Gestion des documents d'archives
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La gestion des documents (en anglais records management) consiste à identifier, classer, archiver, préserver, et quelquefois détruire des documents dotés d'une certaine valeur juridique.
Le terme records management, est traduit généralement en français par « gestion des archives courantes et intermédiaires ». Cependant, l’usage du terme anglo-saxon, plus court et plus répandu, tend à s’imposer, entre autres pour les raisons suivantes, exposées dans l’introduction française de la norme internationale correspondante sur le records management, ISO 15489:2001.
« Le terme anglais “records” désigne les documents considérés dans leur dimension de preuve (et d’utilité dans le cadre de la conduite des activités de l’organisme émetteur), par opposition à “documents” (qui ne prend en compte que leur contenu informatif) et à “archives” (qui vise la portée historique). N’ayant pas en français d’équivalent strict, “records” est traduit ici par “documents d’archives” sauf lorsque le terme “documents” est suffisamment explicite dans le contexte, voire par “archives” lorsque le sens l’impose. » “Records” s'oppose en anglais à “draft” qui désigne les documents pas encore finalisés et approuvés par une autorité. Le traduire par “enregistrement” comme cela se fait souvent en France est donc une erreur.
Le records management est "le domaine de la gestion qui est chargé de contrôler efficacement et systématiquement la création, la réception, la maintenance, l'utilisation et la mise à disposition des documents, incluant les processus de saisie de l'information et de preuve sur les affaires et les transactions".
L'ISO définit les records comme l'"information créée, reçue, et maintenue comme preuve, par une organisation ou une personne, en cas de poursuites judiciaires, par obligation légale ou à des fins de conduite des affaires". Le Committee on Electronic Records du Conseil international des archives définit les records comme, "un élément spécifique d'information enregistrée, engendrée, collectée ou reçue lors de l'initiation, la conduite ou l'accomplissement d'une activité et qui comprend un contenu, un contexte, et une structure suffisants, pour fournir la preuve ou la mise en évidence de cette activité". Alors que “records” est souvent identifié au document sous sa forme traditionnelle, il peut être aussi bien un objet tangible qu'une information numérique qui a une valeur pour une organisation. Par exemple, les documents bureautiques , le contenu des bases de données ou des sites Internet ou Intranet, les données des applications et les courriels sont tous des “records”.
[modifier] La pratique de la gestion des documents
The practice of records management involves all of the following activities:
- Creating, approving, and enforcing records policies, including a classification system and a records retention policy
- Developing a records storage plan, which includes the short and long-term housing of physical records and digital information
- Identifying existing and newly created records, classifying them, and then storing them according to standard operating procedures
- Coordinate the access and circulation of records within and even outside of an organization
- Executing a retention policy to archive and destroy records according to operational needs, operating procedures, statutes, and régulations
Often, a records management system helps to aid in the capture, classification, and ongoing management of records throughout their lifecycle. Such a system may be paper based (such as index cards as used in a library), or may be a computer system, such as an electronic records management application.
[modifier] ISO 15489:2001 states that records management includes:
- setting policies and standards;
- assigning responsibilities and authorities;
- establishing and promulgating procedures and guidelines;
- providing a range of services relating to the management and use of records;
- designing, implementing and administering specialized systems for managing records; and
- integrating records management into business systems and processes.
[modifier] La gestion des documents de forme traditionnelle
Managing physical records involves a variety of diverse disciplines. At the simplest, physical records must be organized and indexed. In more complex environments, records management demands expertise in forensics, history, engineering, and law. Records management then resolves to being a coordination of many experts to build and maintain the system.
Records must be identified and authenticated. In a business environment, this is usually a matter of filing business documents and making them available for retrieval. However, in many environments, records must be identified and handled much more carefully.
- Identifying records. If an item is presented as a record, it must be first examined as to its relevance, and it must be authenticated. Forensic experts may need to examine a document or artifact to determine that it is not a forgery, or if it is genuine, that any damage, alterations, or missing content is documented. In extreme cases, items may be subjected to a microscope, x-ray, radiocarbon dating or chemical analysis to determine their authenticity and prior history. This level of authentication is rare, but requires that special care be taken in the creation and retention of the records of an organization.
- Storing records. Records must be stored in such a way that they are both sufficiently accessible and are safeguarded against environmental damage. A typical contract or agreement may be stored on ordinary paper in a file cabinet in an office. However, many records file rooms employ specialized environmental controls including temperature and humidity. Vital records may need to be stored in a disaster-resistant safe or vault to protect against fire, flood, earthquakes and even war. In extreme cases, the item may require both disaster-proofing and public access, which is the case with the original, signed US Constitution. Even civil engineers must be consulted to determine that the file room can effectively withstand the weight of shelves and file cabinets filled with paper; historically, some military vessels were designed to take into account the weight of their operating procedures on paper as part of their ballast equation (modern record-keeping technologies have transferred much of that information to electronic storage). In addition to on-site storage of records, many organizations operate their own off-site records centers or contract with commercial records centers.
- Circulating records. Records are stored because they may need to be retrieved at some point. Retrieving, tracking the record while it is away from the file room, and then returning the record, is referred to as circulation. At its simplest, circulation is handled by manual methods such as simply writing down who has a particular record, and when they should return it. However, most modern records environments use a computerized records management system that includes the ability to employ bar code scanners for better accuracy, or radio-frequency identification technology (RFID) to track movement of the records from office to office, or even out of the office. Bar code and RFID scanners can also be used for periodic auditing to ensure that unauthorized movement of the record is tracked.
- Dispositioning of records. Disposition of records does not always mean destruction. Disposition can also include transfer of records to a historical archive, to a museum, or even to a private party. When physical records are destroyed, the records must be authorized for destruction by law, statute, regulation, and operating procedure. Once approved, the record must be disposed of with care to avoid inadvertent disclosure of information to unauthorized parties. The process to dispose of records needs to be well-documented, starting with a records retention schedule and policies and procedures that have been approved at the highest level of an organization. An inventory of the types of records that have been disposed of must be maintained, including certification that the records have been destroyed. Records should never simply be discarded as any other refuse. Most organizations use some form of records destruction including pulverization, paper shredding or incineration.
[modifier] La gestion des documents électroniques
The general principles of records management apply to records in any format. Digital records however raise specific issues. It is more difficult to ensure that the content, context and structure of records is preserved and protected when the records do not have a physical existence. Guidance on the management of electronic records can be found on the websites of National and State Archives authorities listed below.
Unlike physical records digital records cannot be read without a computer or other machine. Functional requirements for computer systems that can be used to manage electronic records have been produced by the US Department of Defense DoD 5015.2, the National Archives of England & Wales [1] and the European Union MoREQ.
Particular concerns exist about the ability to retain and still be able to access and read digital records over time. Digital records require a particular combination of software version and operating system to be accessed and are at risk because of the rate at which technological changes occur. A considerable amount of research is being undertaken to address this issue.
[modifier] Les problèmes actuels en gestion des documents
As of 2005, records management has increased interest among corporations due to new compliance regulations and statutes. While government, legal, and healthcare entities have a strong, historical records management discipline, general record-keeping of corporate records has been poorly standardized and implemented. In addition, scandals such as the Enron/Andersen scandal, and more recently records-related mishaps at Morgan Stanley, have renewed interest in corporate records compliance, litigation preparedness, and issues. Statutes such as the US Sarbanes-Oxley Act have created new concerns among corporate "compliance officers" that result in more standardization of records management practices within an organization. Most of the 90s has seen discussions between records managers and IT managers, and the emphasis has expanded to include the legal aspects, as it is now focussed on compliance and risk.
Privacy, data protection, and identity theft have become issues of interest for a records manager. 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.
Related topics of current note include: information lifecycle management and enterprise Content Management.
[modifier] Formation et certification
Records management, being a complex practice, involves many years of education and practice for full mastery. Many colleges and universities offer degree programs in library and information sciences. Furthermore, there are professional organizations such as the Association of Records Managers and Administrators (ARMA International) and the Institute of Certified Records Managers that work together to provide a separate, non-degreed, professional certification for practitioners, the Certified Records Manager or CRM. Additional educational opportunities are also available from AIIM International. Education and training courses and workshops on scientific and technical records full lifecycle management and the Quality Electronic Records Practices Standards (Q-ERPS) are available from CENSA, the Collaborative Electronic Notebook Systems Association.
[modifier] Les fournisseurs de gestion des documents
[modifier] Les systèmes de gestion des documents
A records management system 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. Records management systems commonly provide specialized security and auditing functionalities tailored to the needs of records managers.
The National Archives and Records Administration (NARA) has endorsed the U.S. Department of Defense 5015.2-STD 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 (JITC) which builds test case procedures, writes detailed and summary final reports on 5015.2-certified products, and performs on-site inspection of software.
[modifier] Les entreprises spécialisées
Commercial records centers are facilities which specialize in the storage of paper and electronic records for organizations. Commercial records centers provide high density, secure storage for paper records and can provide climate controlled storage for sensitive non-paper media. The trade organization for commercial records centers is PRISM International.
[modifier] Voir aussi
- DIRKS, Design and Implementation Of Record Keeping Systems
- ICRM, Institute of Certified Records Managers
- The National Archives (UK) , The National Archives
- Picture archiving and communication system
- Relational database management system
- Design Criteria Standard for Electronic Records Management Software Applications
[modifier] Sources of Background Information
- Article "Why Records Management?" by Priscilla Emery
- Descriptions from ARMA
- Descriptions from NARA
- Citations by CiteSeer
- Resources from RMS
- Records Management links and information from Ireland
- Guidance from the National Archives of Australia
- Guidance from the UK National Archives
- Guidance from the State Records Authority of New South Wales
- Guidance from the International Records Management Trust
- European Model Requirements for Managing Electronic Records (MoReq)
- Glossary of Records Management Terms
[modifier] Records Management Company pages
- New York Document Scanning Services
- Archives Consulting Services
- Alliance PaperChase
- Andrews Software, Inc.
- EDCO Group Inc.
- FileNet
- FileHold Systems, Inc.
- FileMan
- FileTrail
- Hummingbird
- Hyperwave eRecords Suite
- Interwoven Records Manager
- Invu
- infoRouter Records Management
- Meridio
- Open Text
- Saperion
- Thomson Elite
- TOWER Software
- UGS PLM Solutions
- Vignette
- XDM Software
