Records Management

Mark Andrew U. Fernandez

Managing E-records E-records or Electronic records are files which are intangible. These records are oftentimes transmitted using electronic gadgets or devices or even equipment. The general principles of records management apply to records in any format including the various formats for e-records. The National Archives and Records Service in South Africa requires governmental bodies to implement and maintain Integrated Document and Records Management Systems that provide as a minimum the following records management functionality: managing a functional subject file plan according to which records are filed; managing e-mail as records; managing web-sites as records; maintaining the relationships between records and files, and between file series and the file plan; identifying records that are due for disposal and managing the disposal process; associating the contextual and structural data within a document; constructing and managing audit trails; managing record version control; managing the integrity and reliability of records once they have been declared as such; and managing records in all formats in an integrated manner.

Not many governmental bodies have the capacity to implement fully automated Integrated Document and Records Management Systems. This does not however mean that they should not manage their electronic records. If these records are created to aid in decision-making and to perform transactions that support the governmental bodies' activities, governmental bodies are responsible for the proper management of those records. If records generated in such an environment are not managed properly it can lead to the possible illegal destruction of records. To enhance their accountability, bodies should ensure that, even without the benefit of an Integrated Document and Records Management System, they exercise effective records management.

Issues Raised on Managing E-records Much research is being conducted on the management of electronic records. The International Research on Permanent Authentic Records in Electronic Systems (InterPARES) Project is one example of such an initiative. Based at the School of Library, Archival and Information Studies at the University of British Columbia, in Vancouver, British Columbia, Canada, the InterPARES Project is a collaborative project between researchers all across the world committed to developing theories and methodologies to ensure the reliability, accuracy, and authenticity of electronic records. Privacy, data protection, and identity theft have become issues of interest for records managers. The role of the records manager to aid in the protection of an organization's records has often grown to include attention to these concerns. The need to ensure that certain information about individuals is not retained has brought greater focus to records retention schedules and records destruction. 1. Authenticity The question of authenticity is always a query in managing e-records. The records manager is confronted by the issue whether to accept documents as valid or not. Functional requirements for computer systems to manage electronic records have been produced by the US Department of Defense,the National Archives of England & Wales and the European Commission,whose MoReq (Model Requirements for the Management of Electronic Records) specification has been translated into at least twelve languages and is used beyond the borders of Europe. Development of MoReq was initiated by the DLM Forum,funded by the European Commission. 2. Reliability Documents which are electronically transmitted pose questions on reliability. The technology humanity has today is fast-paced, rich and available to the majority. The records manager is again confronted with the situation of checking the reliability of the source of the document, a work which is not an issue when the record is tangible. 3. Accesibility Particular concerns exist about the ability to access and read electronic records over time, since the rapid pace of change in technology can make the software used to create the records obsolete, leaving the records unreadable. A considerable amount of research is being undertaken to address this, under the heading of digital preservation. Public Record Office Victoria (PROV) published VERS (Victorian Electronics Records Strategy) that includes a standard for the preservation, long-term storage and access to permanent electronic records. 4. Electronic Tax Records

Electronic Tax Records are computer-based/non-paper versions of records required by tax agencies like the Internal Revenue Service. There is substantial confusion about what constitutes acceptable digital records for the IRS, as the concept is relatively new. Businesses and individuals wishing to convert their paper records into scanned copies may be at risk if they do so. For example, it is unclear if an IRS auditor would accept a JPEG, PNG, or PDFformat scanned copy of a purchase receipt for a deducted expense item. Electronic Records System An Electronic Document and Records Management System (EDRM) is a computer program (or set of programs) used to track and store records. The term is distinguished from imaging and document management systems that specialize in paper capture and document management respectively. ERM systems commonly provide specialized security and auditing functionality tailored to the needs of records managers. The National Archives and Records Administration (NARA) has endorsed the U.S. Department of Defense standard 5015.2 as an "adequate and appropriate basis for addressing the basic challenges of managing records in the automated environment that increasingly characterizes the creation and use of records." Records Management Vendors can be certified as compliant with the DoD 5015.2-STD after verification from the Joint Interoperability Test Command which builds test case procedures, writes detailed and summary final reports on 5015.2-certified products, and performs on-site inspection of software. The National Archives in the UK has published two sets of functional requirements to promote the development of the electronic records management software market (1999 and 2002). It ran a program to evaluate products against the 2002 requirements. While these requirements were initially formulated in collaboration with central government, they have been taken up with enthusiasm by many parts of the wider public sector in the UK and in other parts of the world. The testing program has now closed; The National Archives is no longer accepting applications for testing. The National Archives 2002 requirements remain current. The European Commission has published "MoReq," the Model Requirements for Electronic Records and Document Management in 2001. Although not a formal standard, it is widely regarded and referred to as a standard. This was funded by the Commissions IDA program, and was developed at the instigation of the DLM Forum. A major update of MoReq, known as MoReq2, was published in February 2008. This too was initiated by the DLM Forum and funded by the European Commission, on this occasion by its IDABC program (the successor to IDA). A software testing framework and an XML schema accompany MoReq2; a software compliance testing regime was agreed at the DLM Forum conference in Toulouse in December 2008.

The National Archives of Australia (NAA) published the Functional Specifications for Electronic Records Management Systems Software (ERMS), and the associated Guidelines for Implementing the Functional Specifications for Electronic Records Management Systems Software, as exposure drafts in February 2006. Archives New Zealand published a 'discretionary best practice' Electronic Recordkeeping Systems Standard (Standard 5) in June 2005, issued under the authority of Section 27 of the Public Records Act 2005. Commercial records centers Commercial records centers are facilities which provide services for the storage for paper records for organizations. In some cases, they also offer storage for records maintained in electronic formats. Commercial records centers provide high density storage for paper records and some offer climate controlled storage for sensitive non-paper and critical (vital) paper media. There is a trade organization for commercial records centers (for example, PRISM International), however, not all service providers are members. References: http://wikipedia.org/records mangagement http://www.archives.gov/records_management/policy_and_guidance/automated_recordkeeping_r equirements.html http://jitc.fhu.disa.mil/recmgt/standards.html 5015.2-STD http://jitc.fhu.disa.mil/recmgt/register.html http://www.nationalarchives.gov.uk/electronicrecords/function.htm http://ec.europa.eu/idabc/en/document/2303/5644

Republic of the Philippines Nueva Ecija University of Science and Technology Cabanatuan City

RECORDS MANAGEMENT

A Term Paper Presented to PROF. RONALD PASCUAL

In Partial Fulfillment Of the Requirements for the Course

Oral Communication for Teachers

By MARK ANDREW U. FERNANDEZ 2nd Semester, A.Y. 2012-2013