E-Records Management

Selelepoo Sebaka

ELECTRONIC RECORDS MANAGEMENT

AT WHAT RM MATURITY LEVEL IS YOUR ORGANIZATION?

Maturity models and the quality of records management programmes in organization

Quality Management Maturity Grid (QMMG)One of the earliest models Describes “the typical behavior exhibited by a organizations at five levels of maturityLevel 1: UncertaintyLevel 2: AwakeningLevel 3:EnlighteningLevel 4: WisdomLevel 5: Certainty

RM MATURITY MODEL

Records Management: “the management of information resources in the manner that makes

information easily accessible, securely protected, stored and disposed of when no

longer required for administrative purposes”.

RECORDS MANAGEMENT DEFINED

WHY LEARN ABOUT INFORMATION SYSTEMS Around the world, individuals, organizations and governments have embraced information technologies.

In 1977 there were fewer than 50,000 personal computers in use; as of 2002, over one billion computers had been shipped around the world.

IT has become the largest component of capital investment in industrialized societies Investment on IT has doubled as a % of total business since 1980

IT investment accounts for more than one-third of all capital invested in the US

2005 alone it was estimated that US alone would spend $1.8 trillion on IT

Emergent internet business cultureDigital convergence

WHY LEARN ABOUT INFORMATION SYSTEMS CONT…

IT has revolutionized the operations of organizations across the globe

Communications and transactions in organizations have become electronic, and an increasing number of records are born digital.

This necessitate that records management practitioners should learn about electronic records.

WHY LEARN ABOUT INFORMATION SYSTEMS CONT…

Areas of focus:The new conception of a record impacts on the whole lifecycle of a record

To know how information systems can make your organization more competitive, efficient, profitable, and productive

To know how to invest money on IT/ISWise choices=organizational performancePoor choices=waste of valuable capital

DOES IT/IS MATTER?

Nicholas Carr (an editor at Harvard Business Review): “IT doesn’t matter”Organizations can no longer use IT to achieve strategic edge over competitorsIT is now commodity-just like electricity, telephones etc

Any organizations can obtain same on the market and copy

Therefore organizations should reduce spending on IT

DOES IT/IS MATTER…?Many experts disagree

There is only one Wal-mart, one AmazonCopying innovations of other organizations can be devilishly difficultInnovation is important

DOES IT/IS MATTER…? Foundation of doing business in the 21st century

Just like filing cabinets were in the 20th centuryWhat an organization would like to do in five years often depends on what its systems will be able to do

Relations with clients are now digital The basis for E-government

Technology used to deliver information and services to citizens

Improve service delivery- E.g. drivers’ Licences A tool for productivity To achieve strategic advantage, competitive edge and create new services

To cope with government regulationsPAIA, PAJA, PFMA etc

BENEFITS OF ELECTRONIC TECHNOLOGIES

Widespread access: The physical composition of paper records limits access to a specific time and place: only one person can use a record at one time and only in one physical location. Electronic records, on the other hand, can be shared widely and they can be accessed and used by several people at the same time, even if they are in different places.

Flexibility: In a paper environment, records are created, received and filed in one office, and they accumulate in one place. Electronic records can be stored remotely or on compact disks (CDs) or tapes, allowing people to share records and use their information resources more dynamically.

Efficiency and effectiveness: The use of information technologies improves information handling and allows for the speedy retrieval of records and information through electronic search facilities. As a result, policy makers can make informed decisions quickly and efficiently, contributing to the effectiveness of the organisation.

BENEFITS OF ELECTRONIC TECHNOLOGIES CONT… Economic benefits: In the paper environment where records are physical objects, their accumulation requires ever-increasing amounts of space, including office space, shelves, filing cabinets and storage boxes. Several staff members may be needed to carry out routine procedural work such as filing documents and retrieving boxes. Through the use of new technologies, organisations are able to economise in terms of storage space, as computer systems can store large volumes of data and records in a small physical space.

General business opportunities: The professional image of an organisation can be enhanced by improved information flow, and the organisation may be able to take on more complex work because it is more efficient and cost-effective. Computers can improve communications, reduce the loss of essential information, speed up the completion of projects and increase public awareness of the organisation.

Auditing capabilities for regulatory compliance: Well-designed records and document management systems also allow an organisation to regulate and oversee actions and decisions. Many electronic records management software programs include mechanisms to maintain audit trails, encouraging more accountable record keeping and promote compliance across the organisation.

THE CHALLENGES OF ELECTRONIC RECORDS Technological obsolescence: Rapid changes in software applications and computer hardware have led to what is commonly referred to as technological obsolescence. As new innovations in computer technology appear, old systems become out of date and are no longer supported by the computer industry.

Technological dependence: Electronic records depend on technology. They are created and managed by computer hardware and software. Therefore, electronic records require mediation in order to be accessed. It is not possible to hold a computer disk up to the light and read it, as one can read a paper document or even, with the aid of a magnifying glass, a frame of microfilm. Because information technologies keep changing, and because electronic records cannot be used without the necessary technologies, individuals and organisations can quickly become dependent on technologies for their essential information. Hardware and software have to be upgraded regularly to ensure continuing access to information and records.

Risks to reliability and authenticity: As mentioned, changes in information and computer systems require that information be migrated to new technologies if the information is to remain accessible over time. This process of migration can affect the authenticity and reliability of information, as the process itself can change the content or structure of the records. Unlike paper records, which can be moved, filed, refiled, copied and otherwise used and reused without change, electronic records need to be managed and preserved in such a way as to secure their authenticity as evidence.

THE CHALLENGES OF ELECTRONIC RECORDS CONT.. Loss of security and privacy: The introduction of information

technologies has also affected the way government and private organisations preserve and make available records in their custody. As mentioned, computers allow organisations to create large and complex databases and make huge amounts of data available electronically. Databases containing personal financial and medical records, for instance, may be extremely useful to the individuals themselves. But without proper security protections, that information may also be accessed by others, threatening the privacy of the owners of that information.

Increased costs: The costs of hardware and software can be very high. Costs are incurred not only when acquiring technology in the first place but also, more importantly, when upgrading equipment and systems, which is essential in order to keep pace with changing technologies. When considering the acquisition of computer equipment or the implementation of an electronic records management system, most organisations focus on the initial budget requirements: hardware; software; licenses; supplies; and staff time to develop and install the equipment. But annual and unexpected costs also need to be considered, including: system maintenance fees; upgrades and repairs; and staff training. It has been argued that the cost of maintaining and administering computer systems can exceed seven times the cost of acquiring the equipment in the first place.

THE CHALLENGES OF ELECTRONIC RECORDS CONT..Decentralisation of information: The decentralisation of information and records management has shifted the responsibility for managing records from records professionals to the people who create and use records on a daily basis. Unfortunately, users are not trained to know what documentation to keep for evidential purposes or how to describe, file or maintain records. Without centralised oversight of the records management process, it can be more and more difficult to ensure that essential evidence has been protected adequately.

CONCEPTS DEFINED Information Technology (IT): all of the computer-based information systems used by organizations and their underlying technologies

Information System: a set of interrelated components that collect (or retrieve), process, store, and distribute information to support decision-making and control in an organization.

Data: streams of raw facts before they’ve been organized and arranged

Information: data that has been shaped into a form that is meaningful and useful to human beings

IT infrastructure: all technologies (e.g. computer hardware, computer software, storage technology, and communication technology) which provides the platform on which an organization build its IS.

CONCEPTS DEFINED CONT…Fields: grouping of characters into a word, group of words, or complete number, e.g. ID number, Person’s name or age.

Record: group of related fields, e.g. a patient’s name, ID number, diagnoses, prescriptions etc.

An electronic record: is a record that is created, generated, sent, communicated, received, or stored by electronic means and that requires some form of computer technology to access and use

File: a group of records related in content.

Database: a group of related filesElectronic Records Management: consists of policies, procedures, and tools for managing the retention, destruction, and storage of e-records

LEGAL & REGULATORY FRAMEWORK FOR E-RECORDSGovernment regulations are forcing organizations to take electronic records management more seriously

Especially the security and control aspect of E-records

LEGAL & REGULATORY FRAMEWORK FOR E-RECORDS CONT…

THE CONSTITUTION (CHAPTER 10) BASIC VALUES AND PRINCIPLES GOVERNING PUBLIC ADMINISTRATION (SECTION 195) Effective, economical and efficient use of resources Provision of timely, accessible and accurate information

Accountable and transparent public administration


THE PUBLIC FINANCE MANAGEMENT ACT, 1999To regulate financial management in governmental bodies

To prevent corruption by ensuring the proper management of financial resources

SECTION 36(2): The HOD/CEO of a constitutional institution = Accounting officer: “to keep full and proper records of the financial affairs of the department…in accordance with prescribed norms and standards”.


THE PROMOTION OF ACCESS TO INFORMATION ACT, 2000“To give effect to the constitutional right of access to any information held by the State and any information that is held by another person and that is required for the exercise or protection of any rights; and to provide for matters connected therewith”.

To foster a culture of transparency and accountability


THE PROMOTION OF ACCESS TO INFORMATION ACT, 2000Right of Access: Public Bodies

SECTION 11 (1): A requester must be given access to any record of a public body if—(a) that record is required for the exercise or protection of any rights; (b) that person complies with the procedural requirements in this Act relating to a request for access to that record; and (c) access to that record is not refused in terms of any ground for refusal contemplated in Chapter 4 of the Act.

SECTION 25(1): Provides for the head of a private body to grant (or deny) access within 30 days after the request is received.

Section 14 manual Section 32 Reports


THE PROMOTION OF ACCESS TO INFORMATION ACT, 2000Right of Access: Private Bodies

SECTION 50 (1): A requester must be given access to any record of a private body if—(a) that record is required for the exercise or protection of any rights; (b) that person complies with the procedural requirements in this Act relating to a request for access to that record; and (c) access to that record is not refused in terms of any ground for refusal contemplated in Chapter 4 of the Act.

SECTION 56(1): Provides for the head of a private body to grant (or deny) access within 30 days after the request is received.

Section 51 manual


THE PROMOTION OF ADMINISTRATIVE JUSTICE ACT, 2000To ensure that administrative action is lawful, reasonable and fair

Section 5 (1): any person whose rights have been materially and adversely affected by an administrative action…may request the administrator …to furnish written reasons…”

Reasons to be furnished within 90 days after receiving the request or else it should presumed that the admin action was taken without good reason.


THE ELECTRONIC COMMUNICATIONS AND TRANSACTIONS ACT, 2002To legalize electronic transactions and communications to pave the way for e-service delivery

Authentic and reliable records/data messages should be created of electronic transactions and communications

Section 15(1): rules of evidence in legal proceedings not to deny the admissibility of data messages in evidence.


THE MINIMUM INFORMATION SECURITY STANDARDS (MISS)Developed by NIAA policy document on information security in government

Aimed at providing the necessary procedures and measures to protect information


Par 11.1.1. “An effective registry is the core of effective document control and of document security. One registry should be the central/main registry where all incoming mail must be received, opened and from where it must be distributed internally. The receiving and distributing must be recorded in the relevant registers”:Access ControlRegistration of classified documentsAvailability of an facsimile machines equipped with encryption

Provision of safe storage placeEffective key control measuresProvision of iron bars or metal blinds of adequate strength

No file must be allowed to remain outside the registry for more than one working day


THE MINIMUM INFORMATION SECURITY STANDARDS (MISS) All sensitive documents should be allocated a security classification level:

Confidential Secret Top secret

Classification by the author on creation


THE MINIMUM INFORMATION SECURITY STANDARDS (MISS)Vetting/security clearance

ConfidentialSecretTop secret


Head of HRM: A memo informing all officials about amendments to the leave policy

Premier: A document on the pending cabinet reshuffle

Head of intelligence: A report regarding exposed plans of a coup.

Chairperson of DC: A letter to an employee informing him/her about a date of his/her disciplinary hearing

Doctor: A patient’s blood test resultsManager: An invitation to a general staff meetingAppointments Secretary: The Minister’s monthly programme

Judge: A court judgement Employee: a letter of grievances against your supervisor

Scriber during an interview: Minutes of proceedings


THE NATIONAL ARCHIVES AND RECORDS SERVICES ACT (ACT NO.43 OF 1996 AS AMENDED)Section 13 (1)“…the National Archivist shall be charged with the proper management and care of records in the custody of governmental bodies”


THE NATIONAL ARCHIVES AND RECORDS SERVICES ACT (ACT NO.43 OF 1996 AS AMENDED)Section 13(2)(b)(1)

“The NA shall determine records classification systems to be applied by governmental bodies”

LEGAL & REGULATORY FRAMEWORK FOR E-RECORDS CONT…THE NATIONAL ARCHIVES AND RECORDS SERVICES ACT (ACT NO.43 OF 1996 AS AMENDED)Record: “recorded information regardless of form or medium”Format: correspondence records, maps, plans, reports, minutes

Medium: paper, microfilm, audio-visual, electronic

LEGAL & REGULATORY FRAMEWORK FOR E-RECORDS CONT…THE NATIONAL ARCHIVES AND RECORDS SERVICES ACT (ACT NO.43 OF 1996 AS AMENDED)Section 13(2)(b) NARS Act

“The national archivist shall determine the conditions subject to which electronic records systems should be managed”

ELECTRONIC RECORDS MANAGEMENT SYSTEMS AS INFORMATION SYSTEMS Information systems can be separated into several broad categories based on the business function they are put in place to support:Organization building bridges=engineering work system.

A store= inventory system.HR/Finance=payroll system.A Unit schedules events=calendaring/scheduling system.

A records management=records management system.

ELECTRONIC RECORDS MANAGEMENT SYSTEMS AS INFORMATION SYSTEMS CONT… INFORMATION SYSTEMS ARE SOCIO-TECHNICAL SYSTEMS

Technical Element: Focuses on mathematically-based models, physical technology, and formal capabilities of systems.

Behavioural Approach: Does not ignore technology, but focuses on behavioural issues such as attitudes, strategic business integration, design, implementation, utilization, and management

THE NATURE OF E-RECORDS FORMATS FOR ELECTRONIC RECORDS

Electronic records can be created in a range of different formats

Broadly speaking, electronic record format types include the following. Data sets: groups of related electronic records organised and treated as a unit. Data sets are created, managed and used in the context of a database. For example, a data set could contain information about employees in an organisation.

Text-based documents: documents that contain little other than words and that can be read by text editors or word processing software programs. For instance, a spreadsheet from Microsoft Excel could be imported into a memo being created using Microsoft Word, or a snapshot of a web page or a slide created using Microsoft PowerPoint could be included in a report created using a publishing software.

THE NATURE OF E-RECORDS CONT… FORMATS FOR ELECTRONIC RECORDS

Multi-dimensional documents: records that can be represented in more than one way on the screen and on the printed page. For instance, a spreadsheet can be represented as a set of figures or as the result of the calculations. Both representations are part of the record, although it may not always be necessary to retain both of them. Similarly, a PowerPoint presentation may consist of a set of slides and notes displayed and used in different ways.

Multi-media documents: documents composed of a number of different elements, which interact together to display their full meaning. These records may include graphical, moving image, sound and text documents, which may appear differently at different times in response to variations in user interaction. File formats can often be identified by file extensions. For example, .doc

indicates a word processed document, and .mp3 indicates an audio file. Internet media might include text or .html files, and other file formats include PDF, TIFF and JPEG. Each file format will have different characteristics and require different approaches to preservation, and so understanding the different file formats in use is important to managing the content, context and structure of the records.

THE NATURE OF E-RECORDS CONT… COMPONENTS OF AN ELECTRONIC RECORD

One electronic document may be composed of separate parts – often called digital components – that can be stored in different parts of a network, brought together as a ‘virtual’ document and presented in different forms for different uses. E.g. a note and voice annotations can be added to text-based documents; and digital sound, video, 3‑D modelling and simulation can be added to presentations, reports or other documents.

Each component in a complex electronic record may have different requirements for storage, reproduction and use, which is why it is critical when preserving an electronic record to ensure that mechanisms are in place to allow for preservation of and access to every element within the record.

T radition al Paper -Bas ed Annu al Re port

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doub le-sided she ets of paper carrying text, ph otographs and tables produced with black and

w hite and colour inks

plastic cerlox binding

artw ork and log o for cover

Electron ic Vers io n of A nnu al Re port

storage m ed ia (floppy disk, USB drive , CD)

financ ial tables created w ith

M S E xcell 2007

photog raphs in TIFF form at

w ord processed text created w ith

M S W ord 20 07

THE NATURE OF E-RECORDS CONT… MULTIPLICITY OF ELECTRONIC RECORDS

It is much easier to create many copies of an electronic record than it is to create copies of a paper record. In fact, computerisation can cause people to accumulate more records than the original records creator ever intended, e.g. an e-mail.

The challenge for records managers and organisations is what constitute a record, how to determine what evidence to keep and for how long, and how to ensure that documentation is kept securely. Because so much data can be generated within digital systems, it is incumbent on the organisation to determine which of the many inputs and outputs flowing through computer systems should be considered the official records of the organisation.

THE NATURE OF E-RECORDS CONT… THE TECHNOLOGICAL FRAMEWORK FOR ELECTRONIC RECORDS

MANAGEMENT Information systems are only as good as the technical infrastructure supporting them.

Critical IT infrastructures to all information systems and networks are the following:Power Supplies: Adequate and consistent supplies of electricity are essential for the successful operation of IT systems. Without power, it is impossible to access anything within an electronic system. E.g. install uninterrupted power supply or UPS system. UPS systems, also called continuous power supply (CPS) systems, battery backups or emergency power systems, supplies power when central electricity supplies are not working.

THE NATURE OF E-RECORDS CONT…

THE TECHNOLOGICAL FRAMEWORK FOR ELECTRONIC RECORDS MANAGEMENT Bandwidth: Bandwidth is the capacity of the wire (‘pipe’) or wireless connection in a computer network to carry information. Bandwidth is usually expressed in kilobytes or megabytes per second. E.g. A dial up modem usually transmits data at 56 kilobytes per

second (kbs), whereas a more powerful Ethernet cable transmits data at 10 megabytes per second (MBS). Clearly, the Ethernet cable is dramatically faster than the dial up modem. The difference is like comparing a two-lane road with a four-lane highway; the latter can move traffic much faster than the former. The length of time it takes to complete a task, such as downloading a document from a central server or accessing information from the Internet, will depend on the bandwidth available in the information system. The more bandwidth, the quicker the process.

The time needed to access digital information also depends on what is being accessed, however. Accessing a text document requires less bandwidth than accessing a photograph or a video.

THE NATURE OF E-RECORDS CONT… THE TECHNOLOGICAL FRAMEWORK FOR ELECTRONIC RECORDS

MANAGEMENT Technical Support: Every software application and every piece of hardware acquired by an organisation should come with a technical support component. For example, whenever commercial software is purchased, a licence fee is paid allowing the purchaser to use the software legitimately and entitles the user to a level of service and support from the company that created the software. The software usually comes with a time-limited warranty: a guarantee that the company will address any errors or faults in the software for a certain period, such as one, two or five years.

THE NATURE OF E-RECORDS CONT… THE TECHNOLOGICAL FRAMEWORK FOR ELECTRONIC RECORDS MANAGEMENT

Backup Systems: Information and communications technologies can fail, whether because the storage device ‘crashes’ or because the computer becomes ‘infected’ with a computer virus or other malicious code. Such failures can result in lost or corrupted data. People can also accidentally delete files from their computers, or auditors can ask to see records that are no longer in current use. To protect valuable data, special backup applications are usually run, ideally every day, to allow an organisation to re-establish a system to its last known ‘good’ configuration and providing access to copies of records that may not be available otherwise. Backups are usually copies of data stored on low-cost storage media, such as magnetic tapes.

THE NATURE OF E-RECORDS CONT… THE IMPORTANCE OF METADATA

The term ‘metadata’ has become popular in discussions about the management of electronic records.

The term ‘metadata’ refers to information about information.

Metadata provides the context for a piece of data or information so that the user of that information understands what he or she is using and how and why it came to be.

Consider for a moment the following set of data: 100965 020359 031265 300989 060297

Populations figures? Budget estimates? Bank account numbers? Lottery ticket numbers?

The only way to assign any meaning to the data is by linking the content to its structure and context, which means providing metadata.


In a paper environment it has been easy to manage metadata A record and metadata on one document In addition there were index cards, file covers, file registers.

In an electronic environment it is challenging to manage metadata A record and metadata are separate Metadata is essential for using and preserving electronic records because it provides the background information necessary to understand how and when and by whom a particular set of data or a record was created, collected or received and how it is formatted. It can be impossible, especially when using computerised data, to understand the essential details of a record or file without access to that background information.


Of particular importance to records management is record-keeping metadata, which helps to: identify records authenticate records administer terms and conditions of access and disposal restrict unauthorised use track and document the use of records including distribution, retrieval and delivery for authorised users

capture structural and contextual information needed to preserve the record’s meaning.

Given the abundance of metadata a computer system can create, it is important to think about how metadata can best be used for managing and preserving electronic records.

UNDERSTANDING ERMS SOFTWARE PACKAGESSoftware packages may be divided into two main categories:Proprietary SoftwaresOpen Source Softwares

UNDERSTANDING ERMS SOFTWARE PACKAGES CONT… Proprietary Software: “Any computer software with restrictions on use or private modification, or with restrictions judged to be excessive on copying or publishing of modified or unmodified versions. These restrictions are placed on it by one of its proprietors. Similar terms include "closed-source software" and "non-free software". WikipediaMicrosoft

UNDERSTANDING ERMS SOFTWARE PACKAGES CONT…Open Source Software: “computer software for which the human-readable source code is made available under a copyright license (or arrangement such as the public domain) that meets the Open Source Definition. This permits users to use, change, and improve the software, and to redistribute it in modified or unmodified form. It is very often developed in a public, collaborative manner.” WikipediaLinux

UNDERSTANDING ERMS SOFTWARE PACKAGES CONT… Further about OSS

Developed by community of programmersMost operate on LinuxSupport from local firms and wider user support groups

Programmers not paid but receive respect, prestige, and access to a network of experts and eventually head-hunted for high paying jobs

Development not chaotic: well defined structures and business processes that produce high quality software

Programs available on website: operating systems, office suites, browsers etc.

Some proprietary companies convert their commercial programs to open source

UNDERSTANDING ERMS SOFTWARE PACKAGES CONT…

2006: Cabinet has approved a framework to facilitate implementation of Free Open Source Software (FOSS) in the public service.

UNDERSTANDING ERMS SOFTWARE PACKAGES CONT…

The South African Government will implement FOSS unless proprietary software is demonstrated to be significantly superior.

Whenever the advantages of FOSS and proprietary software are comparable FOSS will be implemented when choosing a software solution for a new project.

Whenever FOSS is not implemented, then reasons must be provided in order to justify the implementation of proprietary software.

All new software developed for or by the South African Government will be based on open standards, adherent to FOSS principles, and licensed using a FOSS license where possible.

A Free OSS Project Office was established at SITA to monitor and evaluate all OSS activities within the public service.

UNDERSTANDING ERMS SOFTWARE PACKAGES CONT… JUSTIFICATION: “when objective technical and financial analyses are conducted to calculate total cost of ownership, return on investment, technical performance levels, security and other measures, FOSS/OC typically proves highly competitive (and frequently superior) across many categories of ICT.”

UNDERSTANDING ERMS SOFTWARE PACKAGES CONT…GROUP ACTIVITY

List 4 advantages & 4 disadvantages of Proprietary software

List 4 advantages & 4 disadvantages of Open Source software

UNDERSTANDING ERMS SOFTWARE PACKAGES CONT… PROPRIETARY SOFTWARE

Advantages Guaranteed support from the vendor

A proprietary company will usually need to listen to the needs of their customers and respond and develop accordingly. Otherwise, the revenue stream will dry up

Easy to use they have interfaces and environments that are more user-friendly

Offer securityIncome generated can be used to better service customers

UNDERSTANDING ERMS SOFTWARE PACKAGES CONT… PROPRIETARY SOFTWARE

DisadvantagesShould a software vendor stop supporting a product or go bust, the work done on that product is lost.

Expensive You pay for additional licenses

Not editable without permission Source code not viewable

Cannot customize without permission

UNDERSTANDING ERMS SOFTWARE PACKAGES CONT… OPEN SOURCE SOFTWARE

AdvantagesCheap

Core software is free Can be distributed without additional licensing

Not restricted to any specific operating system Editable

Source code is viewable Once free software is written, it never disappears.

An organization is not tied to a single vendor Should you lose trust in your software vendor, feel you are no longer getting good value, or think their charges are becoming unreasonable, it is far easier and cheaper to switch in a free software world than in a proprietary one


Disadvantages No guaranteed updates on the Software

With Proprietary Software, regular updates depend on the active participation and curiosity of programmers involved.

Risks of intellectual property infringement Because an Open Source project involves the contributions of

thousands of programmers, it is difficult to verify the entire code base for violations of previous license conditions. This has made Open Source Software vulnerable to litigations.

No guaranteed support With proprietary software, a contract or service level

agreement puts an obligation on the vendor to provide after-service support.

Inactive or Short lifespan support forums The danger with Open Source projects is that there is no

obligation on the part of programmers to continue participating in the project.


Disadvantages Customization, setting-up, trouble-shooting processes may not be easier. Customization requires expertise and time.

May need external expertise for maintenance Chances are you’ll have to settle for a contractor which will make the software not better than a commercial one.

UNDERSTANDING ERMS SOFTWARE PACKAGES CONT…Leading ECM Softwares

ProprietaryDocumentumFileNetHummingbirdMeridioMicrosoft Office SharePoint Server 2007Open TextOracle - StellentVignette

UNDERSTANDING ERMS SOFTWARE PACKAGES CONT…Leading ECM Softwares

Open SourceAlfrescoKnowledgeTree Mambo: An open source software for creating and managing websites.

Plone

THE NATIONAL ARCHIVES AND E-RECORDS

THE NATIONAL ARCHIVES AND E-RECORDS CONT…Integrated Document and Records Management System (IDRMS)Advocated by the National Archives for the management of electronic correspondence system

THE NATIONAL ARCHIVES AND E-RECORDS CONT… IDRMS Functionalities:

Storage of electronic records: In the paper-based environment records are stored in a dedicated, secure environment. The same should apply to electronic records. It is not very practical to store records on a LAN file server. Access to the documents on the file server is dependent on the security features of the host LAN. The protection it gives to the documents is only as good as the users' application of the security system. Furthermore, if the electronic records are stored on the LAN file server, they will have to compete for space with the system files etc. A sound reliable repository requires a dedicated, stable, long-term storage space. Where should one then store electronic records? The records can either be stored in network-attached storage devices such as CD/DVD-ROM towers/ jukeboxes, etc. or in separate storage area networks.

THE NATIONAL ARCHIVES AND E-RECORDS CONT…IDRMS Functionalities:

Managing a functional subject file plan according to which records are filed: In a paper-based filing system documents are filed in a file cover which is used to keep records of the same subject together in chronological order. The same concept applies to electronic records. They need to be filed in chronological order in subject folders to enable them to be retrieved in context. Without a proper file plan in place, a governmental body will not be able to obtain a disposal authority from the National Archivist.


Document classification: This refers to the process of selecting the appropriate subject from the file plan and assigning the subject identifier to a specific document. This way all documents are associated with a subject in the file plan that reflects the business operations/functions of the office. Without being assigned subjects, documents that are supposed to be linked together and read in context will not be able to be retrieved as a single unit.


Document search/retrieval: This is the primary reason why users would want to use an electronic system. Nobody likes to page through hundreds of irrelevant documents to find those that they are interested in. When the users realize that retrieval is easier and more reliable when they classify the paper-based and electronic records against the same file plan, they will be more inclined to file electronic records to the classification system in the repository.


Metadata management: Preservation of metadata with the specific electronic document gives context to the document. Without the necessary context attached the electronic document will not be a record. It is no use to have the content but not to know where it comes from, who the creator was, when it was created or where it is located. The records management software chosen must prompt the users to preserve the metadata with the documents they create. It must also support automated capturing of as many metadata elements as possible, to minimize the amount of data entry performed by the users.


Website management: A website is a record, which contains information regarding the structure and functions of an office, the legislation it administers, its current policies and guidelines and advice on how to apply the legislation and policies as well as information on products and services. An office can be held accountable for the information published on its site. For evidential, legal and accountability reasons it is imperative to keep a record of what was available on the site and how it was presented at a given time.


managing e-mail as records: Users must file e-mail messages to the file plan in the repository. Electronic records management software can either automatically capture all e-mail messages, in which case even personal e-mail messages will be captured, or the software can prompt the user to file the message when he clicks on send, close or save. The records management software chosen must automatically capture the transfer metadata (information on the sender and the recipient(s) and the date and time the message was sent and/or received). This data provides essential context for the message.


Identifying records that are due for disposal and managing the disposal process: A fundamental aspect of records management is the use of retention schedules to manage the disposal of records from operational systems. Disposal schedules define how long the records have to be kept by the system, and how they may be disposed of. The disposal instructions and retention periods are applied to each subject file within the file plan. This means that all documents within that subject file carry the same disposal instruction and retention period. It also means that the disposal instruction and retention period apply to records in all formats relating to a subject. To ensure that the right records are destroyed at the right time the records management software that is chosen should not allow for automatic software-driven destruction to take place. It should rather allow for built in triggers to prompt the records manager that a disposal action should take place.


Managing record version control: Governmental bodies should decide as a matter of policy at which stage documents should be filed as records in the repository. If draft documents are saved as new records in the records repository each time they are edited, it will become very cumbersome to identify and retrieve the final version (the record copy) of a document. Keeping unnecessary documents in the repository will also increase migration costs and will slow down the system. The appropriate way to do version control is to keep draft versions of documents on the user's desktops or in the document management system and only to file final versions into the records repository. Editing of final versions should not be allowed.


Archiving: Storage management is designed to ensure that data is moved through a defined hierarchy of storage devices and servers so that less frequently used objects are moved to lower cost storage to achieve a lower cost performance ratio. In storage management archiving is defined as the action of writing all the data/objects that are used infrequently to the least expensive, slowest storage medium where they are kept permanently in a storage repository for inactive data. The purpose of archiving is therefore to keep inactive records on the cheapest storage medium.


Long term format: The electronic records management system must provide the functionality to store records in non-proprietary formats, or to convert records to such formats upon checking them into the electronic repository, because non-proprietary formats are better suited for migration than proprietary ones.


Backup and disaster recovery: For disaster recovery purposes the system must be provided with comprehensive controls to provide regular backup of the records and metadata; and to be able to recover rapidly any records if lost because of system failure, accident, security breach etc. Regular automated backup and recovery can either be provided by the records management system or by integration with the utilities of an Electronic Document Management system (EDMS), or a Database Management System operating with the records management system. Backup and recovery functions should be divided between the records administrators and IT staff.


Authenticity: Information contained in records is a means of ensuring accountability and it may need to be produced as evidence in courts of law. To protect the authenticity, reliability, integrity, accuracy, adequacy and completeness of records, and to ensure their legal admissibility, the records must be protected against alterations by users and system administrators. The electronic records management software must be able to prevent changes to the content of records and must provide the functionality to record all events that affect the records to make it possible to track deliberate or accidental alterations of records.


Audit trail: An audit trail is a record of actions taken on records within the electronic repository. Records must be able to be deleted from the system. The electronic records management software must provide the functionality to record all events that affect the records to make it possible to track authorized and unauthorized deletion of records.


Digital certificates and digital signatures: Governmental bodies should ensure that electronic records management applications are able to integrate with digital signature and digital certificate technology should it be necessary to use this method to ensure that a record cannot be tampered with to protect its integrity and reliability as evidence of a transaction.


Rendition: The electronic records management application should be able to render records to different formats. The purpose of rendition is to provide electronic documents in formats that are software and hardware independent so that they can be read by any computer system accessing the information. Rendition is a functionality to display documents in a different format than that they were created in. E.g. a Word document (.doc) displayed as a PDF (.pdf) document or HTML (.html) document, etc. This provides a format that everyone can display and eliminates the need for all users to have the original application installed ontheir desktops.


Quality assurance: Because of the inherent volatility of electronic records and the larger role played by end users the records manager should play an expanded role regarding the quality assurance of records to ensure their validity as evidence of the business transactions of the body and their legal admissibility. The records manager must be able to monitor the percentage of documents that are being filed. He/she should be able to determine if there are staff who do not file electronic records and why not. He/she should also be able to determine the rate of accuracy in filing. This would enable him/her to determine if there is staff that needs assistance/training in filing techniques. The records manager must also be able to determine if disposal instructions and retention periods are being applied thoroughly.


Managing records in non-electronic formats: Although governmental bodies strive to create less paper or even "paper less" environments they always end up with some paper-based records being created. The records management application should include paper management functionality to allow for integrated records management. It should track files and containers, update their current locations and report on free space within storage facilities. The following features are examples of paper management functionality: Bar coding of files and boxes; Label printing; Movement tracking; Online file requesting; Charge-out/in file management; Location Auditing; Destruction and transfer.

THE NATIONAL ARCHIVES AND E-RECORDS CONT… Managing records in imaging and scanning systems

Governmental bodies should not deploy standalone imaging and scanning systems without taking all the records management consequences into account.

If the imaging and scanning system has the functionality to create a file plan structure, that structure should correspond with the paper-based file plan. Should the system not be able to create a file plan structure, the records should be indexed against the paper-based file plan to ensure that the same disposal rules apply.

When procuring an imaging and scanning system governmental bodies should ensure up front that the system that they procure would be able to integrate with a records management application when the resources become available to upgrade the technology; or would be able to be developed to include the necessary records management functionality when resources become available to upgrade the technology.

ECM: TOWARDS INTEGRATION In the past IS were built to serve narrow interests of different business functions within organizations

Result: many legacy systems that cannot share information

Out-of-the-Box RM systemsLegacy systemsEncourage proliferation of systems

Options:Replace legacy systems, orIn instances where legacy systems are essential to daily operations and are risky to change, integrate the information and business logic of legacy systems to other applications

Integration approach-seek to develop systems that can serve both specific interests and provide organization-wide information

ECM: TOWARDS INTEGRATION CONT…Enterprise Systems: provide a single information system for organization-wide coordination and integration of key business processes

Information previously fragmented in different systems can seamlessly flow throughout the organization.

Collects data from various business processes and stores it in a single comprehensive data repository where they can be used by other parts of the organization.

ECM: TOWARDS INTEGRATION CONT… ENTER TENDER 398

SITA & NARS evaluated a number of Enterprise Content Management (ECM) Solutions to establish a new panel of products to replace the now defunct Tender 59

Result: Tender 398: Enterprise Content Management Solutions

To enable governmental bodies to shorten tender processes by procuring from the panel via a Request for Quotation (RFQ), which is a much shorter process than other tender processes

Classifies products into 3 classes: Class A solutions: consist of fully integrated modules Class B solutions: consists of a core solution with fully integrated modules

Class C solutions consisting of modules that can be implemented as standalone solutions

ECM: TOWARDS INTEGRATION CONT… CLASS A SOLUTIONS: FUNCTIONALITY

Modules: imaging and scanning document management digital asset management web-content management and collaboration records management and integrated document archive and

retrieval portal management business process management biometrics and digital signatures search and retrieval e-mail archiving and forms management.

These solutions would be procured if a governmental body requires all-inclusive functionality.

ECM: TOWARDS INTEGRATION CONT…CLASS A SOLUTIONS: PREFERRED PRODUCTS

DocumentumFileNet HummingbirdLivelinkMicrosoft/MeridioVignette

ECM: TOWARDS INTEGRATION CONT… CLASS B SOLUTIONS: FUNCTIONALITY

Modules: imaging and scanningdocument managementdigital asset managementweb content management and collaborationrecords management and integrated document archive and retrieval

business process management. These solutions would be procured if a governmental body requires electronic functionality, but does not have a need for the all inclusive functionality.

ECM: TOWARDS INTEGRATION CONT… CLASS B SOLUTIONS: PREFERRED PRODUCTS

CollaboratorDocumentumIMB Content ManagerMicrosoft/MeridioPapertrail.webTRIMSVignette

ECM: TOWARDS INTEGRATION CONT… CLASS C SOLUTIONS: FUNCTIONALITY

Modules (stand-alones): biometrics and digital signaturessearch and retrievale-mail archivingforms managementportal managementbusiness process management.

These products would be procured if a governmental body already has a core solution implemented and wishes to extend its functionality.

ECM: TOWARDS INTEGRATION CONT… CLASS C SOLUTIONS: PREFERRED PRODUCTS

Business Process ManagementAdobe WorkflowAWDMetastormIMB MQ WorkflowK2.netTibco

Search & RetrievalMS Sharepoint PortalRetrievalware

ECM: TOWARDS INTEGRATION CONT…CLASS C SOLUTIONS: PREFERRED PRODUCTS

E-mail archivingZantaz EASLegato Email Xtender

E-FormsAdobe FormsMS Infopath

ECM: TOWARDS INTEGRATION CONT…CLASS C SOLUTIONS: PREFERRED PRODUCTS

PortalBEAIBM WebsphereMS SharepointOracle PortalTibco Portal BuilderVignette

ECM: TOWARDS INTEGRATION CONT…KEY DECISIONS TO BE MADE BEFORE THE IMPLEMENTATION OF ECM Big bang approach or “Take-it-Slow Approach (Incremental/phased)?

Proprietary or Open Source Solution?

ECM: TOWARDS INTEGRATION CONT… BIG BANG APPROACH OR “TAKE-IT-SLOW APPROACH”

Big bang approach: implementation of a full-blown ECM solution. Start “big” (e.g. by implementing a class A solution)

“Take-it-slow approach”: a phased implementation of an ECM solution Start small (e.g. by implementing a class B or C solution)

INDIVIDUAL ACTIVITY Which of the two approaches do you prefer? Justify your answer.

ECM: TOWARDS INTEGRATION CONT…

ECM: TOWARDS INTEGRATION CONT… ECM: A CASE OF LIMPOPO PROVINCIAL GOVERNMENT

ISSUED BY SITA LIMPOPOBID NUMBER: RFB:LIMP001/2008ISSUED IN MAY 2008To facilitate the management and tracking of content (which includes but not limited to documents and records)

ECM: TOWARDS INTEGRATION CONT… ECM: A CASE OF LIMPOPO PROVINCIAL GOVERNMENT SCOPE

1.Office of the Premier2.Department of Health and Social Development3.Department of Education4.Department of Public Works5.Department of Roads and Transport6.Department of Economic Development, Environment and Tourism (LEDET)

7.Provincial Treasury8.Department of Sport, Arts and Culture9.Department of Safety, Security and Liaison10.Department of Local Government and Housing11.Department of Agriculture

APPRAISAL AND DISPOSAL OF E-RECORDSThe National Archives and Records Service ActSection 13(2) : “no public records under the control of a governmental body may be transferred to an archives repository, destroyed, erased, dumped on the corridors or otherwise disposal of without a written disposal authority issued by National Archivist”.

APPRAISAL AND DISPOSAL OF E-RECORDS CONT…

The National Archives issues three types of authorities:Standing Disposal Authority,Limited Disposal Authority, and the General Disposal Authority


Standing Disposal Authority,Granted to current records, i.e. records that form part of the classification system still in use.

The standing disposal authority is issued by the National Archives on application.


Limited disposal authority Granted to terminated records, i.e. records that form part of the classification system no longer in use.

The limited disposal authority is also issued by the National Archives on application.


General disposal authority Granted to dispose of specific current records. It is granted to records that are similar in all offices, e.g. personal files, financial records etc.

The general disposal authority is not applied for, but offices are often informed by means of circulars issued by the National Archives.

APPRAISAL AND DISPOSAL OF E-RECORDS CONT…Why appraise and dispose e-records?

The appraisal and disposal of electronic records is essential to the sustainability of a quality ERM programme. Preserving valuable records and destroying obsolete ones ensures that only necessary records are retained and saves the organisation time and money.

Appraisal involves determining what records exist or will be created; who creates them and why; how they relate to the organisation’s business functions; and how, when and by whom they are used, and then deciding which records have enduring value and which can be removed once their immediate usefulness is at an end

APPRAISAL AND DISPOSAL OF E-RECORDS CONT… When to Appraise e-records?

Traditionally, paper records were appraised long after they had been created, used and stored. Indeed, it was common to wait 30 to 50 years or more after records were created before deciding whether or not to retain them permanently. Fortunately, paper-based records are ‘neglect tolerant’ and can, within reason, withstand the environmental dangers associated with storage.

Electronic records are unlikely to survive neglect, and it is not possible to wait decades before deciding what to keep and what to destroy. The technology used to create the records may become obsolete in one or two years, if not sooner, and so it is imperative that decisions be made about which electronic records should be kept at the time they are created, if not before.

Ideally, therefore, appraisal and disposal activities should be built into the normal practice of records management, becoming as routine a procedure as possible.

APPRAISAL AND DISPOSAL OF E-RECORDS CONT… Who is Responsible for Appraisal e-records?

Traditionally, appraisal and disposal activities were divided, with the records manager determining the time frame for semi-active retention and the archivist determining the final disposal.

Now, in the electronic records environment, it is practical for the records manager, archivist, information technology specialist and records creator to work as a team, in order to bring a range of expertise to the process of deciding which records need to be kept and which can be destroyed. The records creator brings knowledge of the day-to-day use of records and their

importance to the organisation’s business. The information technology specialist can advise on changes to electronic systems and

best practices in IT operations. The records manager supports the ongoing evidential and informational needs of the

organisation and can balance the user’s needs for records against the resources available in order to make solid judgements about records retention.

Archivists have the long-term management of the records in mind and are responsible for ensuring authentic and reliable records remain accessible over the long term.

Lawyers, auditors, compliance specialists and other subject experts can also contribute important insights during the process of appraisal.

These stakeholders – along with any other appropriate representatives of the organisation – should be involved in any appraisal exercise. ,

APPRAISAL AND DISPOSAL OF E-RECORDS CONT…Appraisal Steps

Appraisal Step 1: Conducting ResearchAny appraisal decision must be based on solid information and research. A critical first step is to gather and analyse as much information as possible about the records’ context of creation and use, as well as information about the records themselves.


Appraisal Step 2: Determining ValueThe appraisal team uses the information and research gathered in Step 1 to determine the value of the records throughout the life cycle: in the active, semi-active and inactive phases, in order to determine how long the records should be retained.

In assessing the value of records to determine their retention for business and accountability purposes, the appraisal team may ask questions such as: Why and how does the records creator use the electronic records?

How long does the records creator need the records in order to conduct business?

What legal requirements must the record creator meet with regard to the protection or use of electronic records?

Might the records be needed for audit, quality control or other evaluation purposes? If so, for how long might such needs continue?


Appraisal Step 2: Determining ValueOnce the value of the records is assessed, those precise retention periods can be assigned and a retention and disposal schedule can be developed, using the records classification scheme as the basis.

Creating a Retention and Disposal Schedule: A valuable tool for records management is the records retention and disposal schedule, which identifies how long records within different series should be retained and whether they should ultimately be kept for their enduring value or destroyed as obsolete. The retention and disposal schedule is a central document in any records management programme, whether for paper or electronic records.

APPRAISAL AND DISPOSAL OF E-RECORDS CONT… Appraisal Steps

Appraisal Step 3: Making an Appraisal DecisionAfter assessing the value of the electronic records being appraised, at the point when they are being considered for transfer a decision needs to be made either to preserve the records or destroy them. The options are as follows: If the records are no longer found to have enduring value, they will be destroyed.

If the records are found to have enduring value, if it is reasonable to assume that they are authentic and if long-term preservation is feasible, the records will be preserved.

If the records are found to have enduring value, but there is some question of whether or not they are authentic, or if preserving the records will require extraordinary efforts or expenditures, the appraisal decision must be made through a case-by-case analysis.


Appraisal Step 4: Implementing the DecisionAll of the work performed as part of Steps 1, 2 and 3 will aid the person responsible for implementing the disposal decisions. Implementation involves two actions: destroying unwanted records and preserving valuable records.


Appraisal Step 5: Monitoring Appraisal DecisionsAs should be clear, it is vitally important that archivists and other records professionals be involved in the development and implementation of electronic records systems as well as in the appraisal of electronic records. Appraised records should be monitored for the following situations.Unexpected changes in business processes can affect how electronic records are used by action officers.

Minor changes in the software and hardware environment made after the system has been implemented may affect authenticity or alter preservation options.

Major changes to the software and hardware environment may place records at risk of loss or damage.

In addition, it is not possible to demonstrate the authenticity of records or assess the potential for preservation before the records have been created.

Consequently, monitoring operations may lead not only to small changes in appraisal documentation, but also, sometimes, to more significant changes in the overall appraisal decision

LONG-TERM PRESERVATION OF E-RECORDS One of the biggest concerns in the area of document management is the form in which the documents are stored.

Organizations are storing records in multiple media formats. Paper records are increasingly yielding to electronic records because most everything done in today’s business environment is electronic.

Text-based documents such as books, articles, reports, forms, contracts and correspondence have been in circulation in paper form for centuries.

More recently computers and information technologies have provided varying facilities to manage, store and retrieve either reference to documents or whole documents.

Different types of storage media have different projected useful life expectancies.

LONG-TERM PRESERVATION OF E-RECORDS CONT… LIFE EXPECTANCY OF SOME FORMS OF STORAGE MEDIA

Clay Tablets: 5000-10000 yearsBooks (Paper): 100-1000 yearsBusiness Records in Filing Cabinets: 20-100 years

Microfilm: 400-500 yearsCDs: 5-100 yearsDigital Tape: 10-30 yearsHard Drive: 10-20 yearsFlash Memory: 10 years5.25 inch disc:5-10 years3.5 inch disc: 5-10 years

LONG-TERM PRESERVATION OF E-RECORDS CONT… As can be seen in figure 1, the useful life expectancy of each type of storage media (and the data that is stored on it) varies greatly.

However given the relative long life of some media, the technology needed to retrieve the data off of that media may be only a fraction of that of the media.

Therefore a Records Manager responsible for maintaining an organization’s historical records may also need to be concerned about having access to equipment and applications capable to reading the media on which the records are stored. organizations should not only be concerned about what is being stored electronically, but how it is being stored along with the issue of how it can be accessed in the future.

LONG-TERM PRESERVATION OF E-RECORDS CONT…

Two viable, often compatible, approaches for the long-term retention of your records:Conversion. When you convert a record, you change its file format. Often, conversion takes place to make the record software independent and in a standard or open format. For example, you can convert a record created in WordPerfect by saving it as a Rich Text Format (RTF) file or to Microsoft Word.

LONG-TERM PRESERVATION OF E-RECORDS CONT…

LONG-TERM PRESERVATION OF E-RECORDS CONT…Migration. When you migrate a record, you move it to another computer platform, storage medium, or physical format. For example, when you migrate records, you may need to migrate them to another storage medium to ensure continued accessibility. For example, if you migrate records from magnetic tapes that deteriorate, you may need to migrate the records to a compact disk to ensure continued accessibility. Moving files to another computer platform which may require changing their formats.

LONG-TERM PRESERVATION OF E-RECORDS CONT… As you consider conversion and migration, consider which media are appropriate for long-term retention. You may discover that another medium (e.g., paper or microfilm) is the best option.

You may also determine that you want to combine approaches, such as converting all files to an open format and migrating them to a single platform and storage medium.

Electronic information is normally stored on: Magnetic Media (Magnetic tapes and Magnetic Tapes): The term ‘magnetic media’ is used to describe any record format where information is recorded and retrieved in the form of a magnetic signal.

Optical Storage Media (CDs, DVDs: The term ‘optical disk’ is used to describe a range of disk types where the information is held in a form that is read optically, i.e. by a light source (usually laser) and photoelectric cell.

PREREQUISITES FOR IMPLEMENTING AN E-RECORDS SYSTEMWork on complementary assets

Variations in returns on investment in ISSome organizations invest a great deal and receive a great deal

Others invest a great deal but receive lessYet others invest less and receive muchStill, others invest less and receive little in return

The answer for this variation lies in the concept of complementary assets


Investment in Information systems alone cannot make organizations and managers more effective unless they are accompanied by supportive values, structures, and behaviour patters.


Complementary assets: those assets required to derive value from primary investment

Organizations that support the IS investments with investments in complementary assets such as new business processes, management behaviour, organizational culture, or training receive superior return than those that do not.


FORMS OF COMPLEMENTARY ASSETS Organizational Assets

Supportive organizational culture Efficient business processes Decentralized decision-making rights Strong IS development team


FORMS OF COMPLEMENTARY ASSETS Managerial Assets

Strong senior management support for IS investment and change

Incentives for management innovationsTeamwork and collaborative work environment

Training programmes


FORMS OF COMPLEMENTARY ASSETS Social Assets

Internet & telecom infrastructure Policies & Standards Laws and regulations Technology and service firms to assist implementation

PREREQUISITES FOR IMPLEMENTING AN E-RECORDS SYSTEM CONT… Conduct a Records Survey

A records survey is a systematic analysis of all the records – either paper, electronic or both – created and used in a particular organisation or department within that organisation.

A records survey can help an organisation to take control of its existing records, ideally in order to bring them into a more structured records management environment.

A survey can also be used as the basis for developing a classification scheme and retention and disposal schedule, and it can provide the background information needed to determine the information needs and requirements of the organisation.

A survey can also be used to keep track of changes in information systems over time and to plan business continuity and disaster recovery plans.

PREREQUISITES FOR IMPLEMENTING AN E-RECORDS SYSTEM CONT… Develop a Records Management Policy

In order to achieve a successful electronic records management programme, an organisation needs to establish a sustainable records management infrastructure, which includes developing policies for the management of records and information in all forms, including electronic and paper.

A records policy: provides clear guidance on what records are and why they need

to be managed effectively explains how good records management will serve the needs of

the organisation sets out general principles and policies relevant to the

organisation on specific aspects of records management, which then form the basis for the implementation of new records management programmes

identifies statutory or other legal foundations for organisational record keeping.

PREREQUISITES FOR IMPLEMENTING AN E-RECORDS SYSTEM CONT… Develop a business case for improved electronic records management Developing any new programme in a government agency or business office requires approval and funding.

To obtain this approval and funding, senior management needs to understand why such a programme is necessary.

Because the success of any electronic records management system, programme or project depends so greatly on senior management support, the records professional needs to develop a strong business case for the new initiative.

The business case should argue convincingly that the proposed action is required; therefore the business case needs to be based on solid research, including the findings of a needs assessment or scoping study.

The business case must also explain the benefits of, and drawbacks to, the proposed project.

PREREQUISITES FOR IMPLEMENTING AN E-RECORDS SYSTEM CONT… Planning an electronic records management Project (Project Planning) Once a project has been identified but before it begins, it is essential to determine how it will be executed. Will the work be performed by one person or by a project team? The size and scope of the organisation, and the urgency or complexity of the project, will usually be determining factors. Anyone involved with the project will need particular skills and knowledge, including expertise in records management principles and procedures expertise in, or access to expertise in, information technology strong interpersonal skills (especially if interviewing staff

is a key requirement). Resources required for the project will include one or more of the following: time staff corporate plans and other organisational documents access to file servers information on electronic records management systems

(requirements, previous studies, undertakings in similar organisations and so on).

PREREQUISITES FOR IMPLEMENTING AN E-RECORDS SYSTEM CONT…Selecting and implementing ERM software systems Determining business requirements: The first step in selecting and implementing an electronic records management (ERM) system or application is to determine what exactly will be accomplished with the software. What will the ERMS do?

Understanding functional requirements: Functional requirements are the actions a software program will perform in order to generate a desired result: they are the inputs and processes that lead to intended outputs. In order to manage electronic records effectively, what must an ERMS do?

PREREQUISITES FOR IMPLEMENTING AN E-RECORDS SYSTEM CONT… Selecting and implementing ERM software systems

Choosing an ERM vendor: When preparing to assess RFPs, it is useful to develop a checklist of questions that should be answered by potential vendors. The answers will help the organization determine which vendor may offer the most appropriate products for its needs.

Configuring and implementing the ERMS: Nearly all ERM applications must be configured prior to implementation. Because the software cannot be installed ‘right out of the box’ as it were, an information technologist will need to tailor the application to meet the organisation’s own needs and operations.

Monitoring the system: As with all new systems and processes, it is important to establish procedures for monitoring and auditing the system on an ongoing basis. Any ERMS must be monitored on a regular basis until it is replaced.

Establishing training and communications mechanisms to ensure staff compliance with the new system

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E-Records Management

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