Implementation of Electronic Document and Records Management System - Example

Name : xxxxxx Tutor : xxxxxxx Title : Report on Information Record Management Institution : xxxxxxx @ 2010 Letter of Transmittal DIAMOND GLOBAL LIMITED 5TH AVENUE STREET VICTORIA QLD 1265 5 MAY, 2010 THE CHIEF EXECUTIVE OFFICER DIAMOND GLOBAL LIMITED 5TH AVENUE STREET VICTORIA QLD 1265 Dear Sir, Following your request made on April 6th 2010, I have the pleasure of attaching the report on the key considerations in the implementation of electronic document and records management system. The report pays specific attention to a number of considerations that deal with the process of creating records up to their final disposal. This report contains an observation of the weaknesses found in each step of the life cycle of the recordkeeping processes. The weaknesses are basically associated with the current system of recordkeeping. The weaknesses are then contrasted with the situation that is expected to obtain only when the Electronic Document and Record Management System is introduced. Investigations reveal that if implemented, the new system is likely to streamline the recordkeeping process within the organization. Records will be created, kept, accessed and finally disposed off in effective manner consistent with the policies of the organization, while complying with the requirements of the laws of the land. This report makes a number of recommendations that, if implanted, would go a long way in improving the recordkeeping function in the organization. Though a good amount of money and other resources will go in to the implementation of this new program, it is anticipated that once operational, the system will perform much better and help the organization recoup its investment in terms of increased access to and security for the records. Thank you most sincerely for giving me the opportunity of working on this project. I would be glad to provide any further information that would help clarify some of the issued raised in this report. Yours sincerely, Osmond Green – Records and Information management Manager. A REPORT ON THE IMPLEMENTATION OF ELECTRONIC DOCUMENT AND RECORDS MANAGEMENT SYSTEM Prepared for: Submitted on: Prepared by: Executive Summary Documentation and Record is a very important component in organizations of all sizes. Apart from serving historical purposes within the organization, records are important points of reference in casers where evidence is required. For this reason, records require proper handling as they pass through all the stages of their handling right from creation to disposal. Poorly kept records can cause problems in the organization especially when one has to refer to them. This is the situation that Diamond Global, the company for which I work, found itself in. the poor state of records elicited complaints from a number of players such as customers, clients and staff. All the complaints seemed to point at various weaknesses associated with the current recordkeeping and information management practices in the organization. It is for this purpose that when the Board of Directors approved funding for upgrading the recordkeeping and information management practices and procedures on the organization, the CEO commissioned me to investigate the exact areas of weakness. My focus of investigation was on recordkeeping stages such as Creation, Capture, Registration, and Control, appraisal, Disposal, storage, vital records, Archival records and Change management. For this investigation, various methods were used throughout the research. They included personal observation of personnel at work and listening to the managers and employees as they talked about the problems found in the recordkeeping section. Some customers and clients were also interviewed and their sentiments taken on board. It was found that the current system of recordkeeping and information management could not adequately meet the needs of the organization and should be with the view to upgrading it. It is recommended that apart from carrying out a system upgrade, the staff in the recordkeeping section should be trained on the new recordkeeping and information management procedures and practices. Table of Contents Table of Contents 5 1.1 Authorization and Purpose of the Report 6 1.2 Scope 6 1.3 Limitations (Out of Scope) 6 1.4 Electronic Documentation and Records Management System (EDRMS) 6 2.0 Record Processes 7 2.1 Creation 7 2.2 Capture 8 2.3 Registration 9 2.4 Record Control 9 2.5 Appraisal 10 2.6 Disposal 10 2.7 Storage 11 2.8 Vital Records 12 2.9 Archival Records 12 2.10 Change Management 13 3.0 Conclusions 13 4.0 Recommendations 13 5.0 List of References 15 1.0 Introduction The Board of Directors (BOD) of Diamond Global has approved funding for upgrading the organization’s recordkeeping and information management practices and procedures. Included in this programme is the implementation of an electronic document and records management system which is expected to streamline the management of paper and digital records and documents. Benefits expected from this system include achieving a secure, systematic and reliable management of semi-structured or unstructured data including documents and emails, reducing information duplication, redundancy and risk of failure of information retrieval when needed. There is improved security from unauthorized access, better document version control and a timely response to requests. There have been complaints from stakeholders about weaknesses in the recordkeeping and information management practices. 1.1 Authorization and Purpose of the Report This report has been commissioned by the CEO, Diamond Global, in response to the complaints from stakeholders on the weaknesses in recordkeeping and information management systems. The BOD has approved funding for upgrading the system which includes the implementation of EDRMS. The purpose of this report is to help the organization to effectively implement the EDRMS. 1.2 Scope This report covers weaknesses found in the current recordkeeping and information management system and the improvements that will come with the implantation of EDRMS. 1.3 Limitations (Out of Scope) This report will only consider the weaknesses identified in Diamond Global, and not any other company. The findings from it might not therefore be applied in any other company. Implementation will also be specific to Diamond Global. 1.4 Electronic Documentation and Records Management System (EDRMS) Electronic Documentation and Records Management System (EDRMS) is an automated system used for managing the creation, utilization, management and disposal of both physically and electronically generated records and documents. This is aimed at achieving support for the creation, revision and management of documents which are ion digital format. It also improves the flow of work in the organization as well as giving evidence of the activities of a business. An EDRMS has a plan for classifying records such as newly created or imported records, a schedule for retaining newly created or imported records and an automated recordkeeping system, commonly refereed to as metadata. EDRMS assists in the achievement of consistency and efficiency in record management practices. 2.0 Record Processes 2.1 Creation Records of transactions, actions and decisions made in the conduct of official business could be created and kept by members of staff. Several standard procedures are usually used in the creation of records. These are the IT Procedures and the Records Management Procedures. It would be advisable to have these records kept in electronic format in order to ensure easy accessibility from any corner of the organization which has networked its computer system (Pearce-Moses 2005: 211). Minutes taken during official meetings could for example be taken, typed on the computer and then stored. Such meetings could similarly be audio or video taped. Details of a business transacted on phone could be taken down in note form and then typed and stored on the computer hard disk or flash disk. The same telephone conversation could similarly be audio taped and stored on CD. This way, the information on all transactions and decisions would be captured and stored easily for future use (Pearce-Moses 2005: 311). The electronic Document and Records Management System put in place must therefore have enough features and capabilities that can be used to create records in a variety of ways easily and flexibly. Computers, laptops, video and audio taping and playing gadgets would be ideal for this purpose. 2.2 Capture Record capture refers to the act of deliberately registering a record in to system. It is the process of creating records of important information and managing records. This is an element that is of grave importance in the whole process of information management. Record creation and information capture could be done on either electronic or paper template. The organization could define its requirements of recordkeeping and enact rules and regulations governing this aspect of the business. Some rules could apply to the creation of records within the whole organization, while others would only apply to certain sections of the organization (Surowiecki & Matheson, 2006: 112). The organization could develop certain standard rules and guidelines that govern their operations. Different sections within the organization could also be asked to develop rules and guidelines specific to them. Those in the accounting department could for example develop a system where a number of them use one computer, but each one of them would use a separate password to access it, and the computer would note the time when a particular password activated it, and when it logged off (Surowiecki & Matheson, 2006: 11). No ensure only authorized individuals key in information in the computer, these individuals could be given pass words with which to activate their computers. This way, unauthorized users will not access it and therefore, chances of record corruption would be eliminated. If it happened, only the person authorized to access it would be held to account. When developing a new software fir the organization or department, or when automating it, consultations should be made with the person responsible so as to get his input, or find out if there are any rules put in place and which should not be infringed upon by features in the new system. 2.3 Registration A file or a record, upon creation or capture, must be given a unique identification in a record keeping system. This is meant to serve as evidence that the file or record was actually created or captured. This is what registration is all about. Registration entails making a record of a brief information that describes the context under which the record was made and its relationship with other records. Registration could either be done in series or as an individual item, especially in archival context (Pearce-Moses 2005:63). The electronic document and records management system (EDRMS) to be developed could have unique software that automatically registers a file by giving it a number, the date and time when it was created, the place and of possible, the officer who created it. It is assumed that the officer who created the record was working from a computer terminal assigned to him, and for which he has a unique pass word 2.4 Record Control Some records are created by the organization and maintained in order to assist in the identification and retrieval of other records. These are referred to as control records. They include record registers, name indexes, subject indexes and movement registers. Control symbols are letters or numbers which are ascribed to a record for purposes of identifying and controlling it. Such a letter or number is referred to as a control symbol. Number of systems of symbols could be used. These include alphabetical, chronological, single numbers, number combinations or lexicographical systems. A controlled copy is a digital record that is exactly reproduced without any change in the record’s content (Surowiecki & Matheson, 2006:291). It is easier to control the migration of electronic or digital records by tracking their migration in terms of who accesses them. Software that tracks this migration could be developed, and the process managed and monitored by the IT department. 2.5 Appraisal Appraisal refers to the evaluation of records with the view of determining those that should be kept for a specific period of time, which ones should be archived and those that should be destroyed (Department of Culture and the Arts 2008: 9). This is done after assessment to determine the import of a record for future use, for accountability purposes and for community needs (Surowiecki & Matheson, 2006: 31). 2.6 Disposal Disposal, also known as disposition, refers to actions or measures that could change the status of a record, or shifts it from one place to the other. Disposal includes alteration, damage, destruction or transfer of ownership of custody files or records. . There is a minimum allowable period within which a record could be kept. Thereafter, the record could be destroyed and this minimal periodical time is found by taking the time the record was created as the beginning time. In electronic document and records management system, software could be developed that could electronically track a record from creation and automatically destroy or transfer it to the archives when the time comes. Groups of records that document similar events or activities could be put together and a similar disposal action assigned to them. Description and grouping of such records could be done by considering function, activity, and scope. A trigger could be set to electronic records at the point of creation, retention period outlined and the disposal mode stipulated. When the time comes, the trigger could go off and set in motion the predetermined disposal act (Department of Culture and the Arts 2008:92). A trigger could be something like ‘Destroy after 50 years.’ 2.7 Storage Storage refers to the processes that ensure the protection, accessibility and management of records for as long as in necessary, in a cost effective manner. Storage includes facilitation of retrieval and use of the records kept. Adequate storage ensures security of records, minimizes the incidences of illegal alteration and illegal disposal of records. Records can be stored on hard or soft copy. Current records on hard copy are stored in designated storage areas, and access to them restricted according to the established procedures of records management. In the EDRMS, records could be stored online or offline. On line storage could be done on servers, while offline storage could be on CD ROMS, magnetic disks, DVDs, flash disks or any other removable media (The Georgia Archives 2006:1-4). Records kept for temporary purposes could be deleted from the storage system and room created for new records. Those intended for long term use could be stored online or other removable storage gadgets. The organization has some records which are vital in nature. Such records could be stored on removable media, but copies of the same could be prepared and kept in alternative locations in case the main ones are destroyed in disastrous circumstances. Such vital records could be stored by the manager in charge of records, especially if they are not needed in the near future (Shepherd and Yeo 2005:178). 2.8 Vital Records Vital records are those that are important for the continuation of the business and without which the organization’s business would grind to as a halt. Such records should be identified and protected lest a disaster strikes and destroys them. These are the records that an electronic record and document management system must strive to keep in a number of media and locations so that in case copies are lost or destroyed, the original copies could easily be retrieved and used as need be. Vital records ensure protection of the organization’s interest and assets, together with those of the clients and shareholders (Surowiecki & Matheson, 2006:302). 2.9 Archival Records Archival records are those that have been apprised and found to be having a continuing value for the organization. Such records are to be permanently preserved without destruction because they have an enduring value. They could for example be useful for historical or evidential purposes. Such records are also referred to as state archive (IOMA Payroll Manager’s Report, 2006:466). 2.10 Change Management Implementation of EDRMS, as is the case with the implementation of any other information and communications technology in organizations is likely to occasion a number of changes in the work environment. The management could proactively develop action plans and strategies to help in the management of the effects that these various changes may have on the organization and its business processes. These should be communicated to the stakeholders and their feedback sought to foster an atmosphere of positive engagement (Queensland State Archives 2000:15). 3.0 Conclusions From the foregoing, it is evident that the current recordkeeping and information management system has been overtaken by events and can no longer serve the stakeholders. This explains the reason for their complaints. The EDRMS on the other hand seems to be having many pluses going for it. If successfully implemented, it is likely to lead to a faster creation, storage, retrieval, and disposal of records. When these records are kept like this, they are likely to benefit immensely from some appreciable level of security that can be considered high and effective in its own right. 4.0 Recommendations The following are the recommendations that are made in anticipation that they will help in the effective and proper operation and implementation of the EDRMS. The management should assess and quantify the viability of this project before committing resources into it. Management identifies various facets of the organization which are likely to be affected by the implementation of the programme Senior managers should be committed and supportive of the implementation of the programme The right software should be used in operating and managing the system to avoid lapses. The most effective management approach should be used since there are many different approaches. All stakeholders must be communicated to regarding the changes in the system Rules, policies, procedures and requirements for proper implementation of EDRMS should be developed and circulated among all stakeholders The employees who will be directly responsible for the functioning of the system should be adequately trained to run it efficiently. 5.0 List of References Pearce-Moses, R. A Glossary of Archival and Records Terminology, 2005, published online at www.archivists.org/glossary/index.asp. Kotler, Phillip, & Keller, Lane. (2005). The Georgia Archives. Electronic Document Management System Technologies, 2006. Accessed on May 4 2010 from, www.sos.ga.gov/archives/.../presentations%20. Queensland State Archives. Guideline for the Planning of an Electronic Document and Records Management System (EDRMS). Viewed on May 4 from, http://www.archives.qld.gov.au Electronic Document Management Systems, South Carolina Department of Archives & History Electronic Records Management Guidelines, March 2008, Version 2 arm.scdah.sc.gov/NR/rdonlyres/45D45226-6A28.../ermEDMS.pdf – Accessed on May 4, 2010 Department of Culture and the Arts, Government of Western Australia. SRO Guideline Management of Digital Records, A Recordkeeping Guideline for State Organizations, July 2009 www.sro.wa.gov.au/documents/Guideline-Digital-Records-Final.pdf Accessed on May 4, 2010 Shepherd, E and Yeo, G 2005, ‘Managing records: a handbook of principles and practice, Facet Publishing, London, pp 175-180. IOMA Payroll Manager’s Report. (2006). How to become a more effective Payroll Professional Surowiecki, James & Matheson, Jim. (2006). Harvard Business Essentials: Decision Making: 5 Steps to Better Results. Boston, MA: Harvard Business School Press. Read More