Records Management Models

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Faculty of Archival Science, Bucharest, Romania, 2008

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Records Management Models

  1. 1. THE THREE RECORDS MANAGEMENT MODELS Lucia Stefan Archiva Ltd
  2. 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. 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. 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. 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. 6. LIFECYCLE MODEL
  7. 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. 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. 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. 10. LIFECYCLE MODEL
  11. 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. 12. DEFINITION OF A RECORD
  13. 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. 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. 15. RECORDS CONTINUUM MODEL THE FOUR AXES
  16. 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. 17. RECORDS CONTINUUM MODEL <ul><li>The four Dimensions </li></ul>
  18. 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. 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. 20. QUESTIONS? <ul><li>[email_address] </li></ul><ul><li>[email_address] </li></ul>

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