Understanding the differences - Records and Documents and Data

Understanding the Differences and Similarities Between Records, Documents, and Other Types of Information

Last week, I was asked again to explain the differences between a document and a record, and between a record and data in a system or database. I posted a simple version of my response.? However, for the records and information management professional, you may need to dig a little deeper to prepare for the additional questions that may arise.

This article looks at the distinctions and overlaps between records, documents, and other pieces of information such as media, data, and emails. We will also explore relevant ISO standards that guide the management of these different types of information, covering compliance and best practices with examples from case study implementations.

1. Introduction

Effective information management is essential for any organization. This encompasses understanding what constitutes a record versus a document and recognizing the role of other types of information such as media, data, and emails. By leveraging established ISO standards, organizations can ensure they handle their information assets efficiently, comply with legal and regulatory requirements, and support their operational needs.

2. Understanding Records and Documents

Definitions

Record: According to ISO 15489-1:2016, a record is "information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business." Essentially, a record serves as evidence of an organization’s activities, decisions, and operations, and has a specific lifecycle dictated by these needs. And in the government space, records are preserved as the cultural memory and heritage of a nation.

Document: A document is generally defined as information and its supporting media with a fixed content that is recorded and can be retrieved. A document can be in any format or medium and may include text, data, and images that can be stored physically or digitally. Documents serve a variety of purposes such as communication, referential documentation, or operational uses within an organization.

Differences between Records and Documents

It is important to note that the main difference between a record and a document lies in their intended purpose and use within an organization:

• Purpose and Function: Records act as evidence of business transactions, activities, or decisions and are often subject to regulatory, compliance, and governance standards. Documents, however, can be used for broader purposes, not necessarily linked to evidentiary needs, such as drafts, worksheets, or presentations.
• Lifecycle and Retention: Records have defined lifecycles and retention schedules that are often dictated by legal, regulatory, or organizational requirements, ensuring they are preserved or disposed of systematically. Documents may not always have such stringent lifecycle requirements and can be kept or discarded based on immediate business needs or personal preferences.
• Formality and Structure: Records are typically formal in nature and must be maintained in a structured format to ensure authenticity, reliability, and integrity. Documents may range from very formal to informal and might not always need to adhere to the strict formats that records require. Your organization will have established business rules to advise you when to make a document a record.

3. Other Types of Information

Media

Media refers to the various channels through which information is stored or communicated. This includes images, videos, audio files, and multimedia presentations. Media can serve as both records and documents depending on their content and purpose.

Data

Data encompasses raw facts and figures that can be processed to generate meaningful information. In databases, data can be structured (like tables in a relational database) or unstructured (like text files). Data can be classified as records if it serves as evidence of business activities, such as transaction logs or customer records.

Emails

Emails are the most common form of communication within organizations. They can be considered records if they contain information related to business transactions, decisions, or legal obligations. Otherwise, they might simply be documents used for communication purposes.

4. ISO Standards for Managing Records and Documents

Implementing ISO standards helps organizations manage their records and documents effectively, ensuring compliance with best practices and legal requirements. Here are some key ISO standards relevant to records and document management:

ISO 15489 Series

• ISO 15489-1:2016: This standard provides the framework for managing records, in any format or media, throughout their lifecycle.
• ISO 15489-2:2001: Offers practical guidance on implementing the principles outlined in Part 1, tailored to organizational needs.

ISO 16175 Series

• ISO 16175-1:2020: Focuses on the requirements for records management software, ensuring such systems are capable of managing records consistently with principles of records management.
• ISO 16175-2:2011: Provides detailed guidelines and functional requirements for digital records management systems, particularly how to manage records created or received in office environments.
• ISO 16175-3:2010: Specific to business systems that create and manage records, offering guidelines on ensuring such systems adhere to records management principles.

ISO 23081 Series

• ISO 23081-1:2017: Focuses on the principles underlying the creation, management, and use of metadata for managing records effectively across their lifecycle.
• ISO 23081-2:2009: Deals with the issues associated with implementing metadata in records management systems.
• ISO 23081-3:2011: Provides a method for assessing the effectiveness of metadata implementation in records and document management systems.

5. Practical Implementation in the Workplace

Establishing a Records Management Policy

Developing a comprehensive Records Management Policy or General Order is essential. This should include definitions of what constitutes a record in the context of the organization's operations, ensuring clarity and consistency in managing records and documents.

Training and Awareness

Ensuring that all employees understand what constitutes a record and the importance of proper management is crucial. Regular training sessions and communication efforts can help build a culture of effective records management within the organization.

Regular Audits and Reviews

Periodically reviewing the records management process and terminology ensures they remain relevant and effective as the organization and regulatory landscape evolve. Regular audits can help identify areas for improvement and ensure compliance with established standards and best practices.

In-Depth Discussion and Implementation Details

Understanding the Lifecycle of Records and Documents

The lifecycle of records and documents encompasses creation, maintenance, use, and eventual disposition. Each phase requires specific actions to ensure information remains accessible, reliable, and compliant with regulatory requirements.

• Creation: At this stage, records and documents are generated during business activities. It's essential to capture accurate and complete information.
• Maintenance: This involves storing records and documents securely, ensuring they are protected from unauthorized access, alteration, or destruction.
• Use: During this phase, records and documents are accessed and used for business purposes. Proper classification and indexing are crucial for efficient retrieval.
• Disposition: This final stage includes either the destruction of records and documents that are no longer needed or their transfer to an archive for long-term preservation.

Metadata Management

Metadata plays a critical role in records and document management. It provides context, making information easier to locate, understand, and manage. Implementing standards like ISO 23081 ensures metadata is used effectively to support the lifecycle management of records.

• Types of Metadata: Descriptive (describes the content), structural (describes how the content is organized), and administrative (provides information about the management of the content).
• Implementing Metadata Standards: Use ISO 23081 to define and manage metadata consistently, ensuring interoperability and long-term accessibility of records.

Challenges and Solutions in Information Management

Organizations often face challenges in managing records and documents, such as:

• Volume of Information: The sheer amount of information generated can be overwhelming. Implementing automated (AI) systems for classification and retention can help manage this volume effectively. These are improving all the time.
• Compliance Requirements: Keeping up with changing laws and regulations can be challenging. Regular audits and updates to records management policies ensure ongoing compliance. Many government agencies are now mandating audit reporting back to them annually.? Assessing against these requirements is useful for private organizations too.
• Employee Training: Ensuring all employees understand records management principles is crucial. Continuous training and clear communication can address this challenge.

Practical Steps for Implementing a Records Management Program

The following steps offer an action checklist yo improve the health of records management practices in your organisation.

1. Assessment: Conduct an initial assessment to understand the current state of records and document management within the organization.
2. Policy Development: Develop or update records management policies to align with ISO standards and organizational needs.
3. System Implementation: Choose and implement records management software that meets the functional requirements outlined in ISO 16175. Assess your current systems to identify gaps to create awareness with executives of current vulnerabilities.
4. Training and Communication: Conduct regular training sessions and maintain open lines of communication to ensure all employees understand their roles in records management.
5. Monitoring and Review: Establish a routine for monitoring and reviewing the effectiveness of the records management program, adjusting as needed.

?Future Trends in Records and Document Management

The field of records and document management is continually evolving, with several emerging trends:

• Digital Transformation: The shift to digital records and documents requires robust electronic records management systems and policies.
• AI and Automation: Artificial intelligence and automation technologies are increasingly being used to manage records and documents, enhancing efficiency and accuracy.
• Data Privacy and Security: With growing concerns about data privacy and security, organizations must ensure their records management practices comply with relevant regulations and best practices.

Case Study: State Government Department's Evolving Journey to Effective Records and Metadata Management

Background:

A large state government department, with a workforce of 5000 employees, faced significant challenges in managing its records across various divisions across a wide geographic area. The department's records management practices were fragmented and inconsistent, with over 275 different systems and applications in use.

There was a heavy reliance on paper files, including printing electronically born information for physical storage. This approach led to siloed record-keeping systems, making it difficult to manage and retrieve information efficiently. Siloed databases populated the network and in remote locations as stand-alone.

The department embarked on an ambitious digital transformation journey to streamline its records management processes, ensure compliance with legal requirements, improve operational efficiency, and unify its disparate systems under a cohesive framework.

?Their ambition was to not only be compliant with governing legislation but to be predictive and proactive in providing the community with the services they were established to deliver for the wellbeing of all citizens.

Implementation:

1. Initial Assessment and Strategic Planning: The department began by bringing in specialists to assist them in conducting a comprehensive assessment of its current records management practices. This involved identifying all types of records generated across the 275 systems and applications, assessing storage methods (both physical and digital), and evaluating the retention schedules in place. The analysis revealed significant inconsistencies and inefficiencies, highlighting the need for a unified approach.
2. Developing Unified Policies: Based on the assessment findings, the department developed a comprehensive Records Management Policy in line with ISO 15489-1:2016. This policy clearly defined what constituted a record, established retention schedules for various types of records, and outlined procedures for proper records disposal.
3. Metadata: Recognizing the importance of metadata, the department also developed a Metadata Management Policy based on ISO 23081-1:2017 and ISO 23081-2:2009. This policy aimed to create a standardized framework for managing metadata, ensuring consistency and improving the discoverability of records. This is now in the process of being implemented as systems are being retired and replaced.
4. System Enhancement and Integration: The department embarked on a project to adopt a new records management system capable of handling both physical and digital records. This system was selected based on its compliance with ISO 16175 standards, ensuring it could meet the functional requirements for managing records consistently. They are now upgrading existing systems to support the new metadata standards and developing a taxonomy and information governance model that covers all information assets, ensuring interoperability and long-term accessibility.
5. Training and Communication: With 5000 employees to bring on board, the department knew that effective training and engagement were crucial. They are delivering an ongoing training program that includes online and hands-on training sessions to educate employees about the importance of sound records management and how to apply the organization’s simplified business rules. ?Much of the pain has been removed since installing the replacement solution. Regular communication campaigns are organized to keep employees informed about the progress of the digital transformation. A network of records management and metadata champions has been established within each division to provide ongoing support and guidance.
6. Monitoring, Review, and Continuous Improvement: The department established a Records Management User Group responsible for monitoring compliance with the new policies. This group conducts regular audits to ensure that records are being managed according to the defined rules and procedures. User support is given when an ‘amber’ light is raised to support the individual and/or business area to work within the organizational requirements. The agency has begun to use the self-assessment method outlined in ISO 23081-3:2011 to evaluate the effectiveness of its metadata implementation. Regular assessments help identify areas for improvement, and feedback from employees is actively sought to make necessary adjustments. The agency has established a continuous improvement program to ensure that records and metadata management practices remain relevant and effective.

Outcome:

The department is midway through its transformational journey, but significant improvements have already been realized:

1. Improved Discoverability and Accessibility: Records are becoming more easily searchable and retrievable, enhancing discoverability. The new metadata standards build consistency across systems, making finding and accessing the information needed easier.
2. Operational Efficiency: The unified approach to information management is eliminating redundancies and streamlining processes, leading to improved operational efficiency. The department has reduced its reliance on paper files, minimizing the need to print electronically born information, and has moved towards a more sustainable, digital-first approach.
3. Employee Engagement and Compliance: The comprehensive training and engagement program supports all 5000 employees to understand the importance of proper records management and helps them to apply their learnings. The network of metadata champions provides ongoing support, fostering a culture of continuous improvement and compliance. Building a sustainable model for onboarding new staff ensures long-term success. More engagement between staff is building resilience into the corporate information assets as language and understanding barriers come down and common language and terminology is used within the organization.
4. Enhanced Information Governance: The development of a taxonomy and information governance model provides a clear framework for managing all information assets. This ensures that records are not only managed effectively but also aligned with regulatory requirements and best practices.
5. Long-Term Sustainability: The department’s commitment to continuous improvement and regular self-assessments ensures that its records and metadata management practices will remain relevant and effective over time.

This organization has introduced these changes by appealing to the motivations that their users embrace: long-term sustainability and the effective delivery of its mission to the public in an increasingly advanced technological environment. Recognizing the necessity for change, they understood the importance of collaboration beyond their local environment. Their approach is driven by a desire to better serve the public in a global landscape that is both uncertain and rapidly evolving. By leveraging ISO 15489 for records management and ISO 23081 for metadata management, the department is transforming its information management practices, improving operational efficiency, and ensuring compliance. This collective effort is essential for achieving their vision.

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