This version of the course guide is provisional until the period for editing the new course guides ends.

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2022/2023

Records Management System

Code: 42112 ECTS Credits: 10
Degree Type Year Semester
4312208 Archival and Records Management OB 2 1

Contact

Name:
Raimon Nualart Mercade
Email:
raimon.nualart@uab.cat

Use of Languages

Principal working language:
catalan (cat)

Other comments on languages

L1: Course material also in Spanish

Teachers

Blanca-Georgina Biarge Gallardo

Prerequisites

L1: Records Management System

No requirements


L2: Digital records and digital preservation

No requirements

Objectives and Contextualisation

L1: Records Management System

Student will be able to:

  • Design a Records Management System (RMS) adequate for the necessities and resources of an Organization.
  • Plan the implementation of RMS.
  • Understand components, tools and instruments integral to RMS and their relations and interdependencies.
  • Set up RMS.
  • Evaluate and improve the RMS.


L2: Digital records and digital preservation

Student will be able to:

  • Identify and know the structure, components and characteristics of electronic records with respect to integrity, reliability and authenticity.
  • To learn and know the value of the electronic signature and the services related to the digital certification.
  • To know the services of electronic administration applicable to the management of electronic records.
  • Understand the role of metadata in the administration, management and retrieval of electronic records.
  • Acquire knowledge and skills to design and implement metadata schemes.
  • Define and apply methods and techniques to manage electronic records: capture, classification, description, evaluation and access.
  • Learn how to develop digital preservation policies to address the long-term preservation issues of electronic records.
  • Learn how to design an electronic record management system and digital archive.

Competences

  • Adapt to new situations, showing leadership and initiative abilities.
  • Analyse the structure and functioning of public and private organisations.
  • Analyse the structure of electronic documents.
  • Analyse, synthesise, organise and plan management environments and actions.
  • Apply requirements and standards (integrity, authenticity, preservation, metadata ...) in managing electronic documents.
  • Carry out team work in interdisciplinary ways.
  • Continue the learning process, to a large extent autonomously.
  • Design document-management systems and apply these to organisations.
  • Evaluate and select computerised document-management tools for archives according to their use and needs.
  • Generate innovative and competitive proposals.
  • Update and recycle knowledge through continuous training.
  • Work independently, solving problems and making decisions.

Learning Outcomes

  1. Adapt to new situations, showing leadership and initiative abilities.
  2. Analyse, synthesise, organise and plan management environments and actions.
  3. Apply archival processing to electronic documents and to defining and applying metadata.
  4. Carry out team work in interdisciplinary ways.
  5. Continue the learning process, to a large extent autonomously.
  6. Control systems of preservation for electronic documents.
  7. Create and manage document management systems.
  8. Evaluate the benefits of software for document management and archiving.
  9. Generate innovative and competitive proposals.
  10. Identify and analyse archival function in the context of electronic administrations.
  11. Identify and define software requirements for document management and archiving.
  12. Identify the procedures of organisations.
  13. Identify the properties of electronic documents in archives.
  14. Recognise computer security systems.
  15. Recognise international standards and recommendations on the electronic management of documents and electronic documents.
  16. Recognise the components and features of electronic documents.
  17. Recognise the operation and application of digital certification and digital signature.
  18. Update and recycle knowledge through continuous training.
  19. Work independently, solving problems and making decisions.

Content

L1: Records Management System

Introduction to general theory of Systems

Main principles of record management

Processes of RM

Tools to implement RM processes

Design and implementation of RMS (DIRKS methodology. Identification of risks and priorities. Technologies and Applications. Change management)

International standards for RM

Continuous improvement and monitoring of the System. Indicators for its evaluation

Digitalisation of companies and RM


L2: Digital records and digital preservation

Unit 1 - Electronic record.

Definition. Components. Characteristics. Types and formats. Problems of electronic records. Archival models in the management of electronic records. Legal value of electronic records. The electronic record in the NTI. Data management and archiving. The big data phenomenon

Unit 2 - Digital certification and electronic signature

Digital certificate and authentication mechanisms. Digital certification in the Catalan Public Administration. Electronic signature. Regulatory Framework. Policy of electronic signature and certificates of the Administration in the NTI.

Unit 3 - Electronic  administration

Definition. The rights and duties in e-government. The Catalan model of e-government. Catalogue of services offered by the Consorci AOC. Open Data and transparency.

Unit 4 - Management of electronic records

The integration of electronic records in the RMS.The electronic file in the NTI and LPACAP. Record management processes and their specificities in an electronic environment. Record management policy in the NTI. Cloud computing and Records Management System.

Unit 5 - Design of a Records Management System.

Case study in the Catalan administration.

Unitat 6 - Preservation and digital archive

Introduction and basic concepts on digital preservation. Digital preservation strategies and techniques. Digital preservation policies and plans. The digital archive.

Methodology

L2: Digital records and digital preservation

The teaching methodology will combine the teacher's explanations in the classroom or online; the joint activities of discussion and exposition; the individual and group exercises in the classroom and the individual exercises outside the classroom, which can be evaluated.

This methodological combination should facilitate the learning of the concepts necessary to pass this course, as well as putting theory into practice the resolution of situations and in decision making when confronting approaches and cases linked to the course.

Annotation: Within the schedule set by the centre or degree programme, 15 minutes of one class will be reserved for students to evaluate their lecturers and their courses or modules through questionnaires.

Activities

Title Hours ECTS Learning Outcomes
Type: Directed      
L1: Online participative and interactive lessons 18 0.72 2, 7, 12, 10, 11, 5, 15, 19
L1: Practical lessons 15 0.6 18, 1, 2, 7, 9, 12, 5, 15, 4
L2: Online participative and interactive lessons 10 0.4 18, 3, 8, 6, 9, 12, 10, 11, 13, 5, 17, 16, 15, 14, 19
L2: Practical lessons 18 0.72 18, 1, 3, 8, 6, 7, 11, 13, 17, 16, 15, 14, 19, 4
Type: Supervised      
L1: Coursework activities and practical work 29 1.16 18, 1, 8, 7, 9, 12, 10, 11, 5, 14, 19
L2: Coursework activities and practical work 25 1 1, 2, 3, 8, 6, 11, 13, 17, 16, 15, 14, 19, 4
Type: Autonomous      
L1: Study and analysis of cases. Readings 28 1.12 2, 8, 7, 12, 10, 11, 5, 14, 19, 4
L2: Study and analysis of cases. Readings 37 1.48 18, 3, 8, 6, 12, 10, 11, 13, 17, 16, 15, 14

Assessment


To pass the module, you must pass both courses

L1: Records Management System


Coursework activities will take place sequentially throughout the course and must be completed within an indicated timeframe. Lower marks will result in the following cases:

  • Unjustified delays in meeting deadlines
  • Accumulations of errors in spelling and grammar

Please note that a minimum of 50% must be achieved (5 out of 10). In cases where the minimum is not achieved it is possible to do a recuperation activity.


L2: Digital records and digital preservation

In case the student does not pass this course, there is a system of recovery based on a final theoretical based exam. In order to participate in the recovery of the student body, the weight of which is equivalent to a minimum of two thirds of the total qualification of the course must have been previously evaluated in a set of activities.

Assessment Activities

Title Weighting Hours ECTS Learning Outcomes
L1: Realisation and presentation of coursework activities 50 % 35 1.4 18, 1, 2, 8, 7, 9, 12, 10, 11, 5, 14, 19, 4
L2: Practice Unit 2 15 % 10 0.4 18, 1, 2, 9, 13, 5, 17, 16, 19
L2: Practice Unit 3-4 15 % 10 0.4 18, 1, 2, 3, 8, 7, 9, 12, 10, 11, 13, 15, 19, 4
L2: Practice Unit 6 20 % 15 0.6 18, 1, 8, 6, 9, 10, 11, 13, 5, 16, 15, 14, 19

Bibliography

L1: Records Management System

 

AENOR. UNE-ISO/TR 18128 IN. Información y documentación. Apreciación del riesgo en procesos y sistemas de gestión documental. AENOR.

AENOR. UNE-ISO 15489-1. Información y documentación. Gestión de documentos. Parte 1: Conceptos y principios. AENOR.

AENOR. UNE-ISO/TR 26122 IN. Información y documentación. Análisis de los procesos de trabajo para la gestión de documentos.

AENOR. UNE-ISO 30300. Información y documentación. Sistemas de gestión para los documentos. Fundamentos y vocabulario. AENOR.

AENOR. UNE-ISO 30301. Información y documentación. Sistemas de gestión para los documentos. Requisitos. AENOR.

AENOR. UNE-ISO 30302. Información y documentación. Sistemas de gestión para los documentos. Guía de implantación. AENOR.

Archives and Records Management Section of the United Nations. (2006). Manual for the Design and Implementation of Recordkeeping Systems (DIRKS ). Archives, (June), 1–230.

ARMA International. (n.d.). Evaluating and Mitigating Records and Information Risks.

ARMA International. (2014). Generally Accepted Recordkeeping Principles, 1–10. Retrieved from http://www.arma.org/r2/generally-accepted-br-recordkeeping-principles

Bedford, D., & Morelli, J. (2006). Introducing information management into the workplace: A case study in the implementation of business classification file plans from the Sector Skills Development Agency. Records Management Journal, 16(3), 169–175. https://doi.org/10.1108/09565690610713228

Bell, H. (2005). A Review of EDRMS Resources in the UK and Europe. Records Management Journal, 15(3), 168. https://doi.org/10.1108/rmj.2005.28115cae.002

Brito Marquina, A. (2015). La normalización como elemento de competitividad y de potencial exportador. Economía Industrial (EI), 396, 33–42.

Bustelo Ruesta, C. (2009). La Gestión de documentos y las evidencias en las organizaciones. Del plano operativo al plano estratégico: una propuesta desde la normalización. Revista Española de Documentación Científica, 32(4), 157–161.

Bustelo Ruesta, C. (2011). Serie ISO 30300: Sistema de gestión para los documentos, (2). Retrieved from www.sedic.es/DT-n2-SEDIC-ISO30300.pdf

Bustelo Ruesta, C. (2012). La normalización internacional en información y documentación: ¿una historia de éxitos? El caso de la normalización ISO en gestión de documentos. Métodos de Informacion, 3(4), 039–046. https://doi.org/10.5557/IIMEI2-N2-039046

Casadesús de Mingo, A. (2015). Gestión de riesgos aplicada a la gestión de documentos: una metodología para garantizar una rendición de cuentas confiable. I Xornadas Fundación Olga Gallego, 1(1), 119–135.

Casadesús de Mingo, A. (2017). La normalización en gestión documental más allá de los clásicos, 1–13.

Dikopoulou, A., & Mihiotis, A. (2012). The contribution of records management to good governance. The TQM Journal, 24(2), 123–141. https://doi.org/10.1108/17542731211215071

Grupo de Difusión del CTN 50-SC1. (2012). Normalización en el sector documental. Revista Española de Documentación Científica, 35(1), 175–178.

Hofman, H. (2006). Standards: Not “One Size Fits All”. The Information Management Journal, 40.3(June). https://doi.org/10.1080/19496591.2015.1067224

Koga, T., & Ogawa, C. (2007). Implementation of the DIRKS Methodology byInternational Organizations: The Case of the United Nations. Archives and Records Association of New Zealand (ARANZ) 2007 Conference in Auckland.

Lemieux, V. (2004). Managing Risks for Records and Information. Lenexa, Kansas: ARMA International.

Llansó Sanjuan, J. (2009). El proceso de normalización en el AENOR/CTN50/SC1: Gestión de documentos y aplicaciones. Arch-E. Revista Andaluza de Archivos, (1).

Macintosh, S., & Real, L. (2007). DIRKS: Putting ISO 15489 to Work. The Information Management Journal, 50–56.

Moro Cabero, M. (2011). Certificación de calidad en los archivos. Análisis y prospectiva. Revista Española de Documentación Científica, 34(3), 447–460. https://doi.org/10.3989/redc.2011.3.815

National Archives of Australia. (2001). Dirks Step a – Preliminary, (September).

Núñez Fernández, E. (2007). Archivos y normas ISO. Gijón: Ediciones Trea.

Oliver, G. (2007). Implementing international standards: first, know your organisation. Records Management Journal, 17(2), 82–93. https://doi.org/10.1108/09565690710757887

Swan, K., Adrian Cunningham, Robertson, A., & Cunningham, A. (2002). Establishing a high standard for electronic records management within the Australian public sector. Records Management Journal, 12(3), 79–86. https://doi.org/10.1108/09565690210454761

L2: Digital records and digital preservation

ALAMILLO, Ignacio (2005). ABC de la signatura electrònica. 1a ed. Barcelona: Entitat Autònoma del Diari Oficial i de Publicacions. 206 p.

BARNARD,  Alicia [comp.] (2011). Archivo electrónico. Textos y contextos. 1a ed. Puebla: Benemérita Universidad Autónoma de Puebla. Archivo Histórico Universitario (Serie Formación Archivística)

BUSTOS PRETEL, Gerardo [coordinador] (2020). La gestión del documento electrónico. El consultor de los ayuntamientos

BLASCO, José Luís; FABRA, Modesto J. [ed.] (2008). El documento electrónico: aspectos jurídicos, tecnológicos y archivísticos. Castelló: Universitat Jaume I (Estudis jurídics,16).

Consultor de los ayuntamientos y de los juzgados: Revista técnica especializada en administración local y justicia municipal. Núm. 7, 2017: La gestión documental en la nueva administración digital

CRUZ MUNDET, José Ramón y DÍEZ CARRERA, Carmen (2015). Los costes de la preservación digital permanente. Ediciones Trea

DURANTI, Luciana (2005). La conservación a largo plazo de documentos electrónicos auténticos. Hallazgos del Proyecto InterPARES,. 1a ed. Cartagena: Ayuntamiento de Cartagena.

INTERNATIONAL COUNCIL ON ARCHIVES (2006). Documentos electrónicos: manual para archiveros. Madrid: Ministerio de Cultura, Subdirección General de Publicaciones, Información y Documentación.  (ICA Study 16)

INTERNATIONAL ORGANIZATION FOR STANDARDIZATION ISO 14721 – Space data and information transfer systems. Open archival information systems. Reference model. ISO

INTERNATIONAL ORGANIZATION FOR STANDARDIZATION ISO 20652 -  Space data and information transfer systems – Open archival information systems – Producer-Archive interface methodology abstract standard.

International Council on Archives and Australasian Digital Records Initiative (2008). Principis i requeriments funcionals per a documents en entorns d’oficina digital. Mòdul 1. Presentació general i declaració de principis. Edició itraducció al català a càrrec de l’Associació d’Arxivers-Gestors de Documents de Catalunya (2012) (Textos 08)

International Council on Archives and Australasian Digital Records Initiative (2008). Principis i requeriments funcionals per a documentsen entorns d’oficina digital. Mòdul 2. Directrius i requeriments funcionals per a sistemes de gestió de documents digitals. Edició i traducció al català a càrrec de l’Associació d’Arxivers-Gestors de Documents de Catalunya (2012) (Textos 09)

International Council on Archives and Australasian Digital Records Initiative (2008).  Principis i requeriments funcionals per a documents en entorns d’oficina digital. Mòdul 3. . Directrius i requeriments funcionals per a documents en sistemes de negoci. Edició i traducció al català a càrrec de l’Associació d’Arxivers-Gestors de Documents de Catalunya (2012) (Textos 10)

KEEFER, Alice; GALLART, Núria (2007). La preservación de recursos digitales: el reto para las bibliotecas del siglo XXI. 1a ed. Barcelona: Editorial UOC.

Lligall [Barcelona; Associació d’Arxivers – Gestors de Documents de Catalunya],  núm. 31 (2011): La preservació digital: de què parlem.

MAYER-SCHÖNBERGER, Viktor; CUKIER, Kenneth (2013). Big Data. La revolución de los datos masivos. 1a ed. Turner Publicaciones SL

Revista d’Arxius [Associació d’Arxivers i Gestors de Documents Valencians ], núm. 2 (2003) : El document electrònic.

Revista d’Arxius [Associació d’Arxivers i Gestors de Documents Valencians ], núm. 9 (2010) : L’e-arxivística en l’e-administració.

Revista d’Arxius [Associació d’Arxivers i Gestors de Documents Valencians ], núm. 10 (2011) : Interoperabilitat.

Revista d’Arxius [Associació d’Arxivers i Gestors de Documents Valencians ], núm. 13 (2014) : Transparència

Tabula [Salamanca], núm. 5 (2002):  Documentos Electrónicos.

Tabula [Salamanca], núm. 19 (2016):  Innovación, participación y diversidad

Tabula [Salamanca], núm. 22 (2019):  La gestión de los documentos electrónicos. Normalización y ordenamiento jurídico

SERRA, Jordi (2008).  Los documentos electrónicos. Qué son y cómo se tratan. 1a ed. Gijón: Trea. 192 p. (Archivos Siglo XXI)

SOLER, Joan (2008). La preservación de los documentos electrónicos. 1a ed. Barcelona:Editorial UOC. 119 p.

SOLER, Joan (2009) Del bit al logos: Preservar documents electrònics a l’administració local. 1a ed. Barcelona: Diputació de Barcelona . 349 p. (Estudis, Recursos Culturals; 4)

TÉRMENS, Miquel (2013). Preservación Digital. 1a ed. Barcelona: Editorial UOC. 109 p. (El professional de la información; 16)

Software

L1: Records Management System

The use of any specific software will not be studied.

L2: Digital records and digital preservation

For online sessions we will use the MICROSOFT TEAMS application.

For the practical sessions, although the computers in the computer classroom will already be prepared, those who work with their laptop must install the following applications:

Applications to sign and validate electronic documents:

Signador AOC: https://signador.aoc.cat/signador/installNativa

Autofirma: https://firmaelectronica.gob.es/Home/Descargas.html

Digital Signature Service (DSS): https://ec.europa.eu/cefdigital/DSS/webapp-demo/home