Records management

from Wikipedia, the free encyclopedia

Under records management (including records management , Farming ) is the systematic recording of particular business processes and results. Synonym from the be English derived terms recordkeeping and records management used; In some cases, the term is also translated as " pre- archiving records management " (as a distinction to permanent archiving (English records preservation or archiving )).

definition

The principles and procedures of systematic file management are described and standardized in the international standard ISO 15489 . The standard provides a guide for the management of records of public and private organizations.

Document management is defined in the ISO 15489 standard

"Efficient and systematic control and implementation of the creation, receipt, storage, use and segregation of written material, including the processes for collecting and storing evidence and information on business processes and transactions in the form of files , to be perceived as a management task ."

PricewaterhouseCoopers defines records management as a method

“Which supports an organization in making physical and electronic business documents optimally usable for business processes throughout their entire life cycle and in ensuring professional archiving. Records management therefore not only includes the introduction of new technical solutions, but also in particular the definition of appropriate strategies and standards as well as adjustments to the structural and process organization. "

The process and dossier view as well as the consideration of the entire life cycle of files are central to records management . By this is meant that in addition to the actual content of Records ( content ) and the development context ( context ) of the origin is to disposition or archiving considered towards the end of the life cycle and documented.

Written material (documents / files) are all business-relevant information, regardless of the information carrier, which are created or received when performing tasks. This also includes all tools and additional data, e.g. B. meta information such as date of receipt or historization data, which is necessary for understanding this information and its use. The management and organization of the documents is a permanent task that starts with the production of files. One organizational challenge is the administration and verification of the hybrid (digital and physical) business documents.

Elements of file management

Functional and technical minimum requirements for systematic file management are the following elements according to the Basel-Landschaft State Archives:

Organizational rules
Organizational regulations regulate the structure and the process of file management (tasks, responsibilities, procedures and resources). They have to be continuously updated by the office and are regularly checked for compliance by the State Archives.
Access and editing rights
The access and processing rights must be clearly regulated with regard to the dossiers or the documents and the metadata. The descriptive features of the classification system, dossiers and documents are considered metadata.
Order system
The organizational system must be structured according to the task principle and encompass all activities of the agency. It must be adequately detailed, expandable and have a uniform system. In the event of changes to the classification system, the consistency of the filing must be guaranteed. All dependent objects (e.g. file numbers) are automatically adjusted in the electronic filing system.
Dossier creation
All registered documents (conventional or electronic) must be filed in dossiers . All dossiers must have a unique title, an opening and closing date and be clearly assigned to the higher-level classification system. If necessary, the dossiers can be further subdivided (e.g. into sub-dossiers) or merged. Organizational and technical measures must ensure that the business-relevant documents are clearly assigned and only registered once. The responsibilities for opening and closing the dossier must be clearly regulated accordingly.
A dossier or sub-dossier can contain both electronic documents and paper documents. In addition, dossiers or sub-dossiers can contain references to objects that are physically elsewhere - e.g. B. on video or sound carriers - be kept.
Metadata
Filing systems, dossiers, sub-dossiers and documents must be provided with metadata. These are required to process transactions and are the basis for the traceability of business activities. Metadata help manage the documents received or created over their entire life cycle, provide additional information about a document and make it easier to find. The departments can define the metadata they need themselves.
When electronic filing systems are introduced, a list of the metadata must be submitted to the Basel State Archives for assessment.
Storage and use of the documents
The documents must be stored in such a way that they can be quickly found by authorized users at any time during their entire life cycle and are available in their context. The life cycle includes creating or receiving, registering and filing as well as archiving or deleting the documents. The conventional and electronic dossiers are to be assigned clear storage locations. Deviations from these locations must be proven. Storage locations can be: central, department, group and workstation storage.
The movements of documents are to be recorded as required. This means that the location of the documents can be proven at any time and responsibility can be defined.
Document protection and security
The dossiers and documents must be protected against unauthorized and unlogged changes as well as against loss in accordance with the security requirements with organizational, technical and structural measures.

Filing

The business activity is based on the principle of written form and is reflected in the systematic file creation with document, process and file. The file creation supports the transaction processing and ensures the traceability of the transactions. It is based on the elements:

  • Preparation and receipt of documents
  • Register the business-relevant documents

Basically, three types of filing are possible: pure paper filing , hybrid filing and purely electronic filing, which are basically differentiated by accounting or business filing.

Electronic records
If the electronic document is determined to be the authoritative one (master), it must be ensured by means of suitable organizational and technical measures that all changes are logged.
When converting paper documents to electronic format (scanning), the original original document must be reproduced in great detail. The legal validity of documents must be taken into account.
Creating documents means
  • Write documents during business transactions (e.g. letters, reports and minutes)
  • Add information to the dossier (e.g. comments)
  • edit existing, registered documents (e.g. generate new versions)

There can be several versions of documents. Selected versions can be specially marked (e.g. final versions). Earlier versions cannot be changed, but can be reactivated

Register documents
All business-relevant documents created and received (letter post, fax, e-mail) must be registered. Register means:
  • Assign documents to a transaction (dossier name)
  • Provide documents with additional metadata
  • Integrate documents into the organizational system (official filing)
Archive dossiers and documents
Archiving includes the transfer of archivable dossiers and documents in unencrypted form to the archive . The context of the documents (dossier structure, metadata) must be preserved.
The archive determines the archivability. To facilitate archiving, the archive can work with the departments to develop suitable instruments (cassation lists, archiving agreements).
Dossiers and documents that are not worth archiving must be collected (paper) or to be deleted (electronic documents).
Delete dossiers, documents and metadata
In electronic filing systems, it must be possible to delete the dossiers, the documents and the metadata after the administrative retention period has expired, taking into account the archiving reservation. Any special legal regulations (e.g. data protection) must be observed. All deletions must be recorded.

See also

literature

  • Heinz Hoffmann: Official records management. A manual for organizing, registering, sorting out and archiving files of the authorities (= publications of the Federal Archives. 43). 2nd Edition. Boldt, Munich 2000, ISBN 3-486-56491-9 .
  • Jacques Beglinger, Daniel Burgwinkel, Beat Lehmann, Peter K. Neuenschwander, Bruno Wildhaber: Records Management. Guide to compliance when storing electronic documents in business and administration. With checklists, samples and templates. Taking into account the revised data protection law. 2nd, updated and expanded edition. Competence Center Records Management, Zollikon 2008, ISBN 978-3-03-301801-3 (German / English).
  • Peter M. Toebak: Records Management. A manual. here + now, Baden 2007, ISBN 978-3-03919-059-1 .
  • Peter M. Toebak: Records Management. Design and implementation. here + now, Baden 2010, ISBN 978-3-03919-141-3 .
  • Bruno Wildhaber (Ed.): Information Governance. A guide to the entrepreneurial handling of information . Zollikon 2015, ISBN 978-3-9524430-0-2 .

Web links and sources

Individual evidence

  1. ↑ ISO 15489 has been extensively revised since 2014. The new version is not expected to be published until mid-2016. Source: http://www.project-consult.de/ecm/news/2014/iso_15489_records_management_%C3%BCberarbeit