SHARON ALEXANDER-GOODING Vice-President CARBICA

1. SHARON ALEXANDER-GOODING Vice-President CARBICA Successfully Implementing an Electronic Records Management System Sharon Alexander-Gooding CRM

2. INTRODUCTION • Records & Archives management transformed by Technology • Transition still largely misunderstood OBJECTIVE • Provide an overview of the implementation of an EDRMS at the University of the West Indies – Cave Hill Campus inclusive of challenges, pitfalls and success factors

3. Role of Records & Archives • Conducting and documenting business activities • Fulfilling business obligations • Facilitating decision-making processes • Providing evidence of business transactions • Preserving the institutional memory

4. Good Record-keeping • Ensures • Compliance with the regulatory environment • Accountability • Responsiveness to stakeholders • Good governance • Good archives • Needs • Reliable and trustworthy systems

5. HYBRID Records Environments • Paper • Electronic • Multimedia

6. From Information System to Recordkeeping System • Creating and maintaining reliable and authentic records requires an EDRM system rather than an DM system. • EDRM systems are designed to create and maintain reliable records

7. EDRM Functional Requirements necessary for chosen systems • Records Capture • Records Management business processes • Security Processes • Audit Processes • Records Appraisal/Retention • Preservation & Transfer • Output

8. THE UWI’s Choice of an E-system • Steps • Investigation of systems over a 3 year period • Senior Management input & support • RFP vetted by ICT Committee • 2 proposals short-listed and companies invited I to make presentations • System with best fit for the university’s processes selected

9. The Final Choice – HP TRIM • TRIM is an integrated Electronic Document and Records Management Solution which incorporates • workflow management • image management • document management • web publishing • email management • records management

10. TRIM Some features: • document and file classification management • metadata management • Boolean searching • extensive document-file-record relationship management • Integrated barcode technology • Transfer of corporate e-mail through Outlook

11. TRIM Features cont’d • Retention management • Destruction Notification • Transfer Notification • Security • Record searching • Reporting • Barcode Functionality • Image scanning • Workflow & Action Tracking

12. IMPLEMENTATION • Phased • Initial 2 Year period in the Registry, Administration, Student Affairs, HR and Finance Departments • Planned Roll-out to Faculties and Departments/Institutes/Centres after 2 year period

13. Key Considerations re Software Purchases • Number of Seats required • Number of Users • Annual maintenance fees • Jump Start Services: • Includes project planning, technical architecture review, core team training, configuration analysis, installation & configuration, end user training and post implementation support

14. OTHER COSTS • Considerations: • Staffing • a dedicated functional systems analyst for an initial 2 year period • Training • Records Programme staff and other users would need to be trained • Some change management sessions needed for “buy in” • Consultants • Budget for contingencies e.g. additional consultations

15. Some Pitfalls to avoid • Problematic Back-file conversions: • Out-sourcing to a company without adequate expertise or knowledge of the local environment • Staff resistance: • Some staff continue to request paper files with a myriad of excuses • IT support: • Need to ensure full IT support re infrastructure, security and backup

16. CHALLENGES ENCOUNTERED • Out-sourcing of back file conversion • Complexity of record types • Time frame for implementation • Agreement/Contract • Managing the Project

17. Successful ERMS Implementations • Require • Collaboration • Committed resources • Policies and procedures communicated and implemented • Training & Change management • System processes and procedures monitored and evaluated over time • Conformance to Standards • Risks managed overtime

18. Remember, many organizations have gone through this process, learn from them, don’t re-invent the wheel….THANK YOU!