Record Management

Ensure that appropriate attention and protection is given to all records, and that the evidence and
information they contain can be retrieved more efficiently and effectively.


Record management is the field of management responsible for the efficicent and systematic control of the creation, receipt, maintenance, use and disposition of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records. The records are information created, received, and maintained as evidence and information by and organization or person, in pursuance of legal obligations or in the transaction of business.

Record management governs the practice both of records managers and of any person who creates or uses records in the course of their business activities. Records management in an organization includes:

  • Setting policies and standards.
  • Assigning responsibilities 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.
  • Integrating records management into business systems and processes.

All organizations need to identify the regulatory environment that affects their activities and requirements to document their activities. The policies and procedures of organizations should reflect the application of the regulatory environment to their business processes. An organization should provide adequate evidence of this compliance with the regulatory environment in the records of its activities.

An organization should establish, document, maintain and promulgate policies, procedures and practices for records management to ensure that its business need for evidence, accountability and information about its activities is met.


Records are created, received and used in the conduct of business activities. To support conduct of business, comply with the regulatory environment, and provide accountability, organizations should create and maintain authentic, reliable and useable records, and protect the integrity of those record for as long as required. To do this, organizations should institute and carry out a comprehensive records management programmer which includes :

  • Determining what records should be created in each business process, and what information need to be included in the record.
  • Deciding in what form and structure records should be created and captured, and the technologies to be used.
  • Determining what metadata should be created with the record and through records processes and how that metadata will be persistently linked and managed.
  • Preserving record and making them accessible over time, in order to meet business requirements and community expectations.
  • Ensuring that records are maintained in a safe and secure environment.
  • Identifying and evaluating opportunities for improving the effectiveness, efficiency or quality of its processes, decisions, and actions that could result from better records creation or management.
  • Determining requirements for retrieving, using and transmitting records between business processes and other users and how long they need to be kept to satisfy those requirements.
  • Deciding how to organize record so as to support requirements for use.
  • Assessing the risks that would be entailed by failure to have authoritative records of activity.
  • Complying with legal and regulatory requirements, applicable standards and organizational policy.
  • Ensuring that records are retained only for as log as needed or required.

File plan

A file plan is a comprehensive outline that includes the records series, file organization, active file locations, file transfer instructions, file retention and disposition instructions, and other specific instructions that provide guidance for effective management of records.

OpenKM file plan specify how records are to be organized once they have been created or received, provide a "roadmap" to the records created and maintained by an organizational unit, and facilitate dispositioning of the records.

The file plan is created by detailing the file series of the records in your organizational unit, as well as information about how they are managed and by whom, incorporating the following information into your file plan.


OpenKM file plan describes every type of records in the organization, the location where they should be stored, the rules applying to them, the retention schedule and timeline, manner of their disposition, and the person or persons responsible for their management. It consists of :

  • Describe the kinds of items the organization acknowledges to be records.
  • The classification of the records into wide range of categories.
  • Indicate where records are stored.
  • Describe retention periods for records.
  • Delineate who is responsible for managing the various kinds of records.


It allows inheritance between file series.

  • Inherit from parent file series to child one.
  • Extend file series.
  • Clone file series.


Set security by file series of the record.

  • Security based on OpenKM plugin system.
  • Create your own dynamic security for each file series. For example, based on metadata values.

Record manager

  • Record manager based on OpenKM plugin system.
  • Create your own dynamic logic for each file series. For example, based on metadata values the file series can be promoted as "record" status.
  • Dynamic logic for evaluating "promote as record".


Define common searches based on file series of record.

Classification of business activities

Classification of business activities acts as a powerful tool to assist the conduct of business and in many of the processes involved in the management of records :

  • Providing linkages between individual records with accumulate to provide a continuos record of activity.
  • Ensuring records are named in a consistent manner over time.
  • Assisting in the retrieval of all records relating to a particular function or activity.
  • Determining security protection and access appropriate for sets of records.
  • Allocating user permissions for access to, or action on, particular groups of records.
  • Distributing reponsibility for management of particular sets of records.
  • Distributing records for action.
  • Determining appropriate retencion periods and disposition actions for records.

Classification System

Classification system reflect the business of the organization from which they derive and are normally based on an analysis of the organization's business activities. The system can be used to support a variety of records management processes.


  • Cataloging based on OpenKM plugin system.
  • Create dynamic destination based on record values.
  • Dynamic wizard requiring to the user for metadata values based on file serie of the record.


  • Disposition based on OpenKM plugin system.
  • Set retention schedule and period.
  • Create dynamic disposition based on record values.

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