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Records Management Models
Records Management Models
Records Management Models
Records Management Models
Records Management Models
Records Management Models
Records Management Models
Records Management Models
Records Management Models
Records Management Models
Records Management Models
Records Management Models
Records Management Models
Records Management Models
Records Management Models
Records Management Models
Records Management Models
Records Management Models
Records Management Models
Records Management Models
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Records Management Models

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Faculty of Archival Science, Bucharest, Romania, 2008

Faculty of Archival Science, Bucharest, Romania, 2008

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  • 1. THE THREE RECORDS MANAGEMENT MODELS Lucia Stefan Archiva Ltd
  • 2. RECORDS MANAGEMENT MODELS <ul><li>European Administrative model – Archival model </li></ul><ul><li>Anglo-Saxon model – Lifecycle model </li></ul><ul><li>Australian Model – Records Continuum </li></ul>
  • 3. EUROPEAN ADMINISTRATIVE MODEL <ul><li>No distinction between records and documents </li></ul><ul><li>The word record doesn’t exist in many European languages </li></ul><ul><li>Document management rules dictated by administrative needs and managed by administrative staff </li></ul><ul><li>No records management function, only an archival function </li></ul>
  • 4. EUROPEAN ADMINISTRATIVE MODEL <ul><li>Document life composed of two stages : current and archived </li></ul><ul><li>Active records created and managed by users </li></ul><ul><li>No clear definition of time and no retention schedules </li></ul><ul><li>Inactive documents are retained until appraisal </li></ul><ul><li>Appraisal made by archivists </li></ul><ul><li>Documents sent to Archives for permanent preservation </li></ul>
  • 5. LIFECYCLE MODEL <ul><li>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 </li></ul><ul><li>Based on birth to death lifecycle </li></ul><ul><li>Time is linear and sequential </li></ul><ul><li>Defines differences between document and record </li></ul><ul><li>Retention concept become important </li></ul>
  • 6. LIFECYCLE MODEL
  • 7. LIFECYCLE MODEL <ul><li>Record lifecycle events: </li></ul><ul><ul><li>creation, </li></ul></ul><ul><ul><li>maintenance </li></ul></ul><ul><ul><li>disposal (destruction or archival) </li></ul></ul><ul><li>Creation/Capture </li></ul><ul><li>Records enters its active stage </li></ul><ul><li>Primary role as evidence of a business transaction, administration or legal compliance </li></ul><ul><li>Stored on-site </li></ul><ul><li>Managed by records managers </li></ul>
  • 8. LIFECYCLE MODEL <ul><li>Maintenance stage </li></ul><ul><li>Managed by Records managers </li></ul><ul><li>Active records stored on-site </li></ul><ul><li>Semi-active records stored on or off-site </li></ul><ul><li>Disposal Stage </li></ul><ul><li>Inactive records: trigger event starts retention schedule: retention period </li></ul><ul><li>End of retention period: records destroyed or sent to Archives for permanent preservation </li></ul><ul><li>Archived record: secondary role as historical evidence </li></ul>
  • 9. LIFECYCLE MODEL <ul><li>Document creation </li></ul><ul><li>Published document: Record creation </li></ul><ul><li>Record use and maintenance </li></ul><ul><li>Record disposition </li></ul><ul><li>Repository management </li></ul><ul><li>Archive management </li></ul><ul><li>Records management divided in two distinct phases: </li></ul><ul><li>the records management phase </li></ul><ul><li>the archival phase </li></ul>
  • 10. LIFECYCLE MODEL
  • 11. TYPE OF RECORDS <ul><li>Active or Current record s - Used regularly and frequently in day to day work of the organisation. </li></ul><ul><li>Semi-active or Semi-current Record s – 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. </li></ul><ul><li>  </li></ul><ul><li>Inactive Records – Records no longer required for the work of the organisation. Subject to appraisal procedures for final disposition </li></ul>
  • 12. DEFINITION OF A RECORD
  • 13. RECORDS CONTINUUM MODEL <ul><li>Developed by Frank Upward </li></ul><ul><li>Defined by a Time/Space construct </li></ul><ul><li>Times is circular and continuum </li></ul><ul><li>Time has fours Axes: </li></ul><ul><li>Space has four Dimensions (Layers) </li></ul>
  • 14. RECORDS CONTINUUM MODEL <ul><li>The Axes </li></ul><ul><li>The Recordkeeping Axis </li></ul><ul><ul><li>Custodial history </li></ul></ul><ul><li>The Evidence Axis </li></ul><ul><ul><li>The record as trace and evidence of actions and their role in collective and corporate memory </li></ul></ul><ul><li>The Transactional Axis </li></ul><ul><ul><li>The act, activities, functions and purposes </li></ul></ul><ul><li>The Identity Axis </li></ul><ul><ul><li>The creator </li></ul></ul>
  • 15. RECORDS CONTINUUM MODEL THE FOUR AXES
  • 16. RECORDS CONTINUUM MODEL <ul><li>The Dimensions </li></ul><ul><li>CREATE dimension </li></ul><ul><ul><li>Creator and document </li></ul></ul><ul><li>CAPTURE dimension </li></ul><ul><ul><li>The recordkeeping system that maintains the documents as trace and evidence of actions and their role in collective and corporate memory </li></ul></ul><ul><li>ORGANISE dimension </li></ul><ul><ul><li>Recordkeeping as management function </li></ul></ul><ul><li>PLURALISE dimension </li></ul><ul><ul><li>Archival function to provide a collective social, historical and cultural memory </li></ul></ul>
  • 17. RECORDS CONTINUUM MODEL <ul><li>The four Dimensions </li></ul>
  • 18. RECORDS CONTINUUM MODEL <ul><li>Abolishes differences between archivists and records managers: </li></ul><ul><li>Introduces one unique function to cover both records management and records archival : RECORDKEEPING </li></ul><ul><li>Abolishes differences between organisation repositories and archives </li></ul><ul><li>Decisions on document/record management and archival are taken when the document is created </li></ul><ul><li>Documents archived permanently on-site </li></ul>
  • 19. RECORDS MANAGEMENT STANDARDS <ul><li>ISO 15489 -1 and ISO 15489 -2 - Information and Documentation - Records Management </li></ul><ul><li>ISO 23081-1 and ISO 23081-2 Information and documentation - Records Management Processes - Metadata for Records </li></ul><ul><li>ISO ISO/TR 18492 Long-term preservation of electronic document-based information </li></ul>
  • 20. QUESTIONS? <ul><li>[email_address] </li></ul><ul><li>[email_address] </li></ul>

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