Developing and Implementing Electronic Document and Records Management Systems

The Electronic Documents and Records Management (EDRM) Legal Framework

• Current Legislation Governing the Management of Information in Organisations:

• Electronic Communications and Transactions Act.

• National Archives and Records Service of SA Act

• Protection of Personal Information Act.

• Bill o Promotion of Access to Information Act of

• The new Companies Act

• The King III Code of Corporate Governance.

• Other relevant regulations and guidelines in the public and private sector

• Identifying the types and characteristics of information resources to which the legislation applies:

• Records

• Documents

• Defining the steps for developing an EDRM policy in your organisation:

• Classification

• Appraisal

• Retention

• Disposal management

• Examining and quantifying the potential benefits and business case for designing and implementing a records management framework:

• Accountability and transparency

• Relevance of document retention and data integrity

• Systems efficiency and cost reduction of Integration of data

• Streamlined business processes for accessing and storing data

Teaching and Learning Process: Development of Effective DRM Policies and Procedures

• Determine the essential elements of your DRM policies and procedures document:

• Scope and aims of the policy of Records management principles and approach

• Responsibilities of record management

• Resources and systems

• Records retention and disposal

• Classification design

• Protection and access of data

• Disaster recovery

• Monitoring and measurement of Standard procedures

• Evaluate the management of different types of documents:

• Paper records

• “Born-digital electronic documents

• Images

• e-mail

• Determine the infrastructure and technology resources required to actively manage your records management system:

• Assess the needs of each department

• Evaluate the appropriate technology to capture and preserve all electronic and business documents

• Analyse your current Information systems and technology

• Examine the criteria for identifying and selecting an appropriate DRM system:

• Functionality of the system

• Alignment with your organisation’s infrastructure

• Upgrading current systems

• Analyse effective roll-out methods and adoption for efficient application by all users:

• Deployment of policies

• Security considerations

• Communication policy to promote your policies

Change Management Requirements and Planning

• Identifying what needs to change in your organisation in order to ensure the highest level of

success in managing your business documents and records:

• People

• Processes

• Systems

• Planning your change management strategy:

• Consulting the Customer and Employee

• Stakeholder analysis

• Regular information sessions

• Promoting participation in the process

• Gather feedback to ensure continuous improvement

• Defining the appropriate mechanisms for driving forward a change management process that will overcome the fears of implementing a records management programme and systems and get buy-in at all levels by using a:

• Top-down approach to create a culture of leadership and ownership of the process

• Bottom-up approach to sustain the readiness and capacity for the change in adopting your DRM initiative

• Aligning the goals of each business unit with your overall business objectives in order to drive your DRM and business performance

• Promoting an awareness among your internal and external users by effectively communicating the benefits of your DRM system

• Creating and communicating a shared vision, mission and core values to drive forward your DRM process and improve overall information and records management compliance and performance

• Successfully overcoming the internal resistance obstacles to your DRM policy by cascading your DRM system down to all your business units

• Applying the appropriate reporting processes for effectively implementing and maintaining your DRM system.

Roles and Responsibilities

• Analysing the capabilities, functions and responsibilities of your managers and users who are required to plan, implement, and manage your DRM system:

• Ensure that the EDRM policies and procedures and internal controls are executed responsibly

• Maintain effective, efficient, and economic utilisation of all resources to ensure sound records management

• Safeguard business records against loss and damage.

• Promote the effective capture and storage of all records

• Understanding the general responsibilities of the Chief Information Officer (CIO) and IT department in assessing potential risks and achieving efficient records management practice

• Evaluating the appropriate training and support programmes for all stakeholders in optimising the effective functionality of your EDRM system

• Obtaining buy-in from all staff and overcoming communication barriers to ensure an efficient EDRM system

• Ensuring that your EDRM policies are aligned to your organisational policies and procedures

• Creating a culture of ownership and compliance with your EDRM polices among your personnel

Classification Processes and Plans

• Determining the classification and role of various records and documents as prescribed by the relevant legislation and regulations:

• File plan

• Paper-based records

• Electronic records

• Audio-visual records

• Assessing the characteristics of a classification system:

• Index requirements

• Naming conventions

• Metadata

• Categories of documents

Project planning for Electronic DRM Systems (EDRM)

• Mapping out a pilot phase for designing your EDRM system

• Identifying the potential obstacles, challenges, and pitfalls that you can avoid in ensuring that your implementation process in on track

• Setting up your EDRM project team and developing a project management approach for creating your EDRM system

• Determining the external and internal resources required to successfully implement your EDRM

• Setting targets and objectives for achieving a successful roll-out of your EDRM system

• Pinpointing the appropriate methods for tracking and measuring the success of your EDRM process

• The role and implementation of electronic (digital signatures)

Appraisal, Retention and Disposal

• Define the meaning and various features of a sound document appraisal system:

• Primary documents

• End value of the document

• Determine the characteristics of a solid document retention process:

• Reasons for retaining records

• Legislation governing the retention of documents and records and penalties for non-compliance

• Types of records to be retained

• Retention schedules

• Accurate access of documents with effective searching tools

• Evidentiary considerations

• Establish the various elements of a document disposal management system:

• Regulations governing disposal of records and documents

• Disposal schedules

• Authority to dispose of documents

• Other considerations for disposing of records

Identify the appropriate systems for storage and disposal of your organisations records and documents:

• Scanning and Imaging

• On-site versus off-site storage

• Back-up strategy

• Assess the tried and tested steps for migrating documents to storage without losing critical information:

• File plan

• Control mechanisms

• Which documents remain live and which records are archived

• Document life-cycle management

• Long term preservation issues

• Identify the appropriate systems for storage and disposal of your organisations records and documents:

• Scanning and Imaging

• On-site versus off-site storage

• Back-up strategy

• Assess the tried and tested steps for migrating documents to storage without losing critical information:

• File plan

• Control mechanisms

• Which documents remain live and which records are archived

• Document life-cycle management

• Long term preservation issues

Disaster Recovery and business continuity Planning

• Understand and plan for vital records

• Understand the benefits of implementing best practice information disaster recovery plans for ensuring continuity of business operations in the event of a disaster

• Analyse the effectiveness of your business continuity infrastructure to reduce the risks of a disaster in your EDRM process

• Implement strict monitoring and tracking systems for improving the corrective and prevention action in order to detect failures quickly and efficiently within your EDRM programme

• Assess the appropriate technologies for ensuring an uninterrupted flow of business operation and data retrieval

• Identify the critical records that are required to continue business operations in the event of a disaster

• Create a disaster recovery team who is well prepared in implementing and managing your disaster recovery programme

Quality, Integrity, and Security Measures

• Determining the reliability and quality of your EDRM infrastructure and system

• Defining the link between various business units to support the efficiency of your records management process

• Examining the various South African National (SANS) and international (ISO) standards, to achieve best practice in reliability, integrity, and authenticity of electronically stored information

• Creating internal versus external benchmarks as effective measurement mechanisms to accurately track the progress of your records management system

• Identifying where the potential risks exist in your EDRM system

• Undertaking the appropriate steps to preserving the integrity and protection of all documents

• Adopting compliance monitoring and inspections for effectively managing the lifecycle of your documents

• Conducting regular policy reviews and assessments of your EDRM system to establish the effectiveness of the process in line with changes in legislation or business processes.