Carriers of Information: A Canadian Approach to Records Management

Carriers of Information, a Canadian Approach to Records, Document Management and Information Technology

Active Models of Business and Government Records Organizational Methods for Capture through Disposal in Canada

From the Hole Punch to the Jump Drive and Beyond

By P. Fern Phillips at Smashwords

Copyright 2013 P. Fern Phillips

Digital ISBN: 978-0-9877445-0-0

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Table of Contents

Dedication

Introduction

Chapter 1 – Overview

Elements and Benefits of Records Management

Evolution of Records Management

Publications are not a record

Movement of Paper to Digital Documents

Grouping records together has changed

Consistency between old and new formats

Preservation over time

Evaluation of a record

Canadian Records Management

What is Not Records Management

Strengths and Weaknesses of Records Management

Professional Requirements of Records Management

Public versus Private Differences

Joint Public-Private Vendor Initiatives

Focus and Exclusions in the text

Certification Now and Forward

Standards – Canadian and International

International Standards

Relationship of Records Management with IT

Gaps in Methodology Created by Technology

Finding Common Terms

Communication Tools Such as Email

Desirable Future Traits in Software and Systems

Analysis of Changing Media Implications

Research

Canadian Research on Digital Environments

Chapter 2 – Recordness

In the beginning

Identifying Official Record

Characteristics of Digital Documents

Sources of Definition of a Record

In Standards

In Legislation

In ARMA

In Tax

In Inquiries (Pension, Public)

As Evidence

Records as Information Carriers

Examples of Recordness

One Size Does Not Fit All

Introduction of the Non-Record Concept

The Importance of Records

Content – Intellectual Management

Creation, Capture and Value

Record Identifiers

Tools

Chapter 2 – Part II Electronic and Digital Documents

Chapter 3 – Organization and grouping records

Grouping methodology

Large group schemes

Limitations

Functional Groups

Subject grouping

Placement of short term value

Indirect Access

Elements of Organization and Grouping

Benefits and Description Indirect Access and File Classification

Indexing and Indices

How to index

Classification

How to Classify-Design

Benefits of file classification

Mutual Exclusivity

Other impacts on Design

Flat Schemes

Inventory

Electronic Inventory

Record Series

Lists

Indices

Thesaurus, authority list

Keywords

Controlled Vocabulary

Finding Aids

Lables

Codes

Metadata

Indexing Activity

Sorting

Selection of sort and code methods

Recognition of indexing concept

The Primary Level

Secondary Levels of capture and control

Tiny Units Scheme

Tracking controls

Registration controls

Digital document tracking

Outside scope - tracking – computer forensics

Naming documents

Avoid changing grouping methods

Structure or jurisdictional sectors

Hybrid arrangement

Specialization based on product or service

Specialization based on pubic-private sectors -

Paper versus the Electronic Environment

Business functions impact

Chapter 4 – Methodology and programmes

Preparation and groundwork

Models

Continuum

Control

Life cycle

Process

Production

Quality

Service

Systems

Unit

Hybrid

Traditional Elements of RM

Information Creation or Capture

Assessment

Walk Around

Classification Schemes in the Beginning

How to collect background information

Identifying key personnel and locations to interview

Survey

Appraisal Report

Consequences of Gaps in Methodology

Introducing a New or Improved System

Analysis Techniques

Report on Findings

Information Management

Establish a Baseline

Success Factors

Starting From Scratch

Project Management

Information Conveyance

Information Repositories

Organizational Need

Programme Implementation Tools

Knowledge Tools

Marketing Records Management

Infrastructure for a Programme

Identify the Scope

Components

Equipment

Programme failure criteria

Impact of Organization Size

Culture

Chapter 5 – Special Collections

Agencies, Consortiums, Task Forces

Agreements see Contracts

Artwork and Graphics

Correspondence

Case file scheme

Decisions

Discovery

Contracts and Agreements

General files

Housekeeping and Operational Groups

Individual Notes to File

Library Collections

Loaned or Borrowed Documents

Maps and Drawings

Master Documents

Publications

Reference files and documents

Repeating, reoccurring general types -

Reports

Special language and technical jargon

Very long term

Volumes

Working files

Chapter 6 – Procedures and Policy Use and Development

Design and Layout of Procedures

Weakness of the procedural approach

Analysis of Procedure Manuals Use

Use of templates

How Policy is different from procedures

Typical Policy Structure

Record Keeping – differentiate from Records Management

Importance of Activity Reports

Identifying points to document

Control Documentation

Records Management Procedural Manual

Sections

How RM Manual related to In-House Training Procedures

Maintenance – Record Keeping

Original Needs for Centralization of Records

Documenting Circulation – Paper files

Defining Records Management Tools

Writing Customer Service Manuals

Service and Performance Procedure Manual Template

File Conversion Methodology

Templates for Organizational Standards

Checklist for Procedural Elements

Form or Monitor Template -

Writing Procedures

Chapter 7 – People Make the Difference

Introduction to skills and personalities

Character

Networking, seminars and certification advantages

Professionalism

Recruitment and hiring

Attitude

Code of ethics

Technical skill compliments attitudes

Contractors and outsourced or contract personnel

In-house personnel

The argument for a variety of people testing methods

Compulsive Hoarding Syndrome

Staffing Characteristics

Observable Behaviour

Competency

Competencies in Canadian Federal Government

Collective Bargaining

Maintenance Activities versus Analysis and Planning – Career Advancement

Awareness of Differences

Building Relationships in Organizations

Conflict

Feedback and Listening Skills

Performance Review

Communication Loop

Sending the message

Receiving the message

Obstacles to communication

Group Behaviour

Change Management

Why people resist change

Collaboration with other information specialists

Small Organizations

Where Information Enters the Organization

Downside to Receiving Information

Customization of System Design, Role of RM

Compliance to good practice

Challenges specific to RM staffing

Entry points to learning

Testing attention to detail

Job Titles

Chapter 8 – Retention and Disposition

Disposal Actions

Value of records

Retention Programme and Process

Take a simple process to control costs

Digital Records – Do they change the retention process?

Retention Policy

E-record Policy Content

Suspense of Disposal Action – Part of Retention Policy

Retention Knowledge Base – the Backbone of the Policy

Checklist Role in Retention Policy

Matrix a Retention Process

Establishing Retention Schedules

The Schedule Itself

The Maintenance of Schedules

First Steps in Developing a Schedule

History of Legal Background to Retention of Records in Canada

The Common Law Legal Approach

Legal Opinions

Phrasing the Retention Period

Documenting the background research and decisions made

Legal and Para-Legal Impacts

Sources to Research

Transfers

Records to keep very long periods of time according to law

Disposal Consistency

Disposal Notices and Actions

Other Research Needed for Retention Timeframes

The Role of Evidence and Admissibility in Retention Scheduling Electronic Systems

Standards and Admissibility

Jurisdiction

Québec Law

Litigation

The Hierarchy of the Courts

Chapter 9 – Inactive Records

Preservation off location

Stewardship of inactive historical documents

Inactive Programme considerations

Objectives for reducing the size of an inactive records repository

Policy for assigning inactive status

Procedures of legacy records storage

Digital disposal actions

Media upgrades or reactivation

Disposal Actions take place while records are inactive.

Purge – Disposal when active repository is reviewed

Backlog – Delayed Gatekeeper Action

Clearing a Backlog

Find the Groups

Monitor and Measure

Offsite 'Drop-document' Updating

Non-records at the time of inactive identification

Rescuing Abandoned Records

Imaging

Retrievals of inactive records – service guidelines

In-house storage facilities

Commercial Records Centres

Parameters of relationship with storage vendors

Request For Information (RFI)

Transfer Across Provincial Borders

Conclusion

Chapter 10 – Protection

Types of protection

Security

Privacy

Access to Information

Risk

Protection and Prevention

Disasters and Hazards

Built-in Risk

Monitoring

Encryption and digital signatures

Electronic Tools and Risk Prevention

Electronic Discovery is on the increase

Trans-border information flow

Communications Media and Social Networks Policy

Vital Records and Essential Records

In case of an event

Preparedness and Planning

Characteristics of vital, essential and useful records

Restoration and Recovery

Emergency Procedures Manuals

Offsite locations

Transfer Risks

Risk Management and Technology Tools

Defects in Service

Challenges

Postscript

About the Author

GlossaryFootnotes

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Dedication

To my beloved husband, Graham F. Phillips 1945-2008.

You are greatly missed, many thanks for our time together.

To my mother Frances L. Dawson 1916-2010

For encouraging me to reach for the stars, in a stubborn kind of way.

Acknowledgements and Thanks To:

Mary Robek for her words of encouragement and for her professionalism.

Betty Rossier, RM Consultant and my personal support group.

My records management employers and staff and students 1980-2007.

My ARMA and RM networks whose relationships contributed so much peer interaction over the years.

The other Creston writer's group for their delightful presence at meetings, their encouragement, support and editing.

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Carriers of Information, a Canadian Approach

Please remember that this e-book format does not allow figures, images, photos, flowcharts, windows or side-bars. These were all removed but are obtainable through PDF documents created on-demand. A teaching aid was also removed. Educators might be interested in a multiple choice test bank. Please make requests through the author's website at www.pfern.org

Introduction

Information is not the same thing as official records, and information, by definition, does not necessarily support the activities of the organization and is not always required long-term.

Organizations tend towards short term goals. Records management's unique approach considers impact over time, defines what information needs to be kept and does not promote sweeping solutions. Records management might enhance a technical solution by adding a missing dimension to IM methodology or IT analysis. A view of all information carriers over a period of time, a view of the legality issues of disposal actions, and a detailed valuation of all types of information procedures and processes is in the purview of records management. There is inevitable tension between the long term elements of records management and the organization's short term outlook.

Records management emphasizes good organizational habits while preserving the unique records of an organization. Digital records became the norm around the turn of the century and the real question has become 'what is the essence of a record' as fluidity has changed the manner in which records are identified and protected. While exciting words describe the potential of interactivity and the synergies of digital information, the common sense approach to being organized still works. Develop individual recordkeeping habits and thus deal with digital freedom. Improvements in technology may help but when the resources are not there organizations find that self-discipline, organization and standards help them manage information.

Records management is a specialized field with limited numbers of practitioners. Yet, in some ways, we all interact with elements of records management, such as the practice of grouping information to make it manageable and retrievable. While best practices in records management are difficult to prove, they do exist. What marks best practices is a history of success.

There is a very real need for a Canadian version of records management best practices and a huge requirement to modernize the profession to include digital documents. The legal and social background in Canada provides the foundation for records management evaluation of documents. Educators will find a wealth of material on which to base a balanced curriculum in records management and information technology. The material is vendor free and not specific to one brand (which might easily become obsolete) but reflects enduring principles.

We are active makers of meaning when we capture information about a group of documents or a set of information and their relationship. Information is carried on paper, tape, or electronic systems in codes, magnetic bits or waves; it does not matter so much how it is carried or by what as whether or not it is dependable and reliable over time. Traditionally records management worked with the carrier, the format, when considering protection, preservation, storage, value and usage.

A piece of paper is blank until information, text or graphics, is affixed. The value of the piece changes with the information. The way information is carried may affect its meaning and value. Knowledge has broader meaning than its carrier. The intellectual management of records is easier to conceptualize using the term carriers of information. The term is more accurate than records. The physical format that carries information is traditionally most important to elements of records management. In the case of digital documents, the system, equipment, software and relational tables, is the carrier.

Canadian business records tend to be small, non-heterogeneous collections, digital born, based on municipal, provincial, federal or for-profit or non-profit jurisdictions. The varieties of small collections in Canada require the best possible methodology for their organization. Legislation and litigation, with requirements for certain information, is unique to Canada. Case law from the United States is misleading. The need to educate from a Canadian view is obvious.

The information technology unit might solve the problem they have created by taking another look at the need to identify official records and collaborating with records management elements to evolve a corporate solution that takes into account the asset/liability side of information content.

Records management provides tools that enable compliance to the legal, ethical and financial requirements that are the responsibility of the organization. It includes the process of comparing what was planned with what is actually happening and addressing any deviation.¹ .

Basic records management methodology is summarized as what entities believe to be their need for organized and timely information and their need to remove what is no longer required or valued. The business need for active records is neither ignored nor taken at face value when applying records management elements.

The need for records management may evolve from an enlightened leader through budgeting and compliance recognition, a management problem arising from the inability or increased cost to find needed information, a member who recommends a study, or a consultant or auditor who makes management aware of a problem with record keeping processes or from a desire to certify where the standards require a records retention policy. Support at the executive level may come from previous positive experience with records management programmes.

The model concept by the author is an attempt to pull together evolution over time and to provide a common point of communication. Each model shows a different approach to records management based on typical applications. Together, they provide a comprehensive view of practical applications used over a half century. The profession has diffused, not always with best practices. The model examples are used throughout the text. Organizations may choose the amount of programme diffusion they require by first understanding the models.

A French language version of this text is not available because the author is English-speaking, nor has the legal aspects of records management in Quebec been addressed. This is an opportunity for those who live and work in the Province.

The usual presentation of records management curriculum is at a college or university level, often part of continuing education for working adults, however some presentations target senior management of large corporations. This is a partial list of who might be interested in this text:

Educators

Colleges and Universities

In-house trainers

Technology – Information Management

Records Management

Students in technical colleges

Specific to records management

Specific to information technology and computer science

Specific to para-legal research

Managers and professionals with responsibility for records management

Practitioners

Information Analysts and Professionals

Members of the Association of Records Managers and Administrators

Archivists

Small town administrators

First published c. 2013

ISBN-978-0-9877445-0-0 (c. 2009)

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Chapter 1 – Overview

Professional commitment implies a higher level of education where one must attend and acquire skilled training, critical thinking skills, the ability to master technique and a desire to expand personal knowledge. Records management is considered a profession when evaluative methodology is employed with successful overall results. Usually a profession has a distinct body of knowledge specific to that profession.²

Records management contains a basic methodology that evolved over time through practical applications. Records management is not and never has been entirely a science or a profession. It has a broad theoretical basis, yet deployment is practical, routine, specific and experiential in application. It evolved out of the recognition that organizations produce 'one-of-a-kind' documents in an unprotected environment.

One historical reason that Archives passed responsibility for active organizational records to records management is that much of active records were considered to be of temporary value. The action freed up Archivists to concentrate on historical records of very long-term value. Thus, records management takes a strong role in records transfer and destruction. Record keeping soon breaks down if the flow of information is blocked.

Theory relevant to records management suggests that information works on us and itself in broad dynamic interactions promoting rapid communication. Information is considered to be property, an asset and a commodity according to various governance theories. Theories of knowledge illustrate how documentation builds a base of related information. The concept of a record is static by comparison and narrows to a selection by value and the theoretical concepts of organization and storage. In records management the concept of a record assists efficiency and effectiveness for the organization while protecting uniqueness. A document is the smallest unit that carries structured information, usually not complete enough to be a record. The terms are not interchangeable in records management methodology. Recordness is a new term meaning the information contains the attributes of official complete and current documentation of a particular organizational decision or activity. The group of information reflects the complex relationship between content, environment and capture. It might not contain all of the traditional definition of a record as used for paper collections. The information may reasonably be expected to meet admissibility requirements and unauthorized disposal might be an issue.

A Canadian approach provides comprehensive coverage of unique aspects of interpretation, legality and multi-subject collections. Canadian record collections are smaller with multiple purposes and they require attention to special document types.

From the beginning records management has used available technology tools. Paper collections were managed by electronic indices that served as finding aids which pointed to the location of records. No records management textbook can hope to keep current regarding the rapid advances in information technology, the related standards, or the legislation; but fortunately, the basic principles of records management remain useful over time. Convergence of the professions of information technology and records management impacts the elements.

Definitions (A full list of definitions may be found at the end of this text in the Glossary section) A few are provided near the context as a quick reference tool.

Convergence is defined as the combining of different professions, skills and expertise moving towards a common understanding.

Governance is defined as the exercise of control or authority.

Information is defined as the acts or data communicated or received, a compilation in a meaningful form. Data that has been given value through analysis, interpretation or compilation in a meaningful form. A representation of facts, ideas or opinions about objects, events and processes carried on any medium or format. Information is seen as the intellectual property of an organization, an asset and a commodity.

Information Carrier is defined as the acts or data carried on media that supports the continued retrieval and use of that information.

Official Record is defined as the full, accurate and complete value-added tracking of decisions, activities and history of an organization during a distinct identifiable unit of time in the normal course of business and in ways admissible during court discovery procedures. It may include a legislated requirement to keep records.

Technology is defined here as the computer software and computerized management and document systems that are introduced to replace manual paper processes to retrieve and control information and communication, sometimes known as IT or Information Technology.

Elements and Benefits of Records Management

The typical elements of records management are:

- Creation, naming information consistently, identification of importance

- Capture and distribution of accurate and complete information

- Appraisal and evaluation of recordness and special collections, and protection

- Projects, programmes, policy and procedures, strategic organizational planning

- Organization, grouping and use in dedicated repositories

- Maintenance, tools, service performance over time

- Storage, space and volume issues

- Inactive records requiring effective referencing

- Retention scheduling and disposition actions and/or transfers of ownership

The benefits of records management include:

- A unique knowledge base specific to managing active business records

- A methodology specific to understanding records flow in the complete organization

- Focus on effective business processes

- Choices that help organizations process all their information in any format

- An understanding of the value of records, and what is not a record

- Communication of authority, decisions and instructions consistently and completely

- Understanding of legal and regulatory environments for record keeping, information security and various admissibility and disposal restrictions

- Improvement of productivity through reduction in the randomness of records collection and storage and the tendency to devolve

- The history of vendors and the long list of current vendors provided by ARMA International³ indicates that there are hard dollars at work, and prudent opportunities for hard dollar cost reduction

Active records are the historical backbone of our future archives. Records reflect trends in society and business, provide essential corporate memories over a continuum, and are the foundation of our Canadian and International government and private industry activities.

To Digitize is to convert data or signals such as images, text or sound into a form for use in a computer.

Electronic is considered controlled by computers or computer devices, products and services.

E-record is a digital document with the characteristics of recordness and is the key building block of the evolution from paper to electronic as the preferred format for future records.

File (in information technology) is a word that describes an electronic record stored on the computer that uses a filename for reference; a single file is associated with one or more technical applications that can read and modify it. Avoid using this term unless the context (paper or electronic) is clear.

Paper record describes a container or carrier of information that appears as documents in a physical file and is sometimes called hard-copy records or paper format. Documented information in an organization may be considered to be in hardcopy physical format.

Evolution of Records Management

Practitioners may delve into the archival value of microfilm from World War II at the same time others are discussing meaning based governance software, better known as data mining software which extracts meaning in real time from structured and unstructured data. Both activities and everything in-between are representative of the evolution of records management from control of physical carriers to intellectual leverage.

As with many languages, the meaning and the words change over time. This text recommends staying with the term records management (not Information Management or Records and Information Management). The term has remained relatively consistent in its definition and has never been confused with the implementation of new technology.

As mentioned, the term information is the inclusive term currently popular. Information is used to remember and repeat actions, to solve problems and make decisions. Information must be accurate and accessible to be used. It may be versioned to update the information. When no longer useful information should be removed to reduce overhead costs, however the format or physical carrier may determine how that is done. The term may or may not fit into the original purpose of records management.

Information has one of two values:

- transitory, ephemeral – a quick burst of informational communication used for a short period of time, less than one year, often less than one month

- long term – contributes intellectual value longer than one year to the creator and the organization for financial, legal, audit or reference reasons. Time periods of active use vary from two years to one hundred years or more depending on the value assigned.

Business cycles are rapid and unstable. Industries mature quickly. Working relationships are transitory, yet intense. Organizations have life cycles, often-short ones. The reality is that career tracks will change several times or more in a lifetime and work is not a linear process. Technology changes and grows rapidly and so must records management, which depends on technology tools. Technology influences the way we work. So do records. Records management helps us work the technology.

Records management principles are similar to long established principles in human resources, accounting, audit, legal units and are part of sound business practices that include decision road maps in times of investor and public scrutiny. Records management underpins all disciplines that create and report their contributions to the corporation's business successes and failures. Delivering quality service and product is a guarantee of acceptance, for as long as the records process lasts.

The most important role records management can play is as a facilitator of effective work in organizations. Only records management offers the conceptual framework to address issues of record keeping in concert. Records management practitioners know more about the legal requirements than other information professionals do; know more about the specific technical constraints than legal professionals do; and offer the tactical records keeping approaches that balance these values effectively to meet the needs of storage, access, risk, cost, and behavior. Competitively focusing on any one of these at the exclusion of the other values is costly and ineffective. ⁴

Records management is the skillful exercise of coordination over the acquisition, organization, storage, security, retrieval, and dissemination of the information resources, including the identification of recordness, essential to the successful and effective operation of a business, agency, organization, or institution, including documentation, records management, and technical infrastructure.

Records management provides focus and consistency over time and is a change agent in organizations that promotes effective common sense approaches. Records management rules are flexible, may be applied in part or whole, and are impacted by practical experience. Specific details suggest options that reduce the impact of large projects. In records management the consequences of mistakes may be very costly to an organization.⁵

Records management deals with information creation, capture, distribution, use, maintenance, retrieval, tracking, protection and risk prevention, security, confidentiality, storage, technology tools (in particular the exploitation of tools already in place or in participating in evolution of tools), organization, retrieval, evaluation, retention appraisals and scheduling and eventually disposal, transfer of ownership or destruction in active organizations.

Left on its own, information becomes a mixed and random collection that reduces its value. Masses of active information are recorded briefly on carriers of communications, which have physical attributes that are organized and studied for their potential long term value in order to counter the de-evolution. The way information is kept on carriers affects how records management is deployed, although the concept of a record is usually independent of media or format.

The way information is carried on different media affects completeness and record characteristics.

Carriers of information continue to evolve. Many magnetic storage devices were replaced before records managers knew that the information was at risk. We continue to experience obsolescence in media forms (carriers) such as 4 and 8 track tape, cassette, Beta, VHS, Bernouli, 8, 4 and 3,5 inch floppies, optical drives, zip discs, 3480 tapes, low density CDs and low speed drive sticks or obsolete digital cards. The only thing predictable in electronic media is change.

While the evolution of new information carriers does not change the nature of recordness, it substantially changes the manner in which records carriers are managed. Related skill needs, the design, development and implementation of information systems are impacted by the carrier. Digitization also raises complications regarding the integration of paper and electronic documents.⁶ Older records are maintained in original paper until they reach the end of their retention requirements.

Not only does technology become obsolete quickly, but working with different media and formats has different records management requirements. Electronic and digital records and documents challenge the physical care elements in areas of storage, transport and disposals. Some aspects of traditional record keeping may be redundant, unnecessary or only appropriate to specialized paper based applications or older legacy collections. Work procedures will vary between paper and electronic systems.⁷

Break down of record keeping systems occurs through neglect, poor understanding of records management elements, lack of training in the organization, rapid organizational change and an overemphasis on technology tools.

Consider the following results of a lack of information organization:

-Officials are forced to take decisions on an ad hoc basis without the benefit of an institutional reference.

-Fraud cannot be proven and meaningful reporting and audits cannot be carried out.

-Government actions are not transparent. Access to Information is blocked or results inconsistent.

-Litigation or internal audit addresses areas of vulnerability.

-Organization unable to obtain certificate of ISO quality management documentation which limits the ability to transact product with others.

-Citizens or stakeholders cannot claim or protect their rights.

-Citizens or management cannot make an informed contribution to the governance process.

-The collective memory is impaired. Research is incomplete.

-Employees lack guidance, confused about accountabilities. Best practices are not found or followed resulting in high costs.

-Lost information is kept on shared drives, portable devices and in e-mail, inaccessible to those who need it. Independent silos exist and sharing does not happen.

-E-discovery and forensic computer retrieval finds compromised information systems. -Negative legal judgments may follow.

Publications are not records, but it is a fine line

The gray area between publications and records is easy to miss when using web posts, instant messaging and other technological convergences that are geographically independent. This means the official legally admissible record may be set more by policy than practice in digital and electronic processes in Canada. The organization will declare the way it defines a record, and a non-record.

Movement of Paper to Digital Documents

The volume of paper in organizations is shrinking, although it may not be entirely eliminated. There were three steps that moved organizations into digital documents – first electronic information was printed to paper and the traditional methods continued. Then collections such as the census became more useful digitized than in paper. Finally information that was created in a word processor, stayed in the original media, and paper printing was optional.

1. Paper is

- physical hard copy

- physical repository is dedicated to protection of the original

- duplication is removed

- one official copy is identified

2. Digital printed to paper

- mix of hard copy and digital

- processes grow complex

- the duplicate or copy may be the original or best available copy for admissibility

- paper is still the official original record

3. Digital only

- paper is deemed a non-record

- large volumes are easily moved, manipulated or stored

- a dedicated repository stores only electronic information, printing to paper is impractical

- more than one original exists

Grouping information together has changed

Records Management has evolved methods for managing large volumes of documents in groups (such as records series), rather than document by document detailing, which is effective with large collections of information. The organizational methodology of grouping can be applied to electronic document management with some modifications. While searching has been greatly automated, the natural working of our brains means that we are comfortable remembering and prioritizing a few large groupings in familiar language, and this memory aid is faster and more accurate for some people than waiting for automated search engines to produce 'hits'.

The challenge for records management is to re-introduce some basic functionality of recordness evaluation, accuracy, organization, protection and completeness when using electronic carriers.

Consistency between new and old formats

Confusion of terminology, and actions applied at different levels makes managing paper legacy in the same system with active digital structured documents a concern. Often paper is managed at a box or series grouping while electronic documents are managed at an item or folder specific level which defies standardization. In every case, the federated solution should help an organization achieve its information governance goals by streamlining the way it manages, controls and accesses information.⁸ The search result should be total and accurate, not piecemeal. New systems challenge the very nature of the records management understanding of creating and using active organizational records.

Access - the ability, right or permission to use or have admittance to specific information. The state or quality of being approachable.

Federation – the ability to access information and communicate between disparate content created in various electronic systems such as collaboration, workflow, and email. Comprehensive searching over all repositories is a key component. Thus the term federated search.

Preservation over time

Digital data allows better access, which promotes more creativity, but digital data is more fragile than are most preceding information carriers. Long term preservation needs tend to be overlooked with the promotion of increased speed. Migration is often the right option to deal with changing software and systems. Eliminating unneeded information continues to be important. It is unlikely that we can stop change. Technology provides so many advantages to information access to such a wide audience that it is the most effective solution to managing information.

The solution for long-term accessibility varies but should not be ignored. The sheer volume of information makes most preservation strategies costly. Imaging and older capture solutions are no longer workable. Best practices are evolving for digital preservation and industry requirements will drive future improvements. The digital dimension of information belongs to all sectors of society. Government at the federal, state, and local levels; industry; academia; foundations; international organizations; and individuals are all participants and have important interests in and capabilities for digital information preservation and access.⁹

Understanding the requirements of law is essential before undertaking the destruction of any records.

Evaluation - an activity establishing value that takes place many times while applying the elements of records management. Evaluation facilitates ways to provide structure in organizations for cost avoidance, due diligence and compliance. Evaluation is partly based on social values, and trends that influence the creating of information, the type of business that is successful, the direction of government and the support for non-profit activities.

Evaluation of a record

We live in a mature information age where information is increasingly electronic in format. Organizations usually do not need to be reminded to document. Records management cannot afford to focus on the old issues. Promotion will attend to current organizational needs.

All who use information and who are responsible for its accuracy need to be aware of the profession of records management. This overview promotes records management as both a technical profession and as a basic methodology that evolved over time through practical applications.

Information helps us to remember and repeat actions, to solve problems and to make decisions. Information must be useful to have value. However, with or without intent, information devolves in value over time in active organizations unless records management intervenes.

Being unable to find a summoned piece of information is not acceptable, nor is disposition based on fear of potential litigation.

Devolution is the inevitable descent over time into a state of arrested usage. Collections of information sit idle. Eventually old information is too stale to be useful. At various points in the application of elements of records management a business decision about the value of certain information is required. Identifying information as an official and complete record of business activity assists the business decision in evaluation.

Records have a social life. People draw on social and cultural resources to produce and reproduce social knowledge through their interactions. The organizational knowledge base is made up of records (information of value), which provide memory and reference. Records show the path of change in society and reflect values of a particular period.

One definition of records management is the profession of systematic, scientific, heuristic, technical and intellectual control and administration of all types of records required in the operation of an organization's business activities and functions to achieve the maximum value from record keeping processes and tools.

The position held by management, the work done, and the elements utilized determine how records management is viewed.

Records management borrowed from other fields for concepts and practices. Those fields include communications, knowledge management, project management, and systems analysis. Records management has its roots in Archival Management, Information Science, Organizational Theory, Cognitive Studies and Project Management and in the technical knowledge and legal standards of duplication, transformative imaging and storage. Templates are taken from these fields and adopted according to need.

Professions often develop jargon, words with specialist meanings, and records management was no exception. Over time, the traditional jargon has blurred. While changing the term records management is unlikely to be helpful, and this text uses some traditional records jargon, reviewing definitions provides for the evolution of technical tools. Sometimes, going back to the original paper carrier definitions clarifies the distortions, sometimes new jargon will emerge. Working with information technology, developing a common terminology for multi-format record collections provides a common background between professions. Various 'working' definitions are in use with confusing results. Words like file, document, information, control and knowledge have problematic and overused definitions. Working definitions that accommodate new technology are developed in this text.

Canadian Records Management

Canadian records management is influenced by the Evidence Act because it defines a court admissible record. Any legislation may define records for a jurisdiction. Canada has a unique form of administrative law which provides local control over decisions. Records admissibility and access to information influence the retention of important information. Law conducted in the United States has no legal precedent and is not a reference to Canadian records management applications.

Subject matter experts who conduct regulatory decisions at a local level through quasi-judicial boards develop the details of administrative law. These boards may require the production of books and records of organizations making applications or undergoing hearings or audits. The applicants are responsible for their own records. Applying retention and disposal rules to records, digital or otherwise, is often the basis for creating a records management programme in Canadian organizations because it ties in with cost reduction, official purpose and the organizational need.¹⁰

Changing laws and practice regarding documentation in light of Access to Information and Privacy Acts

The specific nature of Canadian law, in particular the Access to Information and Protection of Privacy legislation, challenged records disposal actions specifically for government. There is tension between the public right to transparency regarding government activity and the need to remove the cost of maintaining too many records for too long.

Avoidance of documentation is increasing with the nature of access to information law. Records creators are instructed to discontinue handwritten notes and annotations. Traditionally records management followed the premise of the more documentation the better. This is still true for private and for-profit organizations, but not for governments and regulatory boards. A restriction on documenting does not reflect the original intent of the legislation.

Court decisions, or precedent, refine legal interpretation of legislation. Records professionals read and research the original law itself, not interpretations or analysis that might be biased or overly simplified. Researching precedent is most important to records management. Precedent is made when a judge rules on a case in court. Judge's decisions become precedent.

Anything based on legislation is very likely to change. Management of change is critical to record keeping since change affects the very nature of active business records, adds to cost, and influences their use and destruction.

What is not Records Management?

Any project manager knows that the scope of a project will mention exclusions, things that are not part of the project. Since Records Management has such a generalized methodology, mentioning what is not part of the profession is important. By definition Records Management is not part of the profession of Archives, Library Science or Information Technology, although it may have borrowed heavily from those fields.

Records Management is not Mail Management, Reprographics, or Graphic Arts, although functionally they are sometimes combined activities in an organization because they are administrative the activities are not typical in records management installations.

Facilities Management, Security and Privacy and Risk Management are related to Records Management only in terms of the care of information carriers. There is a subtle boundary to consider when undertaking responsibility for security, communications or distribution activities.

Specific communications technologies such as voice mail, instant messaging, multi-media communications, and phone conferences are only of concern to records management if they are official carriers of unique information of the organization.

Issues related to the privacy, access to information, redaction, internet, social media, computer forensics, e-discovery, cross border sharing, governance and other data related security are new, and under consideration regarding relationships to records management. These new elements likely will be jointly managed with cross-matrix teams.

Strengths and Weaknesses of Records Management

All of us produce documents in our day-to-day activities, such as correspondence and financial papers. The volumes soon overwhelm. Rather than neglect and ignore the impact of productivity and the necessity to manage documents and records, we all need to be aware of the value of records management elements, principles and best practices. The elements of records management may be applied to all types and sizes of document production in all situations. Records management has been a separate profession for over fifty years, and in that time, it has had to change.

One of the strengths of records management is its use of policy, procedures and desk instructions to help others learn a standardized methodology. This technique can help anyone learn to build on their technical knowledge.

Records management strengths include:

- Facilitation of the application of elements is organization wide and industry independent

- Reporting structure can be anywhere in an organization

- Flexible in design, customizable, can start with any element

- Focus on business needs, cost avoidance and consistency

- Ability to adjust to the climate of interest in an organization

- Approach may be aligned with current organizational culture and values

- Timeless principles of identification, grouping and protection of active documentation

- Requires specialized knowledge of legal issues of admissibility and legislation

- Ability to see the global impact of information systems on records keeping

- Analysis methodologies and solution based approaches are corporate-wide

- Customer service adds value with a view to effective processes

- Best practices developed from experience over time and industries

- Ability to work with small collections with varied output, media, subject matter and goals.

The control of records created is sometimes seen as a strong aspect. Controls ensure that records may be maintained and retrieved efficiently for the use of the current administration and guarantees the effective management of records at all later phases in the life cycle. In records management control is seen as the positive comparison of results with planned goals and the process of feedback, evaluation and corrective action. The weakness of controls is that it ignores the advantage of the service aspect in records management.

Records management weaknesses include:

- Confusion in the definition of an official record

- Confusion between the need to protect records and the need for reasonable decision making about selective disposals

- Perception as an overhead cost or liability rather than as beneficial

- Staffing with entry-level skill sets leading to unusual expectations

- Emphasis on control rather than value

- Knowledge of technology is quickly outdated

- Modification of programme elements are case-by-case

- Emphasis on physical paper and hard copy records, on carrier rather than solutions

- Emphasis on procedural details, and templates

- Emphasis on industry knowledge, terminology specifics and specialized technology

- Confusion over terminology and traditional differences between IT and RM

- Confusion arising from the wide range of education and skill sets required

- Learning by doing in contrast to having clear parameters of study and research

A weakness in records management lays in confusion between

- the content of a document

- the attributes of a record

- the carriers of information

Concepts like these need to be carefully defined and are not interchangeable.

Culture of an organization is the internal character or personality of the organization. How the organization makes sense of reality. Individuals focus on a system of interpretation that helps them make sense of the world around them. Johann Herder, a German romantic, fathered the concept of corporate culture in the 18th. Century. It is important to ask how doing activities a certain way benefits the organization. It is the reflexive anxiety-reducing map of behaviour, which is usually resistant to change, unless positive change response and risk-taking is part of the culture.

A recent weakness in records management is the view that the latest technology reduces or eliminates the problems with keeping records. The integrity and complexity of an information system requires management by a person. While technology is often purchased on the promise of cost reduction, technology may simply increase the volume and speed of information, without reducing the need to identify and provide access to useful information over time. The person or human in the system ensures that the information stored has been checked for accuracy, completeness, quality and relevance.¹¹

This text looks at the essential role of records in underpinning business efficiency, accountability and the rule and practice of law. It examines the characteristics of records as reliable and accurate ‘evidence’ of the decisions and actions they document. It considers the principles of ‘records control’ and the fundamental requirements of a records management system. It then looks in detail at the mechanisms and practices governing the control of current records from the point of their creation.

Docket: an identification of a court case that tracks the documentation in a list or register or log.

Repository: a place where things are placed for safekeeping.

Information Repository: a large grouping of similar documents and records and information in a single system.

Professional requirements of records management

Records management was recognized as a profession as recently as the 1950’s, yet it has rapidly moved from physical methods to intellectual types of management elements. Records management is a profession well versed in flexibility and resilience. Records management is often a change agent, or facilitator of improvements for the entirety of an organization.

Professionals learn how to prepare organizational members through appropriate communications. People in organizations need to be informed about pending change by subject matter experts. Managers communicate how the organization plans to implement change. Professionals communicate what members will need to expect. If plans change, designated spokespeople communicate what is known and not known about the impact. Managers and executives continue to explain and refine communications while the plans are being worked on to maintain credibility. Organizational executives that tell members exactly what is happening and why are likely to maintain good leadership qualities and gain respect.

Records management will test satisfaction with change after implementation of either electronic or physical solutions. Alteration of areas of dissatisfaction uses quality control and service agreements along with appraisal methodology and performance audits. In records management responsibility for communication falls unexpectedly on the record keeper in an organization. Well written procedures may assist record keepers to find a professional approach to communication.

Record keepers who are not necessarily reporting to a records management function will be asked to participate in and assist with the decision making activities that produce new solutions and tools to make their work more effective. They will not be responsible for the actual analysis and development, design or schedules; but need to be aware of the basic elements of records management, especially the steps in the inventory and grouping elements, and why their participation contributes to programme success. They willingly provide accurate lists of information currently held under their care.

A non-technical person learning professionalism can and should build their systems knowledge through:

- Taking small learning steps

- Setting up a smaller network of experienced users across industry

- Include definitions of technical words, codes and abbreviations

- Make notes regarding potential procedural templates, and anything that represents a growing knowledge of the organization

- Building knowledge by documenting activities step by step

- Asking questions of experts in the field

- Take rough notes for developing a living, or green, knowledge base

- Learning the jargon

- Use of pictures, diagrams, flow charts, screen shots and procedural writing format and layout

- Building a knowledge base, reference tool or help menu that you understand.

- Using clear and simple language

- Reading resource material

Networking associations like ARMA (Association of Records Managers and Administrators) provide an international view of records management and access to information from many industries. The different viewpoints balance experiences and theoretical approaches. ARMA International has excellent resources for sale, including some generic standards and best practices papers aimed at guiding non-practitioners.

The records management list-serve (email distribution discussion threads) is an excellent networking resource where different countries and industries share help and best practices. Most provinces have local associations of Museums, Archives and technical associations like AIIM (Association for Information and Image Management) that provide invaluable educational and networking environments to members.

Computer science is not required for records management practitioners. Whatever the need to learn about difficult topics, not only the technology tools, but also the specialized knowledge that makes up collections of information in some industries, may be obtained through the steps outlined here. Keep in mind the important of adult learning characteristics. Adults learn what they need as they need it

Skills that complement RM include budgeting, marketing, communications, records management elements, project management and business analysis. Records management specialists learn how to exploit technology without immersion in short-lived systems or overly specific terminologies. Awareness of the business environment is essential.

Skills and knowledge may get a student into the workplace. Professional advancement is dependent on personal attributes and attitude. In Canada for the past three decades government employs a large number.¹² Work attitudes are changing in the ranks, in government and at management levels. Self awareness is essential.

Business turnaround and records management are deeply associated and change is expected. A list of suggestions for a personal survival guide follows.

- Train for a flexible attitude and an open inquiring state of mind.

- Hone communication, writing and listening skills.

- Learn and practice presentation skills, workshop development and understand basic marketing and statistical practices.

- Practice teaching others about the technology.

- Understand group behaviour, learn the basics of coaching and leadership, learn problem solving techniques, the simpler the better since styles change.

- Be aware that the support of peers and co-workers can make the difference between accomplishing a task skillfully or haphazardly.

- Realize that change is movement to something new and possible.

- Pick an industry that is sustainable over time, and get cross-industry experience.

- Be diverse, your culture can be your prison.¹³ In other words, school learning may have become out of date and what we learned in our last job may need a refresh.

- Embrace and learn to understand the current technologies.

- Learn how to access information, utilize current methods, be willing to self educate.

- Assume personal individual responsibility, be a 'company of one' (a book that suggested there is a need to be ready to market yourself as if you are a sellable company product at anytime in your career), be prepared with proposal and project templates on demand. Do not expect a life long job in one organization.

- Expect to have flexible work locations and variable hours of work, be highly mobile.

- Learn to handle more information more efficiently.¹⁴

Information professionals are likely to need several cross-discipline certifications in future. The old stand-bys for records management, projects and business process analysis, are coming back into style for information management professionals. Both RM and IT professions need to collect, define and manage customer requirements to succeed.

Some useful resources for records specialists monitoring technical trends include getting on list-serve distributions and registering for mailing lists of technical sites like Global Knowledge and TechRepublic.¹⁵ Research may involve both the work of finding sites that provide information and updates and then monitoring the volumes of information over time for anything relevant to records management.

Given the changing nature of some related subject matter, technology and legislation, the most important thing students need to learn is how to search and obtain the latest information. They need to be 'quick studies'. This text does not attempt to inform on subject matter that is likely to be quickly out of date, such as specific computer software tools and detailed legislative references, but may provide templates and examples as a springboard to learning.

Public versus Private Differences

Differences exist between public and for-profit private organizations, between government and industry. They result in variants in records management.

Definitions:

- Legislation

Public - Legislation and retention scheduling is specific to government departments or projects if stating records transfer and retention; the acts do not include private industry and should never be quoted as general rules, although they can be quoted as best practices.

Private for-profit - Some general rules are assumed under the Corporations Act for tax/financial and for identifying long term records. If the organization is not formed under the Corporations Act look for the umbrella legislation that allows it to exist.

- Access

Public – Transparency to the public with exceptions in legislation. Requirement for disclosure required by legislation. Likely to abandon or change a project that meets resistance internally.

Private for-profit - Protection of trade secrets and anything that might cause financial loss if disclosed, exempt from transparency, ethically accountable to the public welfare and to stakeholders. Protected from disclosure in order to keep competitive advantage.

- Departmental authority

Public - Departments tend to be loosely autonomous based on their unique services –compliance with an overriding body is not strong.

Private for-profit - Departments are closely aligned with head office structure and directives.

- Accountability

Public – Accountable to the public. Complex bureaucracy structure. Setting a benchmark in industry is valued.

Private for-profit