DATA & RECORDS MANAGEMENT COURSE ISO RECORDS MANAGEMENT CONTROLS

ELECTRONIC DOCUMENTS AND
RECORDS MANAGEMENT
COURSE
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MODULE 1
Introduction to Records Management
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RECORDS MANAGEMENT STRATEGY PATH
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WHAT IS RECORDS MANAGEMENT?
• “The management of information resources in the manner that makes
information easily accessible, securely protected, stored, and disposed of
when no longer required for administrative purposes” (National Archives
and Records Services-South Africa).
• Focuses on objectives of records management
• “The control of the creation, receipt, maintenance, use and disposal of
records in accordance with professional and international standards of
practice”. (International Council of Archives).
• Focuses on the lifecycle of a record
• “Records management (RM)…is the professional practice or discipline of
controlling and governing what are considered to be the most important
records of an organization throughout the records life-cycle, which
includes from the time such records are conceived through to their
eventual disposal”. (Wikipedia)
• Focuses on the lifecycle of a record
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WHAT IS RECORDS MANAGEMENT CONT…?
• The key objectives of records management are:
• Accessibility of information
• Protection of information
• Proper storage of information
• Systematic disposal of records
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• The life-cycle of a record
• A basic concept in Records Management is the records life cycle.
• The life of a record goes through phases starting from when it is created or
received by the organization, through to its use, maintenance and temporary
storage before finally being destroyed or archived permanently.
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• Model A
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• Model B
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• There are three key stages involved in the lifecycle of a record,
namely:
• Creation: a record is created to serve as evidence of a transaction/operation.
It has to accurate and complete.
• Maintenance and Use: Once created, a record is them maintained in
recordkeeping systems and used for administrative purposes.
• Dispose: some records have permanent or archival value; others can be
destroyed when their 'retention period' expires.
• Therefore Model B is the more acceptable version than Model A
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WHAT IS A RECORD?
• “A record is defined as being something that represents proof of existence and
that can be used to recreate or prove state of existence, regardless of medium or
characteristics. A record is either created or received by an organization in
pursuance of or compliance with legal obligations, or in the transaction of
business. Records can be either tangible objects, such as paper documents like
birth certificates, driver's licenses, and physical medical x-rays, or digital
information, such as electronic office documents, data in application databases,
web site content, and electronic mail (email)”. Wikipedia
• “Records are recorded information, regardless of medium or characteristic that
has been created within or received by an organization and that has been or is
used in the accomplishment of work, as evidence of activities, or because of the
information it contained”. Dr. Mark Langemo
• Record: “recorded information regardless of form or medium” (National Archives
and Records Services-South Africa).
• By format we mean records are structured differently: memo, maps, plans, reports, minutes
etc take unique formats when developed
• By medium we mean that records sit on different platforms: paper, microfilm, audio-visual,
electronic.
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IS A RECORD THE SAME THING AS A DOCUMENT?
• In common language the two concepts are used interchangeably
• But for professional records and archives management practitioners the
two means different things
• A document is any piece of written information in any form, produced or received by
an organization or person. It can include databases, website, email messages, word
and excel files, letters, and memos. Some of these documents will be ephemeral or
of very short-term value and should never end up in a records management system
(such as invitations to lunch).
• Some documents will need to be kept as evidence of business transactions, routine
activities or as a result of legal obligations, such as policy documents. These should
be placed into an official filing system and at this point, they become official records.
• In other words, all records start off as documents, but not all documents
will ultimately become records.
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IS A RECORD THE SAME THING AS A DOCUMENT?
• How to make distinctions between a document and a record
• A document is dynamic (changes), but a record is static (doesn’t change)
• To be considered a record, an item must have 3 attributes: content, context
and structure. If any of these attributes is missing, then it is a document.
• What do we manage: documents or records?
• Records management systems are about managing the final,
approved, signed, officially accepted version-a Record.
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WHAT IS AN ELECTRONIC RECORD?
• A record that is created, generated, sent, communicated, received, or
stored by electronic means and that requires some form of computer
technology to access and use.
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OTHER RECORD MEDIA
• Physical records
• Paper records
• Micrographic records
• Audio-visual records
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CLASS ACTIVITY
• Indicate whether each of the following items is a document or a
record.
• Blank application form
• Signed minutes of a management meeting
• Draft submission distributed for inputs
• A course manual
• An invoice of a processed payment
• An employee’s hand written notes from a meeting
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RECORDS MANAGEMENT MATURITY MODEL
• The Records Management Maturity Model describes “the typical behavior
exhibited by an organizations at five levels of maturity:
• Level 1: Uncertainty: At this stage there are no disciplined records management processes.
Recordkeeping depends on the efforts of few individuals. There is also no supporting
platform for records management processes (E.g. no dedicated records management unit, no
records storage facilities, no records classification systems, policies and guidelines etc.).
• Level 2: Awakening: At this stage, an Organization is beginning “to smell the coffee”. The
platform is not yet intact but there are efforts to establish one. For example relevant
personnel is appointed, a file plan is developed etc. There are attempts to develop systems to
support records management processes.
• Level 3: Enlightening: At this stage, the supporting platform is established: dedicated records
management unit, trained records staff, classification systems, policies, guidelines, storage
facilities. However, this platform is not supported by the human element: behaviour,
practices and attitudes
• Level 4: Wisdom: At this stage there is a convergence between the platforms and the human
factor. Officials within the Organization fully appreciate and adhere to the new records
management regulations.
• Level 5: Certainty: The “meeting of minds” between the platform and the human factor is so
mature that it makes it easy to implement an electronic records management system/s
within the Organization.
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RECORDS MANAGEMENT MATURITY MODEL
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WHY MANAGE RECORDS?
• Three important drivers for sound records management
• Risks associated with poor records management
• Administrative benefits
• Legal requirements
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RISKS ASSOCIATED WITH POOR RECORDS MANAGEMENT
• Failure to meet legislative and regulatory requirements;
• Embarrassment to your chief executive, the government and/or private individuals, especially if inability to
manage information competently is highlighted in the media;
• Poor strategic planning and poor decisions based on inaccurate information;
• Business critical information not accessible for the conduct of business, dispute resolution, legal challenge or
evidential purposes;
• Loss of credibility, lowered public confidence, or financial or legislative penalties through inability to produce
records or provide evidence of business activity when required in a timely manner;
• Inability to provide evidence of the organization's activities or undertakings with external agencies, clients or
contractors;
• Inconsistent and inefficient conduct of business;
• Inability to exploit organizational information and knowledge to full potential;
• Unlawful disposal of records
• Duplication of effort, and poor resource and asset management;
• Reduced capability of demonstrating good performance and any increased efficiencies or improved service
delivery; and
• Organizational embarrassment and damage to reputation.
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ADMINISTRATIVE BENEFITS OF RECORDS MANAGEMENT
• Tangible/measurable benefits:
• Reduced storage costs associated with keeping only required records
• Reduced storage costs moving from paper-based to electronic storage
• Reduced storage costs associated with offsite storage
• Reduced consumable costs associated with less paper-based records
• Increased productivity associated with automation of information related
tasks and use of document templates
• Reduced staff costs due to efficient performance of information related tasks
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ADMINISTRATIVE BENEFITS OF RECORDS MANAGEMENT
• Intangible/immeasurable benefits:
• Easy retrieval of information for optimal office performance
• Expedites investigations
• Increased efficiency in receipt and fulfillment of customer orders and service delivery
• To protect people’s rights and entitlements
• To achieve strategic objectives
• Effective compliance with document protection principles
• Effective compliance with freedom of information and other information-related legislation
• Demonstrating the authenticity of records to increase the evidential weight for legal
admissibility
• Improved decision-making and policy formation supported by reliable information
• Increased accountability and transparency by providing reliable records of actions and
decisions
• Improved information flow, information sharing, innovation and creativity through enhanced
corporate knowledge management
• Efficient collaborative working and continuity
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LEGAL REQUIREMENTS FOR RECORDS MANAGEMENT
• The Constitution of the Republic of South Africa (Act No. 108 of 1996)
• The Constitution can be considered as the foundation for sound records
management practices.
• As much as the Constitution does not specifically refer to “records management”, it
has provisions which has far reaching implications to records management practice.
Section 195 of the Constitution outlines a list of “basic values and principles
governing public administration”. The following are some of the principles with
relevance to records management:
• “Effective, economical and efficient use of resources”: it is imperative that records are seen as
resources within an organization. As such, records should be managed effectively,
economically, and efficiently as per the Constitution.
• “Provision of timely, accessible and accurate information”: It is imperative that records should
be kept soundly if this Constitutional imperative is to be met.
• “Accountable and transparent public administration”: there is no doubt that good
recordkeeping accentuate accountability and transparency.
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LEGAL REQUIREMENTS FOR RECORDS MANAGEMENT CONT…
• The Public Finance Management Act (Act No. 1 of 1999)
• The PFMA was promulgated primarily to regulate financial management in
governmental bodies.
• The Act is aimed to prevent corruption by ensuring the proper management
of financial resources.
• However, these piece of legislation is also relevant to records management.)
In terms of the Act, the Head of a governmental body or the Chief Executive
Officer of a constitutional institution is the Accounting officer.
• Section 36(2) of the Act states very clearly that this person has an obligation
“to keep full and proper records of the financial affairs of the department…in
accordance with prescribed norms and standards”.
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• The Municipal Finance Management Act (Act No. 56 of 2003)
• The Act is aimed to secure sound and sustainable management of the
financial affairs of municipalities and other institutions in the local sphere of
government; to establish treasury norms and standards for the local sphere of
government; and to provide for matters connected therewith.
• According to Section 62. (1) The accounting officer of a municipality is
responsible for managing the financial administration of the municipality, and
must for this purpose take all reasonable steps to ensure—
• (a) that the resources of the municipality are used effectively, efficiently and
economically;
• (b) that full and proper records of the financial affairs of the municipality are kept in
accordance with any prescribed norms and standards;
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• The Promotion of Access to Information Act (Act No. 2 of 2000)
• This Act was passed “to give effect to the constitutional right of access to any
information held by the state, any information that is held by another person,
any information that is held by a private body and that is required for the
exercise or protection of any rights”. The aim thereof is to foster a culture of
transparency and accountability.
• The following are some of the provisions within the Act:
• Decision on request and notice thereof:
• Public Bodies: Section 25(1): Provides for the information officer to grant (or deny) access
within 30 days after the request is received.
• Private Bodies Section 56(1): Provides for the head of the private body to grant (or deny)
access within 30 days after the request is received.
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• The Promotion of Access to Information Act (Act No. 2 of 2000) cont…
• Deemed Refusal:
• Public Bodies: Section 27: “If an information officer fails to give the decision on a request for
access to the requester concerned within the period contemplated in section 25(1), the
information officer is, for the purposes of this Act, regarded as having refused the request.”
• Private Bodies: Section 58. “If the head of a private body fails to give the decision on a
request for access to the requester concerned within the period contemplated in section
56(1), the head of the private body is, for the purposes of this Act, regarded as having refused
the request”.
• Grounds for refusal:
• Public Bodies: Sections 33-46
• Private Bodies: Sections 62-70
• PAIA Manual:
• It is expected of organizations to develop the PAIA Manual within six months after the
commencement of this section and submit to the Human Rights Commission:
• Public Bodies: Section 14
• Private Bodies: Section 51
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• The Promotion of Access to Information Act (Act No. 2 of 2000) cont…
• "The idea or suggestion of the possibility of no record of documents in writing or no records being kept
pertaining to "top management" decisions being available, especially those records like in this matter that
have or might have financial implications to the Nkandla project, is a serious indictment against those in
public office who deal with the business of government and this should not go unchallenged.
• "Failure to keep record or a tendency to lose documents, or to hide them or to deal with government business
under a cloud of secrecy where it is not justified or, like in this matter to confine disclosure to the project
managers documents in situations where a government department is taken to task or where the shoe might
pinch certain officials ... constitutes a dereliction of one of the most important obligations on a government,
which is to keep proper records.
• "Such conduct on the part of government does not advance the values espoused in our Constitution, that of a
democratic, transparent and accountable government. "It is in the public interest to keep record in order to
give credence to the business of government itself and to those who govern. "Records are kept so that such
records are preserved for posterity in keeping with our national heritage. "The National Archives Act... places
an obligation on all government employees from the top to the bottom to create proper records, whether
these concern casual, ordinary or classified information, when conducting government business,"
• Judge Vuyelwa Tlhapi in a matter between the Department of Public Works and Mail & Guardian
Centre for Investigative Journalism
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• The Promotion of Administrative Justice Act (No. 3 of 2000)
• This Act is aimed to ensure that administrative action is lawful, reasonable
and fair.
• Section 5 (1) states that “any person whose rights have been materially and
adversely affected by an administrative action…may request the administrator
…to furnish written reasons…” and such reasons to be furnished within 90
days after receiving the request or else it should presumed that the admin
action was taken without good reason.
• It is therefore imperative for organizations to keep records that documents
and explain their actions in case such actions are questioned in terms of this
Act.
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• The Electronic Communication and Transactions Act (No. 25 of 2002)
• This Act is aimed to legalize electronic transactions and communications to
pave the way for e-service delivery. According to this Act, authentic and
reliable records/data messages should be created of electronic transactions
and communications.
• Section 15(1) of the Act states that “rules of evidence in legal proceedings not
to deny the admissibility of data messages in evidence”.
• The Act therefore has far reaching implications in regard to how electronic
records are managed since it allows for the legal admissibility of these
records.
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• Sapa | 25 March, 2014 10:48
• Murder accused paralympian Oscar Pistorius made his first call of the morning on which he shot his girlfriend
Reeva Steenkamp shortly after 3am, the High Court in Pretoria heard on Tuesday.
• Pistorius's first voice call in the early morning of February 14, 2013 was at 3:19am to a number ending in
2251, which was saved on Pistorius's phone as "Johan Silver Woods", police captain Francois Moller said
during Pistorius's murder trial. Johan Stander is the head of security at the Silver Woods estate, where
Pistorius shot and killed Steenkamp through the locked door of his toilet, apparently thinking she was an
intruder. Moller was being questioned by prosecutor Gerrie Nel.
• At 3.20am the phone was used to make an internet connection. Moller told the court earlier this could
include use of social networks like Twitter, Facebook, or WhatsApp.
• At 3.20am Pistorius called 082911, an emergency services number. The call lasted 66 seconds. This was
followed by another internet connection, and then a call at 3.21am to a number ending in 6797 -- security at
the Silver Woods estate.
• Then, at 3.21am Pistorius called 121, his voice mailbox number. A minute later, Silver Woods' security called
Pistorius back. More internet connections followed, and then, at 3.55am, Pistorius called his friend Justin
Divaris.
• At 4.01am he called his older brother Carl. Pistorius has been charged with the premeditated murder of
Steenkamp and contraventions of the Firearms Control Act. He allegedly fired a shot from a Glock pistol under
a table at a Johannesburg restaurant in January 2013.
• On September 30, 2012 he allegedly shot through the open sunroof of a car with his 9mm pistol while driving
with friends in Modderfontein.
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• The Minimum Information Security Standard (MISS)
• Foundation for the controversial Protection of State Information Bill(the so-called the Secrecy
Bill)
• MISS is a policy document on information security in government. It is aimed at providing the
necessary procedures and measures to protect information.
• Chapter 4: Document Security
• Par 1 1.1 states that “All bodies/institutions/organizations have at their disposal intelligence/information
that is to some extent sensitive in nature and obviously requires security measures. The degree of
sensitivity determines the level of protection, which implies that information must be graded or
classified according to it”.
• Par 11.1.1 further states that “An effective registry is the core of effective document control and of
document security. One registry should be the central/main registry where all incoming mail must be
received, opened and from where it must be distributed internally. The receiving and distributing must
be recorded in the relevant registers”.
• Chapter 5: Security vetting
• Par 1.5 states that “From the lowest level up to Deputy Director General all staff members and any other
individuals who should have access to classified information, must be subjected to security vetting”.
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• The Protection of Personal Information (POPI) Act (No. 4 of 2013)
• The Act is aimed “To promote the protection of personal information processed by
public and private bodies” in line with Section 14 of the Constitution which provides
“that everyone has the right to privacy”
• Section 2 of the Act-
• give effect to the constitutional right to privacy, by safeguarding personal information when
processed by a responsible party, subject to justifiable limitations that are aimed at— (i)
balancing the right to privacy against other rights, particularly the right of access to
information; and (ii) protecting important interests, including the free flow of information
within the Republic and across international borders;
• regulate the manner in which personal information may be processed, by establishing
conditions, in harmony with international standards, that prescribe the minimum threshold
requirements for the lawful processing of personal information;
• provide persons with rights and remedies to protect their personal information from
processing that is not in accordance with this Act; and
• establish voluntary and compulsory measures, including the establishment of an Information
Regulator, to ensure respect for and to promote, enforce and fulfil the rights protected by this
Act
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• The National Archives and Records Service Act (No. 43 of 1996 as
amended)
• This Act is aimed at regulating the management of records in governmental bodies.
The following are some of the important clauses within the Act:
• Section 13 (1): “…the National Archivist shall be charged with the proper management and
care of records in the custody of governmental bodies”.
• Section 13(2)(a): “no public record under the control of a governmental body shall be
transferred to an archives repository, destroyed, erased, or otherwise disposed of without the
written authorization of the NA”
• Section 13(2)(b)(i): “The NA shall determine records classification systems to be applied by
governmental bodies”.
• Section 13(2)(b)(ii): “The national archivist shall determine the conditions subject to which
electronic records systems should be managed”
• Section 13 (5) (a) “The head of a governmental body shall, subject to any law governing the
employment of personnel of the governmental body concerned and such requirements as
may be prescribed, designate an official of the body to be the records manager of the body”.
• Section 13 (5) (b) The records manager shall be responsible to see to it that the governmental
body complies with the requirements of this Act.
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• Various Provincial Archives and Records Service Acts
• Mpumalanga: Archives Act (Act No. 14 of 1998)
• Free State: Provincial Archives Act (Act No. 4 of 1999)
• Kwazulu-Natal : Provincial Archives Act (Act No. 5 of 2000)
• Limpopo: Northern Province Archives Act (Act No.5 of 2001)
• Eastern Cape: Provincial Archives and Records Service (Act No. 7 of 2003)
• Western Cape: Provincial Archives and Records Service of the Western Cape
Act (Act No. 3 of 2005)
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• ISO 15489
• Section 4 of the ISO 15489-1:2001 states that records management includes:
• setting policies and standards;
• assigning responsibilities and authorities;
• establishing and promulgating procedures and guidelines;
• providing a range of services relating to the management and use of records;
• designing, implementing and administering specialized systems for managing records;
and
• integrating records management into business systems and processes.
• The Standard was adopted by SABS as SANS 15489
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MODULE 2
Creating a filing system: gaining control of your
paper records
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PAPER FILING SYSTEM AS THE BASIS FOR
ELECTRONIC FILING
• Although many records are now created, received and maintained in
electronic formats, organizations still create and receive records in
paper form which are stored in established paper filing systems.
• It is advisable to organize the electronic filing structure to mirror an
existing paper system, with electronic folder names and hierarchies
matching those of the paper files. This allows easy association
between records relating to the same matter held on different
formats, enabling all records on a particular matter to be readily
identified and accessed.
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PAPER FILING SYSTEM AS THE BASIS FOR
ELECTRONIC FILING CONT…
• When operating mirrored paper/electronic filing systems it is useful to cross
reference between the two to indicate to users accessing either a paper or
electronic file that there are additional records in the other format held
elsewhere.
• Possible approaches could include:
• Note attached to the inside cover of a paper file to indicate existence and network location of
any mirror electronic folder which should also be referenced to locate relevant documents.
• Notepad document placed within an electronic folder which indicates the existence of
related paper documents on a mirror paper file.
• Note in database field to indicate existence and file location of associated paper documents.
• However, there is no point in replicating a non-functional paper filing system in
the electronic environment. In such cases, the creation of an electronic system
will provide a useful opportunity to re-think the approach and structure which
will apply to both systems.
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STANDARD METHODS TO ARRANGE RECORDS
• There are various ways to arrange records. The following are the most
common patterns:
• By subject: records are arranged by subject name
• By name/alphabetical: records are alphabetically arranged by names. For example,
this could be names of departments, clients, suppliers, or employees.
• Geographically: records are arranged by geographic location, such as by continent,
regional area, country, state, county, or city.
• Numerically: records are arranged by numerical order. This could be by an assigned
job number, contract number, invoice number, project number, or an employee ID
number.
• Chronologically: records are arranged by date order. This can be done by annual or
fiscal year, by month, by quarter, or by date.
• A file plan should therefore be developed to provide a scheme/pattern by
which different categories of records are managed
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WHAT IS A FILE PLAN
• “A predetermined classification plan by which records are stored in the
interest of efficient retrieval and disposal”
• A File Plan is an essential component of a records management programme
developed in line with ISO 15489, the international standard on records
management
• A file plan is the primary records management planning document.
• Although file plans can differ across organizations, they typically:
• Describe the kinds of items the organization acknowledges to be records.
• Describe what broader category of records the items belong to.
• Indicate where records are stored.
• Describe retention periods for records.
• Delineate who is responsible for managing the various types of records“
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WHAT IS A FILE PLAN
• The basic component of a File Plan is a hierarchical classification
structure, with the top level containing the broadest categories and
the lower levels becoming increasingly specific.
• A unique reference code is then allocated to each category.
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THE FUNCTIONAL SUBJECT FILE PLAN
• The most recommended file plan is the Functional Subject File Plan (ISO 15489)
• Adopted by the National Archives and Records Services as the standard file plan in
governmental bodies
• The functional approach bases its structure around the underlying functions and
activities which the institution carries out, rather than trying to reflect the organizational
structure it chooses to carry them out at any particular time.
• Although the same department may be known as Human Resources, Personnel & Staff
Development and Staff Welfare in as many years, the roles it carries out will largely
remain constant: recruitment, appraisal, training, disciplinary procedures etc.
• By basing your structure on these underlying functions and the activities which are
carried out to achieve them, you should have a far more stable filing system. It should
also be easier to navigate by those who do not have a detailed knowledge of the area in
question as it does not rely on obscure department-specific names or acronyms.
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THE FUNCTIONAL SUBJECT FILE PLAN CONT…
• The drawbacks of basing a filing system around your administrative
structure
• It may seem sensible to base your group filing system on the structure of the
group in question (department, section etc). After all it would require little
research on your part and would be immediately understood by everyone
within the group. There are, however, some serious drawbacks to basing your
filing structure around your current administrative structure. Chief amongst
these is the fluidity of such structures and the regular re-organizations of
departments. Such changes rapidly lead to problems with your filing system.
Not only must everything be changed to match the new structure, but it can
be difficult to know what to do with the existing information.
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THE FUNCTIONAL SUBJECT FILE PLAN CONT…
• The Functional Subject File Plan is based on 3 principles:
• The organizational principle: Helps to determine the number of file plans needed. To
have its own file plan, a body (or part thereof) should represent a complete entity.
Thus is should be able to function independently (not autonomously)
• The functional principle: The Functional Subject File Plan is based on the functions of
the organization. Main functions are determined and referred to as the main series
of the file plan. Support functions precede line functions
• The one subject-one file principle: The principle implies that a file cover should
contain documents dealing with one subject. In other words, after identifying the
main functions of an organization, the functions should be broken down finely into
specific subjects. E.g. HR-Labour relations-disputes. Documents on the same subject
should then belong to a single home (file cover). It doesn’t matter from whom the
document comes; by whom or which organization it was created. What matters is
the subject. Documents authored by different people in different organizations (inter
and intra-departmental) will share the same folder by virtue of their common
subject.
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DEVELOPING A CLASSIFICATION SCHEME FOR
FUNCTIONAL SUBJECT FILE PLAN
• There are several components of a file plan: e.g. general instructions,
list of series of separate case files etc.
• But the core of the file plan is the Business Classification Scheme
(Subject Classification) which covers all the institution’s business
functions and activities. The classification structure is the hierarchy of
categories and sub-categories representing business functions and
activities, and individual record series.
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• Steps in the development of a classification scheme
• Step 1: Identify the high level functions, e.g. (Dept. of Roads and Transport):
• Roads infrastructure
• Human resource management
• Traffic management
• Financial management
• Supply chain management
• Marketing
• Legal services
• Public transport and freight
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• Step 2:Arrange the high level functions starting with the support functions
and then the line functions e.g. (Dept. of Roads and Transport):
• Human resource management
• Financial management
• Supply chain management
• Marketing
• Legal services
• Roads infrastructure
• Traffic management
• Public transport and freight
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• Step 3: Allocate a reference code to each high level function e.g. (Dept. of
Roads and Transport):
1. Human resource management
2. Financial management
3. Supply chain management
4. Marketing
5. Legal services
6. Roads infrastructure
7. Traffic management
8. Public transport and freight
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• Step 4: Identify activities (2nd level functions) for each high level function e.g.
(HRM):
1. Human resource management
Recruitment
Training and development
Labour relations
Employee wellness
Staff losses
Leaves
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• Step 5: Allocate a reference code to each activity (2nd level function) e.g.
(HRM):
1. HUMAN RESOURCE MANAGEMENT
1/1 Recruitment
1/2 Training and development
1/3 Labour relations
1/4 Employee wellness
1/5 Staff losses
1/6 Leaves
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• Step 6: Identify sub-activities (3rd level functions) for each activity e.g.
(Recruitment):
1/1 Recruitment
Advertisement
Shortlisting
Interviews
Appointments
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• Step 7: Allocate reference codes for each sub-activities (3rd level functions)
e.g. (Recruitment):
1/1 Recruitment
1/1/1 Advertisement
1/1/2 Shortlisting
1/1/3 Interviews
1/1/4 Appointments
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5/8/2024 ERM-13933 54
1. Human Resources
1/1 Recruitment
1/1/1 Advertisements
1/1/1/1 Advert 1/2013 1/1/1/1 Advert 2/2013
Record Component Record Component
1/1/1/1 Advert 3/2013

• The Classification Scheme may have as many levels as are required to
classify all record series adequately, or it may be necessary to extend it.
• However, for control purposes it is advisable to limit the levels to 7
• If the lowest level category in any section of the Scheme contains a very
large number of record series, it may be advisable to extend the hierarchy
in that section (i.e. for that activity) to separate smaller units of activity,
steps in a process or groups of individual transactions.
• There is no need to extend the hierarchy for a function any further once all
record series relating to the function can be easily classified.
• It is not essential to have the same number of levels throughout the
hierarchy.
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CLASS ACTIVITY
• Think of any function within your organization that you are familiar
with. Then Follow the 7 steps outlined in the preceding slides to
develop a classification scheme thereof. The scheme should not
exceed a page.
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3 MAIN USES OF A FILE PLAN
• Classification of records-allocating file reference numbers
• Arrangement of records on filing cabinets
• Description of file covers
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MODULE 3
Introduction to Electronic Records Management
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WHY EMBRACE TECHNOLOGY TO MANAGE
RECORDS?
• Information Technology is the foundation of doing business in the 21st century
just like filing cabinets were in the 20th century. What an organization would like
to do in five years often depends on what its systems will be able to do. Relations
with clients are now digital
• Information Technology is the basis for E-government. It is used to deliver
information and services to citizens.
• Information Technology is a tool for productivity and can be used to achieve
strategic advantage, competitive edge and create new services,
• Information Technology can assist an organization to cope with government
regulations (PAIA, PAJA, PFMA etc).
• Around the world, individuals, organizations and governments have embraced
information technologies. It has revolutionized the operations of organizations
• Communications and transactions in organizations have become electronic, and
an increasing number of records are born digital.
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WHY EMBRACE TECHNOLOGY TO MANAGE
RECORDS?
• This necessitate that organizations should implement compatible
systems to capture, maintain, use and eventually disposed these
records.
• It is also imperative therefore for records management practitioners
to learn about electronic records management systems.
• That is because these systems have redefined the concept of a record.
This new conception impacts on the whole lifecycle of a record.
• Practitioners should know be in a position to make the right decisions
regarding the selection and implementation of these systems as poor
choices may lead to waste of valuable capital
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THE BENEFITS OF ELECTRONIC RECORDS
MANAGEMENT SYSTEMS
• Widespread access: The physical composition of paper records limits
access to a specific time and place: only one person can use a record at one
time and only in one physical location. Electronic records, on the other
hand, can be shared widely and they can be accessed and used by several
people at the same time, even if they are in different places.
• Flexibility: In a paper environment, records are created, received and filed
in one office, and they accumulate in one place. Electronic records can be
stored remotely or on compact disks (CDs) or tapes, allowing people to
share records and use their information resources more dynamically.
• Efficiency and effectiveness: The use of information technologies improves
information handling and allows for the speedy retrieval of records and
information through electronic search facilities. As a result, policy makers
can make informed decisions quickly and efficiently, contributing to the
effectiveness of the organization.
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THE BENEFITS OF ELECTRONIC RECORDS
MANAGEMENT SYSTEMS CONT…
• Economic benefits: In the paper environment where records are physical objects, their
accumulation requires ever-increasing amounts of space, including office space, shelves,
filing cabinets and storage boxes. Several staff members may be needed to carry out
routine procedural work such as filing documents and retrieving boxes. Through the use
of new technologies, organizations are able to economize in terms of storage space, as
computer systems can store large volumes of data and records in a small physical space.
• General business opportunities: The professional image of an organization can be
enhanced by improved information flow, and the organization may be able to take on
more complex work because it is more efficient and cost-effective. Computers can
improve communications, reduce the loss of essential information, speed up the
completion of projects and increase public awareness of the organization.
• Auditing capabilities for regulatory compliance: Well-designed records and document
management systems also allow an organization to regulate and oversee actions and
decisions. Many electronic records management software programs include mechanisms
to maintain audit trails, encouraging more accountable record keeping and promote
compliance across the organization.
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THE CHALLENGES OF MANAGING RECORDS
ELECTRONICALLY
• Technological obsolescence: Rapid changes in software applications and computer hardware have led to
what is commonly referred to as technological obsolescence. As new innovations in computer technology
appear, old systems become out of date and are no longer supported by the computer industry.
• Technological dependence: Electronic records depend on technology. They are created and managed by
computer hardware and software. Therefore, electronic records require mediation in order to be accessed. It
is not possible to hold a computer disk up to the light and read it, as one can read a paper document or
even, with the aid of a magnifying glass, a frame of microfilm. Because information technologies keep
changing, and because electronic records cannot be used without the necessary technologies, individuals
and organizations can quickly become dependent on technologies for their essential information. Hardware
and software have to be upgraded regularly to ensure continuing access to information and records.
• Risks to reliability and authenticity: As mentioned, changes in information and computer systems require
that information be migrated to new technologies if the information is to remain accessible over time. This
process of migration can affect the authenticity and reliability of information, as the process itself can
change the content or structure of the records. Unlike paper records, which can be moved, filed, refiled,
copied and otherwise used and reused without change, electronic records need to be managed and
preserved in such a way as to secure their authenticity as evidence.
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THE CHALLENGES OF MANAGING RECORDS
ELECTRONICALLY CONT…
• Decentralization of information: The decentralization of information and records management has shifted
the responsibility for managing records from records professionals to the people who create and use records
on a daily basis. Unfortunately, users are not trained to know what documentation to keep for evidential
purposes or how to describe, file or maintain records. Without centralized oversight of the records
management process, it can be more and more difficult to ensure that essential evidence has been
protected adequately.
• Loss of security and privacy: The introduction of information technologies has also affected the way
government and private organizations preserve and make available records in their custody. As mentioned,
computers allow organizations to create large and complex databases and make huge amounts of data
available electronically. Databases containing personal financial and medical records, for instance, may be
extremely useful to the individuals themselves. But without proper security protections, that information
may also be accessed by others, threatening the privacy of the owners of that information.
• Increased costs: The costs of hardware and software can be very high. Costs are incurred not only when
acquiring technology in the first place but also, more importantly, when upgrading equipment and systems,
which is essential in order to keep pace with changing technologies. When considering the acquisition of
computer equipment or the implementation of an electronic records management system, most
organizations focus on the initial budget requirements: hardware; software; licenses; supplies; and staff time
to develop and install the equipment. But annual and unexpected costs also need to be considered,
including: system maintenance fees; upgrades and repairs; and staff training. It has been argued that the
cost of maintaining and administering computer systems can exceed seven times the cost of acquiring the
equipment in the first place.
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THE NATURE OF ELECTRONIC RECORDS
• Characteristics of electronic records
• Once electronic records have been created, they must be managed and
maintained for as long as required to ensure they have the following
characteristics:
• Authenticity – the record can be proven to be what it purports to be, to have been
created or sent by the person that created or sent it, and to have been created or sent at
the time it is purported to have occurred.
• Reliability – the record can be trusted as a full and accurate representation of the
transaction(s) to which they attest, and can be depended on in the course of subsequent
transactions.
• Integrity – the record is complete and unaltered, and protected against unauthorized
alteration. This characteristic is also referred to as ‘inviolability’.
• Usability – the record can be located, retrieved, preserved and interpreted.
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CONT…
• Formats of electronic records
• Electronic records can be created in a range of different formats
• Broadly speaking, electronic record format types include the following.
• Data sets: groups of related electronic records organized and treated as a unit. Data sets
are created, managed and used in the context of a database. For example, a data set
could contain information about employees in an organization.
• Text-based documents: documents that contain little other than words and that can be
read by text editors or word processing software programs. For instance, a spreadsheet
from Microsoft Excel could be imported into a memo being created using Microsoft
Word, or a snapshot of a web page or a slide created using Microsoft PowerPoint could
be included in a report created using a publishing software.
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CONT…
• Formats of electronic records
• Electronic records can be created in a range of different formats
• Broadly speaking, electronic record format types include the following.
• Multi-dimensional documents: records that can be represented in more than one way on the
screen and on the printed page. For instance, a spreadsheet can be represented as a set of
figures or as the result of the calculations. Both representations are part of the record,
although it may not always be necessary to retain both of them. Similarly, a PowerPoint
presentation may consist of a set of slides and notes displayed and used in different ways.
• Multi-media documents: documents composed of a number of different elements, which
interact together to display their full meaning. These records may include graphical, moving
image, sound and text documents, which may appear differently at different times in
response to variations in user interaction. File formats can often be identified by file
extensions. For example, .doc indicates a word processed document, and .mp3 indicates an
audio file. Internet media might include text or .html files, and other file formats include PDF,
TIFF and JPEG. Each file format will have different characteristics and require different
approaches to preservation, and so understanding the different file formats in use is
important to managing the content, context and structure of the records.
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CONT…
• Components of electronic records
• One electronic document may be composed of separate parts – often called
digital components – that can be stored in different parts of a network,
brought together as a ‘virtual’ document and presented in different forms for
different uses.
• E.g. a note and voice annotations can be added to text-based documents; and digital
sound, video, 3-D modelling and simulation can be added to presentations, reports or
other documents.
• Each component in a complex electronic record may have different
requirements for storage, reproduction and use, which is why it is critical
when preserving an electronic record to ensure that mechanisms are in place
to allow for preservation of and access to every element within the record.
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CONT…
• Multiplicity of electronic records
• It is much easier to create many copies of an electronic record than it is to
create copies of a paper record. In fact, computerization can cause people to
accumulate more records than the original records creator ever intended, e.g.
an e-mail.
• The challenge for records managers and organizations is what constitute a
record, how to determine what evidence to keep and for how long, and how
to ensure that documentation is kept securely. Because so much data can be
generated within digital systems, it is incumbent on the organization to
determine which of the many inputs and outputs flowing through computer
systems should be considered the official records of the organization.
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CONT…
• Technological framework for electronic records
• Electronic records management systems, like any Information systems, are
only as good as the technical infrastructure supporting them.
• Critical IT infrastructures to all information systems and networks are the
following:
• Power Supplies: Adequate and consistent supplies of electricity are essential for the
successful operation of IT systems. Without power, it is impossible to access anything
within an electronic system. E.g. install uninterrupted power supply or UPS system. UPS
systems, also called continuous power supply (CPS) systems, battery backups or
emergency power systems, supplies power when central electricity supplies are not
working.
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CONT…
• Bandwidth: Bandwidth is the capacity of the wire (‘pipe’) or wireless connection in a
computer network to carry information. Bandwidth is usually expressed in kilobytes
or megabytes per second. E.g. A dial up modem usually transmits data at 56
kilobytes per second (KBS), whereas a more powerful Ethernet cable transmits data
at 10 megabytes per second (MBS). Clearly, the Ethernet cable is dramatically faster
than the dial up modem. The difference is like comparing a two-lane road with a
four-lane highway; the latter can move traffic much faster than the former. The
length of time it takes to complete a task, such as downloading a document from a
central server or accessing information from the Internet, will depend on the
bandwidth available in the information system. The more bandwidth, the quicker the
process. The time needed to access digital information also depends on what is being
accessed, however. Accessing a text document requires less bandwidth than
accessing a photograph or a video.
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CONT…
• Technical Support: Every software application and every piece of hardware acquired by an
organization should come with a technical support component. For example, whenever
commercial software is purchased, a licence fee is paid allowing the purchaser to use the
software legitimately and entitles the user to a level of service and support from the
company that created the software. The software usually comes with a time-limited
warranty: a guarantee that the company will address any errors or faults in the software for a
certain period, such as one, two or five years.
• Backup Systems: Information and communications technologies can fail, whether because
the storage device ‘crashes’ or because the computer becomes ‘infected’ with a computer
virus or other malicious code. Such failures can result in lost or corrupted data. People can
also accidentally delete files from their computers, or auditors can ask to see records that are
no longer in current use. To protect valuable data, special backup applications are usually
run, ideally every day, to allow an organization to re-establish a system to its last known
‘good’ configuration and providing access to copies of records that may not be available
otherwise. Backups are usually copies of data stored on low-cost storage media, such as
magnetic tapes.
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CONT…
• The importance of metadata
• The term ‘metadata’ has become popular in discussions about the management of
electronic records.
• The term ‘metadata’ refers to information about information.
• Metadata provides the context for a piece of data or information so that the user of
that information understands what he or she is using and how and why it came to
be.
• Consider for a moment the following set of data:
• 100965 020359 031265 300989 060297
• Populations figures? Budget estimates? Bank account numbers? Lottery ticket
numbers?
• The only way to assign any meaning to the data is by linking the content to its
structure and context, which means providing metadata
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CONT…
• The importance of metadata
• In a paper environment it has been easy to manage metadata
• A record and metadata on one document
• In addition there were index cards, file covers, file registers.
• In an electronic environment it is challenging to manage metadata
• A record and metadata are separate
• Metadata is essential for using and preserving electronic records because it
provides the background information necessary to understand how and when
and by whom a particular set of data or a record was created, collected or
received and how it is formatted. It can be impossible, especially when using
computerized data, to understand the essential details of a record or file
without access to that background information.
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MODULE 4
Creating an Electronic filing system
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DEMO: CREATION OF AN
ELECTRONIC CLASSIFICATION
SCHEME
A classification scheme designed in the preceding modules is captured
in an electronic environment.
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CLASS ACTIVITY
1. Each group captures its own classification scheme into the
electronic system.
2. Each group upload a documents into the classification scheme
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COMMON APPROACH TO MANAGING
ELECTRONIC RECORDS CONT…
• Electronic records can be classified into two categories:
• Structured Electronic Records: these are records that are kept in a structured
form in columns and rows in a database. Structured systems are normally
managed in a more formal way according to database management principles
and procedures. In other words, they are kept in an electronic information
systems or business application. Examples would include databases
containing accounting and financial data, customer data, and personnel data.
Think of BAS, Logis, Finest, PERSAL etc.
• Usually managed by IT departments. IT ensures system performance and
availability and provides for back-ups and recovery in the event of disaster.
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• Electronic records can be classified into two categories:
• Unstructured Electronic Records: Unstructured records in a typical organization
would include emails, word processing documents, spreadsheets, presentations and
graphics– documents mostly created by individual users from desktop applications.
Unstructured records would also include Adobe PDF files and electronic captures of
facsimiles as well as other image files. These are those recorded objects that are not
kept in rows and columns in a database like text-based or visually rich records (audio,
video, etc). These are records that are not kept in the organization’s formal
information systems, like e-mail, records created on individual PC’s hard drives etc.
• The vast majority of are stored on personal computers or personal. However, if not
managed, these drives can become out of control, unorganized, difficult to find
information, and a repository for out of date and unnecessary information.
• The question is how can organizations gain control of unstructured electronic
records?
• Answer? Implement an Electronic Document and Records Management System
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• The National Archives and Records Service requires governmental bodies to
implement and maintain Integrated Document and Records Management
Systems that provide as a minimum the following records management
functionality:
• managing a functional subject file plan according to which records are filed;
• managing e-mail as records;
• managing web-sites as records;
• maintaining the relationships between records and files, and between file series and the file
plan;
• identifying records that are due for disposal and managing the disposal process;
• associating the contextual and structural data within a document;
• constructing and managing audit trails;
• managing record version control;
• managing the integrity and reliability of records once they have been declared as such; and
• managing records in all formats in an integrated manner.
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• But what if your organization does not have the means or it is not ready to implement
fully automated Electronic Document and Records Management Systems.
• This does not however mean that they should not manage their electronic records.
• If records generated in such an environment are not managed properly it can lead to the
possible illegal destruction of records. To enhance their accountability, organizations
should ensure that, even without the benefit of an Electronic Document and Records
Management System, they exercise effective records management.
• What interim measures can you put in place to manage electronic records without an
EDRMS?
• Options
• Print and file: does not currently have the facility to keep records electronically in the long term. This means
that some records created electronically will need to be printed to paper and filed in the relevant paper filing
system.
• Use shared drives
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MANAGING ELECTRONIC RECORDS WITH A SHARED DRIVE
• What are shared drives?
• Shared drives, also known as network drives, are not recordkeeping systems
but can be used by organizations to store electronic information, including
Word documents, Excel spreadsheets, PowerPoint slides, digital photos, PDF
documents and database reports.
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ERM-13933

CONT…
• How does it work?
• A filing system is set up on a shared drive – the J drive is most commonly used
for this purpose.
• Records created electronically are then stored in this filing system which
should ideally mirror the system in place for paper records. The system of
folders, sub-folders and files which exists in the paper system can be easily
transferred into the electronic domain.
• All official electronic records – including word documents, spreadsheets and
e-mails (relating to business) should be saved into this filing system. Staff
should not save business records on personal network drives or the
computer's own hard drive (known as the 'H' and 'C' drives respectively on
the Standard Staff Desktop configuration). Records stored on the 'C' and 'H'
drives are inaccessible to all other staff.
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CONT…
• Even the National Archives and Records Service recommends the use
of shared drives as an interim measure.
• In its publication “Managing electronic records in governmental
bodies: policy, principles and requirements”, NARS states that
“governmental bodies should, as a matter of policy, ensure that the
records that are created on individual PC’s are saved to a shared
workspace so that the information they contain can be shared and re-
used and so that proper retention and disposal rules can be applied
after a written disposal authority has been obtained from the
National Archivist.
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CONT…
• NARS also notes that “it is possible to set up a shared workspace with
a directory structure that corresponds with the paper-based file plan.
It is also possible to establish naming conventions for individual
documents and to develop retention and disposal procedures for
these records that correlate with the disposal procedures of the
paper-based file plans”.
• Clearly, a classification scheme lies at the heart of any filing system,
including the use of shared drives.
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CONT…
• There are several good reasons for managing the shared drives.
• Reducing cost – By deleting outdated or ephemeral information.
• Efficient retrieval of information (time saving) – If the shared drive is
structured logically and sensibly, folders have explanatory titles, and
individual documents are named appropriately, this increases the ease by
which information can be found.
• Reducing duplication and encouraging sharing of information - A well
managed shared drive encourages the sharing of information within
Departments and teams, and helps to move away from individual filing
systems in which many versions of the same documents are kept by individual
members of staff.
• It also reduces the need to email documents since departments can access
the document on the shared drive.
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CONT…
• Problems associated with shared drives
• Property fields are rarely populated with metadata and there are no contextual links between
documents and their business context resulting in-
• Difficulty in finding and retrieving information that is known to exist
• Difficulty in authenticating records
• Documents not providing reliable evidence of actions
• Lack of recordkeeping functionality, for instance:
• Auditing controls;
• Security controls able to match whole of Government guidelines; and
• Retention and disposal rules.
• Shared drives have often evolved informally with little planning or structure. As a result, directory
folders and documents may be poorly organized and titled. In an environment where records are
supposed to be shared with a number of users, this lack of rigour will inevitably cause difficulty in
locating, retrieving and using information and in managing versions.
• Users of shared drives often do not usually perform regular ‘housekeeping’ of their shared drives.
For example, information accumulates and is rarely deleted, leading to volumes of storage that are
costly for the organization to maintain. Excessive volumes of storage on the drive also contribute
to the inability to find and use relevant information.
• Users will often leave the organization without ‘cleaning up’ their documents on shared drives,
and it is difficult for others to determine what is of value and what has or has not been saved to
corporate recordkeeping systems.
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CONT…
• How to mitigate the problems associated with shared drives.
• Appoint an administrator/s
• Whilst all individual staff are responsible for managing and filing the records they create, it is important
that there is overall control of the folders to avoid chaos and confusion, you need to appoint an
administrator/s. The administrator's responsibilities include:
• Granting access / manage security permissions (Consider whether some folders containing
sensitive information may need to be removed from shared drives or secured and hidden from
view except to those groups who have the correct levels of authorizations).
• Maintaining logical, controlled folder structure
• Ensure names of folders and documents comply with the organization’s naming conventions
• Regular deletion of duplicate or unnecessary information
• Manage the archiving of “closed” folders and files
• Systematic disposal of records in line with approved retention period (Deletion of records is
‘disposal’ and must be recorded in the Register of Records Destroyed).
• Liaising with ICT where appropriate.
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CONT…
• Consider shared drives as part of your information management strategic framework and
include them in your Records management policy
• Have clear policy and procedures for staff regarding the use of shared drives and saving
records to corporate recordkeeping systems
• Create (or facilitate the creation of) logical hierarchical structures for information in shared
drives. It may be suitable to align the folder titles to the organization's business classification
scheme if there is one that is accepted in the workplace. Structures should be workshopped
and piloted. Structures should be flexible and be altered as the business changes.
• Define document naming conventions that are easy to use and can be adopted by all staff.
• Advise staff regarding security needs for documents they create that may be sensitive.
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CONT…
• Create and implement standard templates which include footers that provide
the document name and file path they are also valuable for capturing
essential metadata).
• Consider change management initiatives that will promote compliance.
• Set up a transition arrangement for moving from old directory structures or
files to the new structure. This might involve, for example, freezing use of the
old structure, leaving shortcuts pointing to the new location and gradually
moving files into the new structure.
• Audit shared drives regularly to ensure procedures are followed.
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CONT…
• NARS recommends the following
http://www.national.archives.gov.za/rms/NARS_DMLIB-4878-v1-
managing_electronic_records_Policy__principles_and_Requirements_April_2006.PDF
• properly documented and disseminated records capturing and records management policies,
procedures and guidelines;
• that the staff buy in to the idea and are committed to use the shared workspace; and
• that the staff are properly trained in the concept of records capturing and records
management in the shared workspace, because their role as users will change from that of
records creators to playing a more active role in records management.
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ELECTRONIC RECORDKEEPING SYSTEMS
ECM
EDRMS
ERMS
EDMS
Shared drives
Personal drives
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CONT…
• When identifying and purchasing electronic records management
tools one needs to understand the industry's "alphabet soup".
• There are 4 basic system types that one should understand:
• Electronic Document Management System (EDMS)
• Electronic Records Management System (ERMS)
• Electronic Document and Records Management System (EDRMS)
• Enterprise Content Management (ECM)
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CONT…
• Electronic Document Management System (EDMS): An EDMS is a software system that
controls and organizes documents throughout an organization, whether they have been
declared as records or not. Depending upon the product, an EDMS may be as small as a
stand alone desk top system or as large as an enterprise wide server-based system.
• An EDMS typically may include:
• document and content creation
• document and content capture
• document and content editing and revision
• image processing
• document workflow/business process management (BPM)
• document repositories
• Computer-Output Laser Disk/Enterprise Report Management (COLD/ERM) and other
output systems
• information retrieval functionality
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CONT…
• Electronic Records Management System (ERMS): An ERMS is a software
system that allows an organization to assign a specific life cycle to
individual pieces of organizational information.. Like an EDMS, they may be
as small as a stand alone desk top system or as large as an enterprise wide
server-based system. Unlike an EDMS one cannot edit or revise documents
or content once they are declared in an ERMS.
• An ERMS has the functionality to:
• receive of records
• use records
• manage and maintain electronic records
• manage paper-based and other analog records
• manage the disposition of records
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CONT…
• Electronic Document and Records Management System (commonly
referred to as EDRMS)
• Is it the electronic management of paper records OR management of
electronically-generated records? It is both.
• A system specifically designed to manage the maintenance and disposition of
records. They maintain the content, context, structure and links between
records to enable their accessibility and support their value as evidence.
Electronic records management systems are distinguished from business
systems, for the purpose of this course, because their primary function is the
management of records.
• Recommended by the National Archives for the management of records in
governmental bodies
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CONT…
• Enterprise Content Management (ECM): An ECM system, the evolutionary successor to an EDMS,
is a software system that has tools and methods utilized to capture, manage, store, preserve, and
deliver all forms of content (not just documents sand records) across an enterprise. In addition to
the tools found in an EDMS and an ERMS an ECM system has:
• collaboration tools
• digital asset management tool (consists of management tasks and decisions surrounding the
ingestion, annotation, cataloguing, storage, retrieval and distribution of digital assets: digital
photographs, animations, videos and music)
• web content management tools
• E-mail management
• Digital signatures and certificates
• portal management;
• business process management;
• biometrics and digital signatures;
• e-mail archiving
• forms management.
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MANAGING ELECTRONIC RECORDS WITH AN
EDRMS
• An Electronic Document and Records Management Systems should contain the following
minimum records management functionality:
• Classification of records: A classification scheme lies at the heart of any electronic records
management system since it defines the way in which individual electronic records are
grouped together (aggregated). A records classification scheme is a hierarchical classification
tool that can facilitate the capture, titling, maintenance and disposal of records. The most
commonly used classification scheme is the Functional Subject File Plan. In a paper-based
filing system documents are filed in a file cover which is used to keep records of the same
subject together in chronological order. The same concept applies to electronic records. They
need to be filed in chronological order in subject folders to enable them to be retrieved in
context. This refers to the process of selecting the appropriate subject from the file plan and
assigning the subject identifier to a specific document. This way all documents are associated
with a subject in the file plan that reflects the business operations/functions of the office.
Without being assigned subjects, documents that are supposed to be linked together and
read in context will not be able to be retrieved as a single unit.
5/8/2024 ERM-13933 98

EDRMS CONT…
• Storage of electronic records: In the paper-based environment records are stored in a
dedicated, secure environment. The same should apply to electronic records. It is not very
practical to store records on a LAN file server. Access to the documents on the file server is
dependent on the security features of the host LAN. The protection it gives to the documents
is only as good as the users' application of the security system. Furthermore, if the electronic
records are stored on the LAN file server, they will have to compete for space with the system
files etc. A sound reliable repository requires a dedicated, stable, long-term storage space.
Where should one then store electronic records? The records can either be stored in
network-attached storage devices such as CD/DVD-ROM towers/ jukeboxes, etc. or in
separate storage area networks.
5/8/2024 ERM-13933 99

EDRMS CONT…
• An Electronic Document and Records Management Systems should
contain the following minimum records management functionality:
• Search and retrieval: This is the primary reason why users would want to use
an electronic system. Nobody likes to page through hundreds of irrelevant
documents to find those that they are interested in. When the users realize
that retrieval is easier and more reliable when they classify the paper-based
and electronic records against the same file plan, they will be more inclined to
file electronic records to the classification system in the repository.
5/8/2024 ERM-13933 100

EDRMS CONT…
• Metadata management: Preservation of metadata with the specific
electronic document gives context to the document. Without the necessary
context attached the electronic document will not be a record. It is no use to
have the content but not to know where it comes from, who the creator was,
when it was created or where it is located. The records management software
chosen must prompt the users to preserve the metadata with the documents
they create. It must also support automated capturing of as many metadata
elements as possible, to minimize the amount of data entry performed by the
users.
5/8/2024 ERM-13933 101

EDRMS CONT…
• Website management: A website is a record, which contains information
regarding the structure and functions of an office, the legislation it
administers, its current policies and guidelines and advice on how to apply
the legislation and policies as well as information on products and services.
An office can be held accountable for the information published on its site.
For evidential, legal and accountability reasons it is imperative to keep a
record of what was available on the site and how it was presented at a given
time.
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EDRMS CONT…
• Managing emails as records: Users must file e-mail messages to the file plan
in the repository. Electronic records management software can either
automatically capture all e-mail messages, in which case even personal e-mail
messages will be captured, or the software can prompt the user to file the
message when he clicks on send, close or save. The records management
software chosen must automatically capture the transfer metadata
(information on the sender and the recipient(s) and the date and time the
message was sent and/or received). This data provides essential context for
the message.
5/8/2024 ERM-13933 103

EDRMS CONT…
• An Electronic Document and Records Management Systems should contain
the following minimum records management functionality:
• Disposal of records: A fundamental aspect of records management is the use of
retention schedules to manage the disposal of records from operational systems.
Disposal schedules define how long the records have to be kept by the system, and
how they may be disposed of. The disposal instructions and retention periods are
applied to each subject file within the file plan. This means that all documents within
that subject file carry the same disposal instruction and retention period. It also
means that the disposal instruction and retention period apply to records in all
formats relating to a subject. To ensure that the right records are destroyed at the
right time the records management software that is chosen should not allow for
automatic software-driven destruction to take place. It should rather allow for built
in triggers to prompt the records manager that a disposal action should take place.
5/8/2024 ERM-13933 104

EDRMS CONT…
• Version Control: Organizations bodies should decide as a matter of policy at which stage
documents should be filed as records in the repository. If draft documents are saved as new
records in the records repository each time they are edited, it will become very cumbersome
to identify and retrieve the final version (the record copy) of a document. Keeping
unnecessary documents in the repository will also increase migration costs and will slow
down the system. The appropriate way to do version control is to keep draft versions of
documents on the user's desktops or in the document management system and only to file
final versions into the records repository. Editing of final versions should not be allowed.
5/8/2024 ERM-13933 105

EDRMS CONT…
• Archiving: Storage management is designed to ensure that data is moved
through a defined hierarchy of storage devices and servers so that less
frequently used objects are moved to lower cost storage to achieve a lower
cost performance ratio. In storage management archiving is defined as the
action of writing all the data/objects that are used infrequently to the least
expensive, slowest storage medium where they are kept permanently in a
storage repository for inactive data. The purpose of archiving is therefore to
keep inactive records on the cheapest storage medium.
5/8/2024 ERM-13933 106

EDRMS CONT…
• Long term format: The electronic records management system must provide the
functionality to store records in non-proprietary formats, or to convert records to
such formats upon checking them into the electronic repository, because non-
proprietary formats are better suited for migration than proprietary ones.
• Back-up and Recovery: For disaster recovery purposes the system must be provided
with comprehensive controls to provide regular backup of the records and metadata;
and to be able to recover rapidly any records if lost because of system failure,
accident, security breach etc. Regular automated backup and recovery can either be
provided by the records management system or by integration with the utilities of an
Electronic Document Management system (EDMS), or a Database Management
System operating with the records management system. Backup and recovery
functions should be divided between the records administrators and IT staff.
5/8/2024 ERM-13933 107

EDRMS CONT…
• Authenticity: Information contained in records is a means of ensuring
accountability and it may need to be produced as evidence in courts of law. To
protect the authenticity, reliability, integrity, accuracy, adequacy and
completeness of records, and to ensure their legal admissibility, the records
must be protected against alterations by users and system administrators. The
electronic records management software must be able to prevent changes to
the content of records and must provide the functionality to record all events
that affect the records to make it possible to track deliberate or accidental
alterations of records.
5/8/2024 ERM-13933 108

EDRMS CONT…
• Audit trail: An audit trail is a record of actions taken on records within the
electronic repository. Records must be able to be deleted from the system.
The electronic records management software must provide the functionality
to record all events that affect the records to make it possible to track
authorized and unauthorized deletion of records.
• Digital certificates and signatures: Organizations should ensure that
electronic records management applications are able to integrate with digital
signature and digital certificate technology should it be necessary to use this
method to ensure that a record cannot be tampered with to protect its
integrity and reliability as evidence of a transaction.
5/8/2024 ERM-13933 109

EDRMS CONT…
• Rendition: The electronic records management application should be able to
render records to different formats. The purpose of rendition is to provide
electronic documents in formats that are software and hardware
independent so that they can be read by any computer system accessing the
information. Rendition is a functionality to display documents in a different
format than that they were created in. E.g. a Word document (.doc) displayed
as a PDF (.pdf) document or HTML (.html) document, etc. This provides a
format that everyone can display and eliminates the need for all users to have
the original application installed on their desktops.
5/8/2024 ERM-13933 110

EDRMS CONT…
• Quality assurance: Because of the inherent volatility of electronic records and
the larger role played by end users the records manager should play an
expanded role regarding the quality assurance of records to ensure their
validity as evidence of the business transactions of the body and their legal
admissibility. The records manager must be able to monitor the percentage of
documents that are being filed. He/she should be able to determine if there
are staff who do not file electronic records and why not. He/she should also
be able to determine the rate of accuracy in filing. This would enable him/her
to determine if there is staff that needs assistance/training in filing
techniques. The records manager must also be able to determine if disposal
instructions and retention periods are being applied thoroughly.
5/8/2024 ERM-13933 111

EDRMS CONT…
• Managing non-electronic records: Although organizations bodies strive to
create less paper or even "paper less" environments they always end up with
some paper-based records being created. The records management
application should include paper management functionality to allow for
integrated records management. It should track files and containers, update
their current locations and report on free space within storage facilities. The
following features are examples of paper management functionality: Bar
coding of files and boxes; Label printing; Movement tracking; Online file
requesting; Charge-out/in file management; Location Auditing; Destruction
and transfer.
5/8/2024 ERM-13933 112

EDRMS CONT…
• Imaging and scanning: It is not advisable for organizations to deploy standalone
imaging and scanning systems without taking all the records management
consequences into account. If the imaging and scanning system has the functionality
to create a file plan structure, that structure should correspond with the paper-based
file plan. Should the system not be able to create a file plan structure, the records
should be indexed against the paper-based file plan to ensure that the same disposal
rules apply. When procuring an imaging and scanning system organizations should
ensure up front that the system that they procure would be able to integrate with a
records management application when the resources become available to upgrade
the technology; or would be able to be developed to include the necessary records
management functionality when resources become available to upgrade the
technology.
5/8/2024 ERM-13933 113

EDRMS CONT…
• Security: Access control organizations need to control access to their records, as
records contain personal and operational information that should be protected
against unauthorized access. The electronic records management software must be
able to control or limit access to records, files and metadata on user level as well as
group level, in the document management system as well as in the records
repository. Security classifications: In some environments e.g. the security
establishment, there is a need to limit access by using a scheme of security
categories and security clearances. These clearances take precedence over any
access rights that might be granted using normal access control features. This is
achieved by allocating to subjects, files and/or records one or more “security
classification”. Users can then be allocated one or more security clearance(s) that
prevent access to all subjects/files/records at higher security classifications. The
system must allow security classifications to be assigned to records, and should
support the review of security classifications.
5/8/2024 ERM-13933 114

MANAGING ELECTRONIC RECORDS USING
ECM CONT…
• Historical perspective of ECM
• The technologies that comprise ECM today are the descendants of late 1980s and
early 1990s electronic document management systems (EDMS).
• In the past IS were built to serve narrow interests of different business functions
within organizations. This resulted in many legacy systems that could not share
information and encouraged proliferation of systems.
• The original EDMS products were stand-alone products, providing functionality in
one of four areas: imaging, workflow, document management, or records
management.
• The typical early EDMS adopter deployed a small-scale imaging and workflow
system, possibly to just a single department, in order to improve a paper-intensive
process and migrate towards the mythical paperless office. The first stand-alone
EDMS technologies were designed to save time and/or improve information access
by reducing paper handling and paper storage, thereby reducing document loss and
providing faster access to information.
5/8/2024 ERM-13933 115

ECM
• Historical perspective of ECM
• Since 2000, the Association for Information and Image Management (AIIM)
International, the worldwide association for Enterprise Content Management
has refined the definition of ECM several times to reflect the expanding scope
and importance of information management:
• Late 2005: Enterprise content management is the technologies used to Capture,
Manage, Store, Preserve, and Deliver content and documents related to organizational
processes.
• Early 2010: Enterprise Content Management (ECM) is the strategies, methods and tools
used to capture, manage, store, preserve, and deliver content and documents related to
organizational processes. ECM covers the management of information within the entire
scope of an enterprise whether that information is in the form of a paper document, an
electronic file, a database print stream, or even an email.
• ECM is just one possible catch-all term for a wide range of technologies
5/8/2024 ERM-13933 116

ECM CONT…
• How does ECM work?
• Under the old system a customer request for a copy of a check might take
weeks, as the bank employees had to contact the warehouse to have
someone locate the right box, file and check, pull the check, make a copy and
then mail it to the bank who would eventually mail it to the customer.
[business process-manual records management-email
• With an ECM system in place, the bank employee simply searches the system
for the customer’s account number and the number of the requested check.
When the image of the check appears on screen, they are able to
immediately mail it to the customer—usually while the customer is still on the
phone.
5/8/2024 ERM-13933 117

ECM CONT…
• What are the benefits of ECM?
• It is an integrative middleware: ECM is used to overcome the restrictions of former
vertical applications and island architectures. The user is basically unaware of using
an ECM solution. ECM offers the requisite infrastructure for the new world of web-
based IT, which is establishing itself as a kind of third platform alongside conventional
host and client/server systems.
• ECM components/technologies are independent services: ECM is used to manage
information without regard to the source or the required use. The functionality is
provided as a service that can be used from all kinds of applications. The advantage
of a service concept is that for any given functionality only one general service is
available, thus avoiding redundant, expensive and difficult to maintain parallel
functions. Therefore, standards for interfaces connecting different services will play
an important role in the implementation of ECM.
5/8/2024 ERM-13933 118

ECM CONT…
• Enterprise content management is a uniform repository for all types of
information: ECM is used as a content warehouse (both data warehouse and
document warehouse) that combines company information in a repository
with a uniform structure. Expensive redundancies and associated problems
with information consistency are eliminated. All applications deliver their
content to a single repository, which in turn provides needed information to
all applications. Enterprise content management is working properly when it
is effectively "invisible" to users. ECM technologies are infrastructures that
support specialized applications as subordinate services. ECM thus is a
collection of infrastructure components that fit into a multi-layer model and
include all document related technologies (DRT) for handling, delivering, and
managing structured data and unstructured information jointly.
5/8/2024 ERM-13933 119

ECM CONT…
• ECM aims to make the management of corporate information easier through
simplifying storage, security, version control, process routing, and retention.
The benefits to an organization include improved efficiency, better control,
and reduced costs.
5/8/2024 ERM-13933 120

MODULE 5
Implementing electronic records management
systems: other matters
5/8/2024 ERM-13933 121

LATEST TRENDS
• Cloud Computing
• What is Cloud Computing?
• The use of computing resources, those being hardware and/or software, that reside on a
remote machine and are delivered to the end user as a service over a network, with the
most prevalent example being the internet. By definition, a user entrusts his data to a
remote service, on which has limited to no influence.
5/8/2024 ERM-13933 122

LATEST TRENDS
• Cloud Computing
• Cloud Computing and ECM
• ECM Applications can be delivered in three ways:
• on-premise software (installed on the organization’s own network)
• Software as a service (SaaS) (web access to information that is stored on the software
manufacturer’s system)
• Hybrid solution composed of both on-premise and SaaS components.
5/8/2024 ERM-13933 123

LATEST TRENDS CONT…
• Cloud Computing
• What is Cloud Computing?
• On-premise ECM: Developed as a traditional software application that organizations implement on their
own corporate networks. In this scenario, each individual company manages and maintains both the
ECM application, and the network storage devices that store the data. Many on-premise ECM systems
are highly customized for individual organizational needs.
• Software as a service (SaaS) /Cloud computing: SaaS ECM means that rather than deploying software on
an in-house network, users access the application and their data online. It is also known as cloud
computing, hosted, and on demand. SaaS delivery allows companies to more quickly begin using ECM,
since they do not have to purchase hardware or configure the applications, databases, or servers. In
addition, organizations trade the capital costs associated with a hardware and software purchase for a
monthly operating expense and storage capabilities that grow automatically to accommodate company
growth.
• Hybrid: In some scenarios, organizations find a hybrid composed of both SaaS and on-premise software
work best for their situation. For example, hybrid ECM systems are being used to bridge the gap during
company moves or to simplify information exchange following an acquisition. Hybrid is also being used
when companies want to manage their own ECM on-premise, but also provide easy web access to
certain information for business partners or customers using a SaaS model. Hybrid makes the most sense
when the two technologies are provided by the same manufacturer, so that features and interfaces are
an exact match.
5/8/2024 ERM-13933 124

LATEST TRENDS CONT…
• Cloud Computing
• 10 Benefits of cloud computing
1. Achieve economies of scale: increase volume output or productivity with fewer people.
Your cost per unit, project or product plummets.
2. Reduce spending on technology infrastructure: Maintain easy access to your information
with minimal upfront spending. Pay as you go (weekly, quarterly or yearly), based on
demand.
3. Globalize your workforce on the cheap: People worldwide can access the cloud, provided
they have an Internet connection.
4. Streamline processes: Get more work done in less time with less people.
5. Reduce capital costs: There’s no need to spend big money on hardware, software or
licensing fees.
6. Improve accessibility: You have access anytime, anywhere, making your life so much
easier!
7. Monitor projects more effectively: Stay within budget and ahead of completion cycle
times.
8. Less personnel training is needed: It takes fewer people to do more work on a cloud, with
a minimal learning curve on hardware and software issues.
9. Minimize licensing new software: Stretch and grow without the need to buy expensive
software licenses or programs.
10. Improve flexibility: You can change direction without serious “people” or “financial” issues
at stake.
5/8/2024 ERM-13933 125

DATA & RECORDS MANAGEMENT COURSE ISO RECORDS MANAGEMENT CONTROLS

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