Managing Records From Physical to Electronic. Presented by Sindy Lee

Transcription

1 Managing Records From Physical to Electronic Presented by Sindy Lee

2 Introduction Physical vs Electronic Records Combining Physical and Electronic Records Steps in Implementing an Electronic Records Management System (ERMS)

3 Filing Records Physical Records Electronic Records That is only 1 format to worry about Paper Easy to file Duplication by different registries in different locations is required for easy retrieval Many different source and types of records Training is required Record is in the server where different users from different location can access the same copy

4 Classify of Records Physical Records Electronic Records Due to the limited size, there is a need to divide into small size e.g. Volume Consider accessibility Must be granular enough so that records can be found No Volume constrain Based on identifying a subject Search and retrieves documents, rather then File

5 Tracking and Locate Records Physical Records Electronic Records Requires tracking where about of the Physical Files at any one point of time. Ensures that it is properly return to storage in good condition after usage Only need to audit the access No actual movement of Files.

6 Security and Access Control Physical Records Electronic Records Security depend on physical storage High level access control policies that is enforced by staff that are capable of making fuzzy judgement Different security challenges Requires more precise access control definition and security policy so that the System can enforce.

7 Protection of Vital Records Physical Records A lot of effort is required to duplicate the records as well as the identification and management of the duplicates Electronic Records Records can be easily backup and stored offsite

8 Retention and Disposal of Records Physical Records Electronic Records Requires human effort to identify and retrieve records due for disposal Requires human effort to ensure that the records are destroyed System assists to identify the records due for disposal System assists with the destruction of the records

9 Weak Physical Record Strong Physical vs Electronic Records - Ease of Filing - Availability of system - Low maintenance - Ease of use - Acceptant of Record - Security - Accessibility - File Creation - Availability of Record - Safe from destruction - Search and retrieve - Tracking - Distribution of Files - Storage Efficiency - Ease of Classification - Backup and Restoration of Records Weak Electronic Record Strong

10 Combining Physical and Electronic Records Separate physical and electronic registry Common starting point for implementing ERMS Electronic Records Registry managed by IT RM Officer concentrate only in physical record registry PROs CONs Little interruptions to current operation RM Officer s input and requirement may not be captured Expand the benefit of registry to better integrate with other IT initiatives At risk of becoming too KM or workflow oriented with no consideration for records management

11 Combining Physical and Electronic Records Print out and Register Most common practice PROs CONs Easily and readily adapted since it is essentially a paper registry system Many records in electronic form are not printable Lacks authentication and information when printed Volume of e-records, e.g. s can be high Unable to take advantage of benefits from ERMS

12 Combining Physical and Electronic Records Scan paper record into ERMS and file physically. Method adopted by many more matured registries Electronic records are used for action and information, while the paper copy is kept in storage PROs CONs Able to take advantage of best of both work User needs to be trained to register e-records. Reduction in tracking effort Reduces risk of paper records, e.g. damage, lost Simply filing method User needs to be trained to search and retrieve e-records Additional scanning effort, but can be justified from lowering effort in tracking and distribution.

13 Steps in Implementing ERMS 1. Identify the records that the organization has 2. Determine how the records should be managed 3. Identify the current situation 4. Design the Strategy to manage the records 5. Implement and monitor the Strategy

14 Steps in Implementing ERMS Step 1 - Identify the Records that the organization has Conducting Records Survey Studying the existing Business Activities Document the Records Inventory

15 Steps in Implementing ERMS Step 2 Determine how the records should be managed Decide what records to be kept in physical, what will be in electronic Identify who will be responsible for the records Decide how the records are to be stored and managed

16 Steps in Implementing ERMS Step 3 Identify the Current Situation Review the existing policies Review the current process

17 Steps in Implementing ERMS Step 4 Design the Strategy to manage the records Determine the policies / procedures that will be changed Identify the skillsets required for the staff

18 Steps in Implementing ERMS Step 5 Implement and monitor the Strategy to manage the records Conduct Usage Survey Generate Usage Reports Train, Train, Train

19 Conclusion Integrating physical and electronic records requires review of methods and policies Invest in scanning Records Manager and User led, with IT facilitation Senior Management Commitment and participation

20 Thank you