LESSON TO LEARN FROM ANALOGUE TO DIGITAL

From as early as the 1980s, software applications emerged to assist records management professionals manage diverse digital content as these applications increased in number and sophistication, different terms were used to describe them as, Electronic Document Management Systems (EDMS),Electronic Records Management Systems (ERMS),Integrated Document and Records Management Systems (IDRMS), Electronic Document and Records Management Systems (EDRMS) andEnterprise Content Management (ECM) systems.

An organization decides to pick on software application that best suits its business transactions

2.         FACTORS TO CONSIDER

Before the University embarks on automation and digitization projects, the following mandatory areas should be considered and addressed

2.1 Regulatory Environment

Identification of the regulatory environment that affects the activities of the University and documentation in general. The policies and procedures (in relation to records management) should reflect the application of the regulatory environment to the University’s business processes. The University should provide adequate evidence of its compliance with regulations in the records of its activities.

The regulatory environment might consist of:

• University statutes, laws and regulations governing the education sector
• Laws and regulations relating to records, archives, access, privacy, evidence, electronic records, data protection and information
• Standards of practice including ISO
• Codes of conduct and ethics

2.2       Business Systems Analysis

When embarking on any automation initiative, it is particularly important to verify that the existing manual records or archives management processes are well designed.  Automating poor systems will not make them more efficient. 

Manual systems in place for management of paper records should be evaluated and seen to be working in all records creating units within the University, before automation program is initiated.

2.3       Assessment and Planning

The computerization of work processes requires knowledge, skills and wisdom from more than one discipline. During planning stage, it is advisable to involve every stakeholder – Top Management, Records Manager, ICT expert, Librarian, a Documentarist, Procurement staff, Finance, Security personnel and other key officials who depend on records.  A system that does not meet the needs of users is counter-productive and represents a misuse of resources.

Automation project has a greater chance of success if it begins with good planning. Without planning, the systems developed may be inadequate, people may be poorly trained and the final project may not be successful.

2.4       Developing Goals, Objectives and Priorities

 Any automation project must be well planned, based on clear and achievable goals and objectives and well-established priorities. If the records management automation project does not blend well with the organization’s overall business goals, objectives and priorities, there is likely to be little support for its development. 

2.5       TECHNICAL CONSIDERATIONS

During the assessment and planning process, it is important to consider the University’s capacity for maintaining the system and its ability to provide the training necessary to support the use and application of automated tools. Some questions to consider in this area include the following.

• Is there sufficient technical support to solve hardware and software problems in a timely manner?
• What types of software are supported by the University?
• What systems are already in place?
• How will the new system work with existing systems?
• Are policies and procedures in place for backing up data on a regular basis?
• What precautions are in place to combat viruses?
• What type of training is offered internally to assist employees in gaining and developing their own computer skills?
• Is there someone close by who can answer questions about software packages used by the organisation?

2.5.1    Characteristics of Records

A record should correctly reflect what was communicated or decided or what action was taken. Records management policies, procedures and practices should lead to authoritative records that have the following characteristics:

Authenticity—An authentic record is one that can be proven to:
– Be what it purports to be
– Have been created or sent by the person purported to have created or sent it
– Have been created or sent at the time purported

Reliability—A reliable record is one whose contents can be trusted as a full and accurate representation of the transactions, activities or facts to which they attest and can be depended upon in the course of subsequent transactions or activities. Records should be created at the time of the transaction or incident to which they relate, or soon afterwards, by individuals who have direct knowledge of the facts or by instruments routinely used within the business to conduct the transaction.

Integrity—The integrity of a record refers to it being complete and unaltered. It is necessary that a record be protected against unauthorized alteration.

Usability—A usable record is one that can be located, retrieved, presented and interpreted. It should be directly connected to the business activity or transaction that produced it.

NOTE:

This is to emphasize that it must be proven that the manual systems and procedures in place are used across the board and results in the creation and maintenance of authentic and reliable records. Records that have integrity and usable. Until this is achieved, the process of automation and digitization should be put on hold.

3.ORGANISATIONAL FACTORS

A key decision to be made is to determine who should be involved in the automation decision-making process.  Other major organizational decisions include the following.

• Who will be authorised to enter, change and delete data?
• Who will have access to view data in the new system?
• Are different levels of access needed in the system?
• How will the new system be implemented (for example, full automation of one records office or incrementally by introducing one computer into a number of records offices)?
• Will it be implemented all at once or in phases?
• What levels and types of training are required for different staff members and other users to understand and utilise the system?

4.         RESOURCE REQUIREMENTS

Resources are measured in terms of money, time and people.  The major question usually is: what will the system cost?  Other resource questions include the following.

• Where will necessary funds come from?
• When is the system to be installed?
• Are there sufficient funds to work within this time frame?
• Do sufficient funds exist for long-term maintenance of the hardware and preservation of the data in the system?
• Is there sufficient space to install such a system?
• What are the human resources requirements?

5.WHAT SHOULD BE AUTOMATED?

 Records functions

Potential records-related functions to which technology can be applied include

• Administrative tasks such as correspondence, personnel management, accounting, or reporting
• Classification and listing of current records
• Scheduling of current records
• Location and tracking of current and semi-current records
• Information about authorised users of current and semi-current records
• Identification of records for disposal to records centres or archives
• Management of physical space and storage for current records, semi-current records or archives
• Acquisition and accessioning of archives
• preservation assessments
• reference and retrieval of archives
• registration of users and researchers
• provision of finding aids or descriptive information about records or archives

1. DIGITIZATION.

RECORDS TO DIGITIZE

Digitization is a very expensive project and therefore only records of permanent preservation- the so called archival records, should be digitized. Example of such records include:

• Policy documents
• Students records/files
• Records/files of Top Management and Senior Administrative staff
• Minutes of University Council and Senate meetings
• Minutes of University Management Meetings
• Deans Committee Minutes
• Asset records
• Planning documents
• Annual reports and other reports required by law or regulations
• Thesis and projects
• Research proposals and findings

6.1       CAUTION.

•  The preservation benefits of digitisation have yet to be proved.  While electronic images certainly take up less room, their long-term stability is not guaranteed, so regardless of whether the University makes use of digital technologies for copying, it is likely to wish to retain the originals in safe storage.
• Although the concept of converting records to electronic form can seem appealing, many experts have argued that the long-term consequences of such work have not been determined yet and may be more expensive and complicated than simply storing the original records in a safe environment or copying them onto microfilm.