permanent preservation
LIFECYCLE MODEL
Model conceived by Phillip Coolidge Brooks and Emmett J. Leahy of US National Archives in the late 1930’s and further developed by Ira Penn
Based on birth to death lifecycleTime is linear and sequential Defines differences between document
and recordRetention concept become important
LIFECYCLE MODEL
LIFECYCLE MODEL
Record lifecycle events: creation, maintenance disposal (destruction or archival)
Creation/CaptureRecords enters its active stagePrimary role as evidence of a business
transaction, administration or legal compliance
Stored on-site Managed by records managers
LIFECYCLE MODEL Maintenance stage Managed by Records managers Active records stored on-site Semi-active records stored on or off-site
Disposal Stage Inactive records: trigger event starts
retention schedule: retention period End of retention period: records
destroyed or sent to Archives for permanent preservation
Archived record: secondary role as historical evidence
LIFECYCLE MODELLIFECYCLE MODELDocument creationPublished document: Record creationRecord use and maintenance Record disposition Repository management Archive managementRecords management divided in two
distinct phases: the records management phase the archival phase
LIFECYCLE MODEL
TYPE OF RECORDS
Active or Current records - Used regularly and frequently in day to day work of the organisation.
Semi-active or Semi-current Records – Not in use as frequently as current records, but are needed for legal or operational reasons to be retained. Required for compliance with procedural / statutory / financial requirements.
Inactive Records – Records no longer required
for the work of the organisation. Subject to appraisal procedures for final disposition
DEFINITION OF A RECORD
RECORDS CONTINUUM MODELRECORDS CONTINUUM MODEL Developed by Frank Upward
Defined by a Time/Space construct Times is circular and continuum Time has fours Axes: Space has four Dimensions (Layers)
RECORDS CONTINUUM MODELRECORDS CONTINUUM MODELThe Axes
The Recordkeeping Axis Custodial history
The Evidence Axis The record as trace and evidence of actions and
their role in collective and corporate memory The Transactional Axis
The act, activities, functions and purposes The Identity Axis
The creator
RECORDS CONTINUUM MODELRECORDS CONTINUUM MODEL THE FOUR AXES THE FOUR AXES
RECORDS CONTINUUM MODELRECORDS CONTINUUM MODELThe Dimensions
CREATE dimensionCreator and document
CAPTURE dimensionThe recordkeeping system that maintains the
documents as trace and evidence of actions and their role in collective and corporate memory
ORGANISE dimensionRecordkeeping as management function
PLURALISE dimensionArchival function to provide a collective social,
historical and cultural memory
RECORDS CONTINUUM MODELRECORDS CONTINUUM MODEL
The four Dimensions
RECORDS CONTINUUM MODELRECORDS CONTINUUM MODEL Abolishes differences between
archivists and records managers: Introduces one unique function to
cover both records management and records archival : RECORDKEEPING
Abolishes differences between organisation repositories and archives
Decisions on document/record management and archival are taken when the document is created
Documents archived permanently on-site
RECORDS MANAGEMENT RECORDS MANAGEMENT STANDARDSSTANDARDS
ISO 15489 -1 and ISO 15489 -2 - Information and Documentation - Records Management
ISO 23081-1 and ISO 23081-2 Information and documentation - Records Management Processes - Metadata for Records
ISO ISO/TR 18492 Long-term preservation of electronic document-based information
