Possible Functionality Specifications for Records Management System at Wits University

Transcription

1 Possible Functionality Specifications for Records Management System at Wits University Rabelani Dagada Researcher and Acting elearning Manager elearning Support and Innovation Unit (elsi) Office of the Deputy Vice-Chancellor: Knowledge & Information Management Abstract: This paper agitates for the implementation of a Records Management System which is web-based so that relevant stakeholders could access records anytime and anywhere. The implementation of the aforesaid system should be done within the parameters of the Wits Records Management Policy and its Retention Schedules. In the absence of a Records Management System, the University is likely to loose critical institutional information and knowledge due to the lack of proper centralised records repository. Certain units within Wits have also noted that the current archive of records is mostly disintegrated and unreliable. Moreover, the University, like any other organisation in South Africa should comply with legal requirements and corporate governance principles in terms of records management. Keywords: Records Management System, web-based, Records Management Policy, Retention Schedules, centralised records repository, legislative compliance, and corporate governance principles. 1

2 1. INTRODUCTION A Records Management System is in essence an Enterprise Content Management System (ECM). ECM is a widely-recognised Information Technology (IT)-industry term for software that enables organisations to create/capture, manage/secure, store/retain/destroy, publish/distribute, search, personalise, and present/view/print digital content such as pictures/images, text, reports, video, audio, transactional data, catalogues, and code. ECM systems primarily focus on the capturing, storing, retrieving, and disseminating of digital files for enterprise use and their life-cycle management. ECM systems are generally tactical and non-discretionary expenditures, but they are increasingly being viewed as strategic core investments as institutions deal with accelerating operational velocities, consolidation of redundant content management systems and exponential growth of content and compliance issues (mandated or perceived). Moreover, these systems are becoming more infrastructure than application like. The time has come for Wits to invest in an electronic Records Management System. Records Management is the practice of identifying, classifying, archiving, preserving and sometimes destroying records. There is an International Standard on records management, ISO 15489: It defines records management as: The field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including the processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records. The International Organization for Standardization (ISO) defines records as information created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or transaction of 2

3 business ( The International Council on Archives (ICA) defines a record as: a specific piece of recorded information generated, collected or received in the initiation, conduct or completion of an activity and that comprises sufficient content, context and structure to provide proof or evidence of that activity ( While the definition of a record is often identified strongly with a document, a record can either be a tangible object or digital information which has value to an organisation. For example, birth certificates, medical x-rays, office documents, databases, application data, and are all examples of records. Sharing the institutional knowledge and information is vital in ensuring the current and future success of Wits. The Records Management System will address this need of effective communication by offering a range of functions that improve and monitor the knowledge generation and maintenance processes within the organisation, regardless of where the knowledge workers (academics and professional support staff) are located. No geographical boundaries will exist for the system which is built around the specifications proposed in this document. This intelligent electronic filing cabinet for processing, archiving, finding and distributing critical business correspondence will function in any web browser (Internet Explorer, Netscape, etc). The system being proposed here will encapsulate the full life cycle of content business management. The system administrator may model components that are applicable to the specific institutional requirement. This paper will deal with the business case for the records management and tentative system functional specifications. The next section provides a business case for the implementation of a Records Management System. 2. BUSINESS CASE FOR THE RECORDS MANAGEMENT SYSTEM South African legislative requirements compel public and private institutions to take a formal approach to records, correspondence, data and document 3

4 management. Other than satisfying the legal requirements, the University of the Witwatersrand (Wits) has to store its records, correspondence, data and documents efficiently to ensure organisational effectiveness. Records keeping will include all the official outgoing and incoming correspondences in the form of post, , and fax. The University loses critical business information and knowledge due to the lack of an integrated Records Management System. In implementing this initiative, the University should acquire or develop a webbased integrated Records Management System for processing, archiving, searching, and disseminating critical operational information. This system will provide a reliable single point of access to all the institutional information, correspondence and records. A web-based system will allow relevant stakeholders to access any single records management component, workflow function, item and/or resolution repository via the web-based predefined permissions allocated to individual users (Dagada, 2009a). Accessing of the aforementioned data and information could be done anytime and anywhere because the system will be web-based. This will enable both onsite and remote users to obtain access to information that they need to perform their duties via a web browser. The system will use workflow definition to forward correspondence electronically to the personnel that are responsible for resolving matters contained in the correspondence. The workflow definition will be set uniquely for Wits needs. The use of the web-based Records and Document Management System will enable Wits to comply with the following Acts and statutes of the Republic of South Africa: o National Archives and Records Service of South Africa No. 43 of o Promotion of Administrative Justice Act No 3 of o Electronic Communications and Transactions Act No. 25 of o Promotion of Access to Information Act No. 2 of

5 It should however be borne in mind that the introduction of Records Management System has more value than just complying with legislation. In an academic environment, there are huge educational benefits to implementing proper Records Management System. For example, the system will show whether Wits as an institution has been able to fulfil its functions and the degree of success or failure. In the long term, the University s records will have huge cultural and research value since they will be migrated to the National Archives where they will be protected by South African Copyright Law. One of the functions that the Records Management System should possess is contract management. The University has many business-to-business transactions with its clients and service providers. Though many of these contracts contain clauses, terms, conditions, commitments and milestones that need to be tracked and be managed over the contract s life to maximise business benefits and minimise associated costs or risks, the University does this with difficulty due to the lack of the necessary technological support. Literature shows that Wits is not the only organisation struggling with manual management of contracts (Conrad and Raymond, 2007). In most organisations contracts are archived away in departmental filing cabinets never to be reviewed again until a problem arises or the contract has already expired (Paurobally, Tamma and Woolrdidge, 2007). It is in this premise that Wits should implement a Records Management System which would enable the University to be effective and proactive in the management of contracts. Furthermore, the University will have deeper and more contextualised understanding of the risks, obligations and benefits associated with each contract. While much of the focus on contract management is centred on procurement contracts, this strategy is urging the University to focus on managing the entire Lifecycle (the term used to describe the entire process of creating, negotiating, storing and managing legally binding contracts and agreements). Lifecycle Management should apply to all types of contracts, whether they are supplier, 5

6 customer or employee based (Barbagallo & Comuzzi, 2008). Other benefits of contracts management are speedy establishment of new contracts; online confidential contract negotiations; integration to the Wits back office financial system (Oracle); extensive search capabilities; automated warning of contract renewal; electronic contract archival; clause identification and tracking; and performance management pertaining to contracts. 3. TENTATIVE SYSTEM FUNCTIONAL SPECIFICATIONS This section deals with the functional specifications for correspondence, records and contracts management. 3.1 Specifications for the correspondence management Subsections below address functional specifications for the correspondence management regarding the following aspects - facsimile, paper, , internal, and outgoing correspondence. Facsimile-based correspondence The system should have the ability to integrate to industry facsimile servers. Once the fax is received by the server a digital copy of the incoming fax should be placed on a network drive. The system should automatically upload a digital copy of the correspondence into the repository where all correspondence (active and completed) is kept. A predefined workflow process is automatically initiated when a fax is successfully stored in this repository. Paper-based correspondence Most of the University s formal correspondence usually arrives via the traditional post. As part of implementing the Records Management Policy, the University 6

7 should appoint a mail room clerk who removes the post from their envelopes. After registering post, the post will be prepared for scanning. Using a certified scanner or multi-function copier and printer with scanning capabilities, large volumes of paper-based mail can be reliably imaged. The scanning clerk will perform a quality check on the scanned image before placing it on a designated network drive. The Records Management System should have the ability to monitor the drive to automatically upload the digital copy of the correspondence into the repository where the correspondence (active and completed) is kept. A predefined workflow process should automatically be initiated when the post is successfully stored in the repository. -based correspondence Today, providing first class stakeholder service is as important for a university as it is for a private commercial company. Wits should employ a Records Management System which provides automated or manual capturing of all s and stores them in a University repository. This repository will contain all incoming correspondence for the University. The recipient of the may decide to submit a new to the repository. The newly received could trigger a predefined workflow that will ensure that the correspondence is resolved satisfactorily. Internal correspondence The formal method of collaboration within the University is with the use of paperbased memorandums. Registers should be kept to record the distribution channel of each memorandum. has made the process easier but at same time had introduced less control over the management of correspondence. The Records Management System should allow the user to submit a memorandum into a predefined (customisable for each environment) workflow. 7

8 Outgoing correspondence In most organisations formal correspondences only takes place with the use of an original paper-based document. Although this may be the case, the method of informing the stakeholder of the response may take place using other communication methods like a telephone, or fax. The envisaged Records Management System should enable the user to automatically submit a copy of the letter by way of fax and/or to the stakeholder. These activities may be placed after the outgoing correspondence has been approved by the authorised user. The next section deals with the functional specifications for records management. 3.2 Specifications for records management A Records Management System at Wits should give stakeholders comprehensive, complete lifecycle management of all University records and information holdings, in paper or electronic formats. It should empower all the relevant stakeholders in the University to file all Wits holdings according to the University structure, thus reducing the risks associated with audit and litigation. The records interface should be integrated into the web-based interface, allowing all users to access records management functions anytime and anywhere (Simitsi, Baid, Sismanis & Reinwald, 2008). By providing a common interface for the access of all forms of information, such as images, paper, word processing, spreadsheets, and , the Records Management System will remove the complexities of electronic records management, making processes transparent to the end user. The system should be able to conduct the following Records Management Activities (Dagada, 2009a; Ercegovac, Josifovski, Mediano & Shekita, 2008): 8

9 Managing records Electronic records should be stored in a repository (open architecture) and maintained in their original format. Authorised users should have the ability to add, change and delete records in an auditable environment using predefined (workflow) processes. Implementing a file plan Authorised users should be able to create a file plan for the University or any part thereof. The properties (metadata) for the plan should be customisable for each customer. The system should allow documents to be organised in a customisable hierarchical and visual operational taxonomy. The auto classification engine should classify documents based on corporate rules. The folder series, folders, and documents of this taxonomy should have extensive, customisable and searchable profiles. Filing messages Users should be able to forward the s to the archive address (e.g. archive@wits.ac.za). The message with all its attachments will be stored and filed in the file plan according to the rules of the file plan. The system should integrate to most of the mainstream mail message system. Storing records All records will be stored in a Wits repository. Records should be created and maintained using the workflow engine. The activities that results in the creation and maintenance of records should be defined for Wits. Workflow processes are then maintained from time to time to ensure that a continuous improvement program is established for the organisation. 9

10 Scheduling records The Records Management System should provide the capability to schedule records by maintaining retention schedules and disposition instructions, and associating them to the record folders under which records are filed. Retrieving records It has already been mentioned that all records will be stored in a Wits repository. The system will enable users to access the records via the web and rule-based permissions should allow only the authorised stakeholders to access the records. Disposition processing The disposition process should be performed by a predefined workflow process that is automatically triggered on the day the disposition instruction needs to be performed. The instructions issued by the workflow will then be performed by the authorised users only. Some of the workflow actions may include the cutting off of records, transferring records, destroying records, access review, etc. Document imaging capability The Records Management System should accept images in any format. Images will be imported into the system by any of the mainstream imaging contribution components (scanners, facsimiles, applications, etc). Once the images are stored in the system, the images should be indexed (Optical Character Recognition) to ensure that full text search can be performed to retrieve the image at a later stage. The next section deals with the functional specification for contracts management. 10

11 3.3 Specifications for contracts management Wits requires a Records Management System which amongst others has a module/functionality that deals with contract information. The module (repository) should be easily accessible to the users and designated stakeholders to facilitate the establishments and management of contracts. The contract management functionality should provide for a centralised repository of contract information thus enabling rapid establishment, collaboration, and retrieval of all stored documentation and information. Some of the key functional specifications are the following (Dagada, 2009b; Ataulla, Aboulnaga & Tompa; Bechini, Tomasi & Viotto, 2008): Speedy establishment of new contracts The contract management system functionality should allow for the establishment of contract templates that can be standardised, indexed, numbered and stored according to any indexing system. These templates should be made available online (both internally and externally to the University) to all contracting parties to collaborate in order to ensure optimum use of time, meetings and paper. The system should enable comments and changes to the contracts to be made by both parties, tracking changes and the document. The contract will then be turned into a record and retained according to Wits Records Management Policy, not allowing any changes without version control. Online, confidential contracts negotiations The envisaged Records Management System s module on contracts management should create a portal environment where contract sites can be organised according to contracting parties, type of contract, etc. Access should be password-protected for both internal and external users allowing audit trails 11

12 and confidentiality as defined by Wits. This will ensure that no unauthorised access to sites or changes to documents can be made. Integration to the University s back office financial system The system should integrate easily with the Oracle Enterprise Resource Planning (ERP) system. Contracts study terms, disbursement and subject matter Wits should implement a system which has extensive search capabilities. This will make contract study of terms, disbursements or any other subject matter in all contracts easy to do. Where the type of search is a frequent event, a standard report will be compiled to perform the contract study on a regular basis and produce a report at the press of the button or at specified intervals. Computerised warning of contract renewal When a contract is finalised and turned into a record, Metadata about the contract should be captured which in turn can either be searched upon or a daily report indicating contract expiry or near expiry dates can be produced. This will then be ed directly to affected parties accounts to alert them. Electronic contract archive The records management capability of the envisaged Records Management System will allow for electronic document archival as built-in functionality. If hard copies are produced, they can be scanned and linked to the electronic copies for easy retrieval. 12

13 Clause identification and tracking As mentioned before, the search and reporting functionality built into the envisaged Records Management System should allow for easy clause identification and tracking over any number of contracts, clients, types, etc. Performance management pertaining to contracts Many times contracts have specific deliverables that can be tracked or identified. These can be captured in Metadata and tracked on an ongoing basis using regular reports, or specific task lists produced in the course of the contract. It can then be published on a contract website which can be made available to all parties involved in the contract for updating, notifications, and performance management. The system should provide the workflow functionality required to ensure tasks get completed and should contain built-in performance measurements which can be used to improve processes. 4. CONCLUSION The implementation of the Records Management System in the University will prove to be a robust Knowledge Management tool. Due to the webagility of the Records Management, relevant stakeholders within the WBS and the University will be able to access records component, workflow function, item and/or resolution repository via the Internet based on predefined permissions allocated to individual users. The paper has revealed that records and documents have more value than just complying with legislation. Actually there are lots of benefits of managing your records and documents effectively. Records and documents show whether an institution was able to fulfil its functions and the degree to which it was able to successfully fulfil these functions. The value of documents can be broken down into the following 3 areas: primary or administrative value, secondary value, and practical value. 13

14 This paper has also highlighted the importance of the Contracts Management. An Enterprise Contract Management implementation should be a high priority for any institution. One of the main tenets of this paper is that Contracts Management facilitates knowledge management to enhance institutional efficiency. In the local government organisation, a well implemented Contracts Management System will be one of that factors that can effectively add value in knowledge management. This should be attributed to the fact that contracts are central to the running of an efficient and compliant business. Managing contracts effectively has been, and always will be, a necessity. Eradicating significant cost out of the business, complying with corporate governance regulations, managing enterprise risk and maximising revenue streams are all central functions of an Enterprise Contracts Management implementation. 5. REFERENCES ATAULLAH, A.A. ABOULNAGA, A. & TOMPA, F.W Records retention in relational database systems. Proceedings of the 17 th ACM Conference on Information and Knowledge Management, Napa Valley, Carlifonia, USA, pp BARBAGALLO, D. AND COMUZZI, M Towards understanding the role of adverse selection and moral hazard in automated negotiation of service level agreements. Proceedings of the 3 rd international workshop on services integration in pervasive environments, pp New York: ACM. BECHINI, A. TOMASI, A. & VIOTTO, J Enabling ontology-based document classification and management in ebxml registries. Proceedings of the 2008 ACM Symposium on Applied computing, Forteleza, Ceara, Brazil, pp CONRAD, J.G. AND RAYMOND, E.L Information retrieval 2: Essential deduplication functions for transactional databases in firms. Proceedings of the 11 th international conference on artificial intelligence and law, pp New York: ACM. DAGADA, R. 2009a. The role of the web-based contracts management system to enhance service delivery in a rural community. Proceedings of the 11 th Annual 14

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