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SHARON ALEXANDER-GOODING Vice-President CARBICA. Successfully Implementing an Electronic Records Management System. INTRODUCTION. Records & Archives management transformed by Technology Transition still largely misunderstood OBJECTIVE

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sharon alexander gooding vice president carbica


Successfully Implementing an Electronic Records Management System

Sharon Alexander-Gooding CRM

  • Records & Archives management transformed by Technology
  • Transition still largely misunderstood


  • 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
role of records archives
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
good record keeping
Good Record-keeping
  • Ensures
    • Compliance with the regulatory environment
    • Accountability
    • Responsiveness to stakeholders
    • Good governance
    • Good archives
  • Needs
    • Reliable and trustworthy systems
hybrid records environments
HYBRID Records Environments
  • Paper
  • Electronic
  • Multimedia
from information system to recordkeeping system
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
edrm functional requirements necessary for chosen systems
EDRM Functional Requirements necessary for chosen systems
  • Records Capture
  • Records Management business processes
  • Security Processes
  • Audit Processes
  • Records Appraisal/Retention
  • Preservation & Transfer
  • Output
the uwi s choice of an e system
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
the final choice hp trim
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

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
trim features cont d
TRIM Features cont’d
  • Retention management
  • Destruction Notification
  • Transfer Notification
  • Security
  • Record searching
  • Reporting
  • Barcode Functionality
  • Image scanning
  • Workflow & Action Tracking
  • 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
key considerations re software purchases
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
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
some pitfalls to avoid
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
challenges encountered
  • Out-sourcing of back file conversion
  • Complexity of record types
  • Time frame for implementation
  • Agreement/Contract
  • Managing the Project
successful erms implementations
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

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