Gerenciamento de documentos vs. gerenciamento de registros: qual é a diferença e por que isso é importante?

A Equipe NetDocuments
Agosto 4, 2021

Document and Records Management systems share many similarities. In fact, in this digital age, if you want to manage electronic records then the features and functionality required to manage electronic documents provide a solid foundation for records management. This was reflected decades ago when records management professionals who had managed archives of physical records started talking about EDRM – Electronic Document & Records Management. The industry has moved on, and there are nuances to managing documents and records, so it is important to understand how these disciplines differ and where they overlap.

O que é gerenciamento de documentos?

Document management is the practice of providing structure to unstructured data using various tools and strategies. It’s important to remember that a document is a form of information that is generally considered to be ‘unstructured’, as opposed to the structured rows and columns of a database. A DMS is a key tool in providing structure to that unstructured data.

In practical terms a document management system (DMS) provides tools to help you create, edit, store, find, share and generally manage your documents, which might be word processing documents, presentations, spreadsheets, pictures, PDF files etc.

But what does this functionality really accomplish? Let’s look at some of the goals of document management to find out.

O objetivo da gestão de documentos

At a high level, the primary goal of document management is to organize your information and make it possible for people to find what they need, when they need it; but there are several factors that can influence your success.

Uma forte estratégia de gerenciamento de documentos (e sistema de gestão de documentosou DMS) apóia esse objetivo, ajudando a:

  • Manter controle de versão
  • Melhorar a pesquisa de documentos
  • Digitalize documentos físicos
  • Evite documentos perdidos ou arquivados incorretamente
  • Estabeleça uma única fonte de verdade
  • Mantenha documentos e pastas organizados, incluindo documentos eletrônicos

Of course, for law firms and legal teams, security and compliance are also high priorities — especially when teams are dispersed. Malicious behavior and even simple human error can derail a document management strategy and expose your organization to risk. That’s why it’s so important that you have processes and tools in place to control user access to documents, including ethical walls, to establish your DMS as the single source of truth for your organization.

Como um Sistema de Gerenciamento de Documentos (DMS) ajuda

As we already discussed, a DMS is a software platform that helps organizations manage documents using a suite of tools for securely storing, organizing, modifying, and sharing documents — and that’s just the tip of the iceberg.

One of the key advantages of a DMS is that it simplifies and streamlines many of the processes that could undermine a solid document management strategy. It helps your team members maintain document organization and enables them to efficiently carry out their tasks however complex your workflows are.

Além de ferramentas e recursos que aumentam a produtividade, outro aspecto incrivelmente valioso de um DMS é segurança aprimorada de documentos. Como a confidencialidade e a conformidade são vitais para o trabalho jurídico, nenhuma organização pode se dar ao luxo de ignorar a segurança de documentos ao escolher um DMS e construir uma estratégia de gerenciamento de documentos.

O que é gerenciamento de registros?

Across the world there are many different governmental and organizational definitions of what constitutes a ‘record’, but in 2001 the International Standards Organization (ISO) ratified a global standard for records management, ISO 15489. The ISO standard tells us that:

"Records Management is the field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including the processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records"

But what is a record, and why do we need to treat them differently?

The ISO also defined what a record is: "information created, received, and maintained as evidence and as an asset by an organization or person, in pursuit of legal obligations or in the transaction of business".

So not all your documents may be classified as records, and not all your records will be documents. The basic definition of a record as an item that provides evidence of a business transaction, or the pursuit of a legal obligation can be modified and added to depending on the legal jurisdictions within which you operate, and any specific regulations that pertain to your industry.

Os objetivos da gestão de registros

Ultimately, the purpose of keeping these records is to comply with laws and other regulations and protect your organization from risk. For example, if your firm or company were audited, it may face significant fines or other penalties if records are not properly managed. The best defense is to have a records management strategy that includes well-documented records management policies.

Going beyond good document management practices, records management may require additional elements including developing clear policy and procedures for retention (keeping records for a set period) and disposition (final destruction of the record). A records management strategy can help by providing processes for:

  • Aplicar os períodos de retenção exigidos para os registros armazenados
  • Definir controles de acesso do usuário e evitar edições no registro
  • Auxiliar na descoberta eletrônica ou aplicando retenções legais quando necessário
  • Manter uma trilha de auditoria que documenta como o registro foi gerenciado, desde a declaração até a disposição
  • Criar um inventário de registros para controlar quais registros são mantidos, às vezes chamado de declaração e registro
  • Gerenciar a disposição física e eletrônica de documentos (por exemplo, arquivamento, exclusão ou destruição de registros inativos no final de seu ciclo de vida)
  • Applying retention schedules based on a record’s legal, fiscal, administrative, or historical value

Como o software de gerenciamento de registros ajuda?

Records management (RM) software enables you to efficiently capture, identify, store, and dispose of business records according to necessary policies, procedures, and regulations.

When a firm or corporation deals with a large volume of records, it’s often helpful to have a dedicated system that can support records management activities — from securing restricted files to maintaining a records inventory to managing disposition requests. A specialist records management tool is particularly useful when you need to manage physical records (actual files full of paper) as well as electronic records, particularly when these records might be managed off site by a specialist service provider.

Por que precisamos de ferramentas diferentes

A DMS can provide much of the functionality required to implement your records management strategy for electronic records that are held in the form of documents, be that Word files, emails, presentations etc.

A DMS can be configured and organized so that is workspaces or folders reflect the records management file plan. File plan references and retention schedule labels can be stored as metadata for each document within the DMS. It can also provide retention and disposition functionality, although it is not usually as sophisticated or as flexible as that found in a specialist records management system. This DMS functionality can be particularly helpful if your records strategy includes a requirement to “manage in place” – that is you do not wish to copy or move (often referred to as archiving) your documents to a separate system.

However, when you start to increase the volume of records, the complexity of your file plan or retention schedule, or you need to manage physical records and electronic records across multiple and diverse systems covering both structured data, and unstructured information, then you really need a specialist RM system. Such a system will provide additional functionality above and beyond that provided by the DMS to ensure that:

  • Trilhas de auditoria incompletas
  • Documentos e arquivos inseguros
  • Pesquisa e recuperação ineficientes de arquivos
  • Não conformidade com requisitos legais
  • Dificuldade para acessar e colaborar em documentos
  • Alterações acidentais feitas nos registros após a finalização
  • Processos de disposição de documentos manuais demorados
  • Armazenamento caro quando os arquivos são mantidos após o período de retenção
  • Conteúdo duplicado e / ou confusão em torno de documentos de trabalho vs. registros
  • … e muito mais.

The complexity of your business requirements, your legal and regulatory compliance needs, and many of the other factors mentioned above will determine whether a DMS can help realize your records management strategy, or whether you need a separate records management system.

To learn more about the advantages and disadvantages of different legal software types, plus how they overlap and complement each other, check out our Legal Technology Cheat Sheet.

Como o NetDocuments pode ajudar

As the leading cloud-based document management system, the NetDocuments platform is designed to help legal professionals maximize productivity with a suite of robust tools that allow you to create, edit, store, locate, and collaborate on documents — anywhere, on any device, with award-winning security capabilities.

NetDocuments provides features to apply to your records management policies to documents within our system, including flexible retention policies, legal holds capabilities, secure deletion and an extremely flexible metadata model that can map to a file plan or retention schedule.

Acreditamos que você deve sempre ter acesso ao melhor que a tecnologia tem a oferecer, e é por isso que o NetDocuments se integra a vários provedores líderes de gerenciamento de registros. Isso garante que seus processos permaneçam simplificados e seguros, sem sacrificar recursos ou experiência. E embora o NetDocuments não seja um sistema de gerenciamento de registros, oferecemos suporte às práticas recomendadas de gerenciamento de documentos e registros, permitindo que os usuários definam documentos políticas de retenção e arquivamento na plataforma. Isso permite que você exclua e elimine arquivos permanentemente com base nos critérios de sua escolha.

Ao emparelhar seu sistema de gerenciamento de registros com um DMS poderoso, seguro e flexível como o NetDocuments, você pode garantir que sua equipe tenha as melhores ferramentas para fazer o melhor trabalho.

Learn more about how NetDocuments can support your document management and records management strategies by scheduling a consultation today.

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