IRMT Automating Rec Service bog walk

8/10/2019 IRMT Automating Rec Service bog walk

1/149

MANAGING PUBLIC

SECTOR RECORDS

A Training Programme

Automating

Records Services

INTERNATIONAL

COUNCIL ON ARCI!ES

INTERNATIONAL RECORDS

MANAGEMENT TRUST


2/149

MANAGINGPUBLICSECTORRECORDS" A STUD#PROGRAMME

AUTOMATINGRECORDSSER!ICES


3/149

MANAGINGPUBLICSECTORRECORDS

A STUDYPROGRAMME

Genera$ Editor% Mic&ae$ Ro'er( Managing Editor% Laura Mi$$ar

AUTOMATINGRECORDS

SER!ICES

INTERNATIONALRECORDS INTERNATIONALMANAGEMENTTRUST COUNCILONARCI!ES


4/149

MANAGINGPUBLICSECTORRECORDS" A STUD#PROGRAMME

Automating Records Services

) Internationa$ Records Management Trust% *+++,Re'roduction in -&o$e or in 'art% -it&out t&e e.'ress -ritten

'ermission o/ t&e Internationa$ Records Management Trust%is strict$0 'ro&i1ited,

Produced 10 t&e Internationa$ Records Management Trust

*2 3o&n StreetLondon 4C*N 2EBU5

Printed in t&e United 5ingdom,

In6uiries concerning re'roduction or rig&ts and re6uests /oradditiona$ training materia$s s&ou$d 1e addressed to

International Records Management Trust*2 3o&n StreetLondon 4C*N 2EBU5Te$" 788 9:; 2: * 8*:*?a." 788 9:; 2: *


5/149

MPSR Project Personnel

Project Director

Anne T&urston &as 1een -oring to de/ine internationa$ so$utions /or t&e managemento/ 'u1$ic sector records /or near$0 t&ree decades, Bet-een *+


6/149

Project Steering Group

Additiona$ mem1ers o/ t&e Proect Steering Grou' inc$ude

Association o/ Records Managers andAdministrators 9ARMA Internationa$;" e$$a 3ean Barto$o

Internationa$ Counci$ on Arc&ives" George Mac5enFie

Proect Management Consu$tant" Ton0 4i$$iams

Universit0 Co$$ege London" E$iFa1et& S&e'&erd

!ideo Production Co@ordinator" 3anet Rogers

Educational AdvisersMoi Universit0" 3ustus 4amuo0a

Universiti Teno$ogi Mara" Rusna& 3o&are

Universit0 o/ Bots-ana" Nat&an Mnama

Universit0 o/ G&ana" arr0 Aussa&% Pino Aotia

Universit0 o/ Ne- Sout& 4a$es" Ann Pederson

Universit0 o/ 4est Indies" !ictoria Lemieu.

Project Managers

Lynn Coleman (1994-6)

Laura Millar (1996-7)

Elizabeth Box (1997-8)

Dawn Routledge (1999)

Production Team

Additiona$ mem1ers o/ t&e 'roduction team inc$ude

3ane Co-an

Nici a$$

Greg o$o1o//

Bar1ara Lange

3enni/er Leiten

Leanne Nas&


7/149

Donors

T&e Internationa$ Records Management Trust -ou$d $ie to acno-$edge t&e su''ortand assistance o/ t&e /o$$o-ing"

Association o/ Records Managers and Administrators 9ARMA Internationa$;

Britis& Counci$

Britis& ig& Commission G&ana

Britis& ig& Commission 5en0a

Cari11ean Centre /or Deve$o'ment Administration 9CARICAD;

Canadian Internationa$ Deve$o'ment Agenc0 9CIDA;

Common-ea$t& Secretariat

De'artment /or Internationa$ Deve$o'ment 9East A/rica;

De'artment /or Internationa$ Deve$o'ment 9U5;

DL Internationa$ 9U5; Limited

?oreign and Common-ea$t& O//ice uman Rig&ts ?und

a0s In/ormation Management

Internationa$ Counci$ on Arc&ives

Nu//ie$d ?oundation

Organisation o/ American States

Ro0a$ Ban o/ Scot$andUnited Nations Deve$o'ment Program


8/149

Automating Records Services

Principal Author

ELIZABETHYAKEL

E$iFa1et& #ae$ &o$ds a P&D /rom t&e Universit0 o/ Mic&igan and is an assistant'ro/essor at t&e Universit0 o/ Pitts1urg&% Sc&oo$ o/ In/ormation Sciences, S&e &asover * 0ears e.'erience in arc&ives and records management, Prior to coming to t&eUniversit0 o/ Pitts1urg& in t&e /a$$ o/ *++


9/149

CONTENTS

Introduction *

Lesson * P$anning an Automation Programme 2

A''endi. *" Automated Records Management S0stem9ARMS;" Tec&no$og0 Re6uirements C&ec$ist +

Lesson > Im'$ementing and Maintaining t&e AutomatedRecords Management Programme +

Lesson 8 Deve$o'ing Standards and Procedures /or Data Entr0 =+

Lesson Digitisation **>

Lesson 4&at to Do Ne.tH *2


10/149

FIGURES

*, Sam'$e Statement o/ Goa$s% O1ectives and Priorities 22

2, Data In'ut During t&e Li/e@c0c$e Tracing Process >

>, Registration Data 8*

8, C&arge@out Activit0 88

, E.am'$e o/ a MARC Record +8

, E.am'$es o/ Aut&orit0 Contro$s ++


11/149

I!TR"D#CTI"!

I!TR"D#CTI"!T"AUTOMATING

RECORDSSERVICES

Automating Records Services out$ines t&e issues invo$ved -it& using in/ormationtec&no$ogies to manage records and arc&ives services, T&e in/ormation 'rovided in t&emodu$e a''$ies most direct$0 to records management s0stems in organisationa$ settings%

1ut t&e guide$ines o//ered are a$so a''$ica1$e to t&e automation o/ s0stems in an arc&iva$institution% inc$uding t&e com'uterisation o/ administrative records% accessiondocumentation and /inding aids, T&e modu$e a''$ies to individua$s res'onsi1$e /or t&eadministration o/ records in t&e originating o//ice or a/ter trans/er to a recordsmanagement o'eration, T&e in/ormation 'rovided in t&is modu$e a''$ies e6ua$$0 torecords o//ices% records centres or arc&iva$ institutions% de'ending on t&eir 'articu$arneeds,

T&is modu$e e.'$ores t&e advantages t&at com'uterisation 1rings to record@ee'ing-or and &o- various actions are critica$ to e//icient automation% inc$uding 1usinesss0stems ana$0sis% advance '$anning and cost@1ene/it ana$0sis% assessment o/

automation o'tions 'rior to se$ection% im'$ementation and eva$uation o/ com'utertec&no$ogies, T&e $essons /ocus on identi/0ing t&e 1est a''$ication o/ tec&no$og0 toaccom'$is& records and arc&ives management o1ectives% not sim'$0 to automatee.isting /unctions,

T&is modu$e is com'osed o/ si. $essons t&at s0stematica$$0 /o$$o- t&e ste's to 1etaen in an automation 'roect, Lesson * discusses t&e need to conduct a s0stemsana$0sis o/ current records and arc&ives /unctions to eva$uate t&e /easi1i$it0 o/automation, It a$so e.amines t&e im'ortance o/ good '$anning in advance o/ t&eim'$ementation o/ automated s0stems, Lesson 2 out$ines t&e esta1$is&ment o/re6uirements and t&e 'urc&ase o/ an0 automated s0stem,

Lesson > discusses im'$ementation issues% inc$uding sta// training and eva$uation,Lesson 8 e.amines data structures% standards and va$ues and e.'$ains t&e im'ortanceo/ in data entr0 /or e//icient o'erations, Lesson e.amines 'rocesses and 'ro1$emssurrounding digitisation as a means o/ 'reservation and access, Lesson set 'riorities/or automating records s0stems and identi/ies sources /or additiona$ in/ormation ont&e to'ic o/ automation,


12/149

T&e $esson tit$es are as /o$$o-s"

Lesson *" P$anning an Automation Programme

Lesson 2" Identi/0ing Tec&nica$ Re6uirements and Se$ecting Com'uterE6ui'ment

Lesson >" Im'$ementing and Maintaining t&e Automated RecordsManagement Programme

Lesson 8" Deve$o'ing Standards and Procedures /or Data Entr0

Lesson " Digitisation

Lesson " 4&at to Do Ne.tH

Automating Records Services s&ou$d 1e read in conunction -it& severa$ ot&ermodu$es in t&is stud0 'rogramme, T&is modu$e is not an introduction to t&e conce'ts%

'rinci'a$s and a''$ications o/ records management% a$t&oug& t&ese are re/erred tot&roug&out t&e $essons, An introduction to t&ese 'rinci'$es can 1e /ound in t&e coremodu$es in t&is stud0 'rogramme,

%nderstanding Com&uters: An 'vervie( for Records and ArchivesStaffa$so 'rovidesde/initions o/ e0 termino$og0 and e.'$anations o/ 1asic conce'ts t&at are re/erred tot&roug&out t&is modu$e, Anal#singBusiness S#stems -i$$ 1e essentia$ 1acground /orLesson * o/ t&is modu$e,

Man0 o/ t&e 'roect management guide$ines o//ered in Lesson * are discussed in moredetai$ in Strategic Planning for Records and Archives Services, 'rganising andControlling Current Records is a good introduction to conce'ts in Lesson >"

Im'$ementing and Maintaining an Automated Records Programme and Lesson 8"Deve$o'ing Standards and Procedures /or Data Entr0,

Users are encouraged to stud0 t&ese modu$es% 'articu$ar$0 'rganising and ControllingCurrent Records'rior to commencing an0 automation 'rocess, Automating RecordsServices /ocuses on t&e automation o/ e.isting 'a'er or manua$ s0stems,

T&e automation o/ records s0stems is on$0 one ste' in t&e overa$$ automation o/ -or'rocesses t&at su''ort t&e organisations /unctions, T&e management o/ e$ectronicrecords is a com'$ementar0 automation activit0, Users o/ t&is modu$e are encouragedto consu$t t&e com'anion modu$e% Managing )lectronic Records% to e.'$ore severa$ot&er as'ects o/ automation and &o- it a//ects t&e overa$$ management o/

record@ee'ing s0stems,


2


13/149

AIMSANDOUTCOMESAims

T&is modu$e &as eig&t 'rimar0 aims, T&ese are to

*, e.'$ain t&e 'ur'ose% ro$e and nature o/ automation in records management s0stems

2, e.'$ain -&at activities or /unctions mig&t or mig&t not 1e suita1$e /or automation

>, out$ine t&e tec&nica$ re6uirements invo$ved in t&e esta1$is&ment o/ an automated

'rogramme

8, discuss t&e 'rocess invo$ved -it& determining a''ro'riate com'uter e6ui'ment%o'erating s0stems and so/t-are

, i$$ustrate t&e s'eci/ic e$ements o/ an automated records s0stem

, discuss t&e ste's invo$ved in im'$ementing and maintaining automated records andarc&ives s0stems


14/149

*: &ours on Lesson 8

*: &ours on Lesson

= &ours on Lesson ,

T&is inc$udes time s'ent doing t&e reading and considering t&e stud0 6uestions,

At t&e end o/ eac& $esson t&ere is a summar0 o/ t&e maor 'oints, Sources /oradditiona$ in/ormation are 'rovided in Lesson ,

T&roug&out eac& $esson% activities &ave 1een inc$uded to &e$' 0ou t&in a1out t&ein/ormation 'rovided, Eac& activit0 is a Jse$/@assessed 'roect( t&ere is no Jrig&t orJ-rong ans-er, Rat&er% t&e activit0 is designed to encourage 0ou to e.'$ore t&e ideas

'resented and re$ate t&em to t&e environment in -&ic& 0ou are stud0ing or -oring,I/ 0ou are stud0ing t&ese modu$es inde'endent$0 and are not 'art o/ a records orarc&ives management organisation% 0ou s&ou$d tr0 to com'$ete t&e activities -it& anorganisation /or -&ic& 0ou 'revious$0 -ored or a &0'ot&etica$ situation in mind% i/

'ossi1$e, I/ t&e activit0 suggests -riting somet&ing% 0ou s&ou$d ee' t&is 1rie/ and tot&e 'oint( t&is is not a mared or graded e.ercise and 0ou s&ou$d on$0 s'end as muc&time on t&e activit0 as 0ou /ee$ necessar0 to understand t&e in/ormation 1eing taug&t,#ou are encouraged to -rite do-n 0our ans-ers /or a$$ o/ t&e activities and ee' t&e

ans-ers toget&er in a 1oo$et or /i$e( 0ou ma0 -ant to re/er 1ac to 0our ans-ers as0ou -or t&roug& t&is modu$e or t&roug& ot&er modu$es in t&is stud0 'rogramme, Att&e end o/ eac& $esson are comments on t&e activities t&at -i$$ &e$' 0ou assess 0our-or,

?o$$o-ing t&e summar0 at t&e end o/ eac& $esson are a num1er o/ se$/@stud06uestions, Note t&at t&ese se$/@stud0 6uestions are designed to &e$' 0ou revie- t&emateria$ in t&is modu$e, T&e0 are not intended to 1e graded or mared e.ercises, #ous&ou$d com'$ete as man0 o/ t&e 6uestions as 0ou /ee$ -i$$ &e$' 0ou to understand t&econce'ts 'resented, E.terna$ assessments% suc& as assignments or e.ams% -i$$ 1einc$uded se'arate$0 -&en t&is modu$e 1ecomes 'art o/ a graded educationa$

'rogramme,


8


15/149

ADDITIONALRESOURCES

This module assumes that you have access to a records office, records centre or

archival institution or that you have some involvement with the management ofrecords or archives management systems. Ideally, you will also be involved with

automation or be considering automation projects. The various activities may ask you

to draw on your own experiences and compare those with the information provided in

the lessons. If you do not have access to automated facilities or other resources, you

may need to develop a fictitious scenario for your activities. Alternatively, you may

wish to discuss this module with friends or colleagues who work with automation so

that you can discuss principles and concepts with them and compare your

understanding with theirs.

Case Studies

The following case studies will provide valuable additional information.

Case Study:

>" Rosemar0 Murra0@Lac&a'e$$e% Canada% JManaging E$ectronic Documents inO//ice S0stems using IMOSA

8" Laura Mi$$ar and arr0 Aussa&% G&ana% JDeve$o'ing an Automated Nationa$Records Centre Management S0stem in G&ana

5: Victoria Lemieux, Brian Speirs, Nicolas Maftei, Jamaica. Automating theArchives and Records Management Programme at the University of the West

Indies

6: Laura Mi$$ar% Canada, JS0stems Do-n/a$$ or Organisationa$ S&i/tH Automation

at Andover Universit0 Arc&ives

10: Chris Seifried, Canada, Management Decision Making and Teamwork Case

Study

*8" Cassandra ?ind$a0% Austra$ia% JDeve$o'ment and Im'$ementation o/ t&eImmigration De'artments Ne- Internationa$ Trave$$er Movements S0stem



16/149

$ESS"!%

P$A!!I!GA!A#T"MATI"!

PR"GRAMME

Lesson * out$ines t&e ste's invo$ved in '$anning an automation 'roect /or records andarc&ives management, It 1egins -it& a discussion o/ t&e conce't o/ automating andt&e reasons /or automation( it t&en discusses t&e 'ossi1$e uses o/ automation in a

records and arc&ives conte.t, T&is section inc$udes a 1rie/ discussion o/ t&e recordsand arc&ives /unctions t&at automation can im'rove, T&e $esson t&en e.amines &o-

1usiness s0stems ana$0sis a''$ies in a records or arc&ives situation and out$ines t&este's invo$ved in '$anning an automation 'roect, T&e 'articu$ar ste's discussedinc$ude

understanding t&e under$0ing 1usiness 'rocesses

recognising t&e im'ortance o/ assessment and '$anning

understanding t&e environment in -&ic& automation -i$$ tae '$ace

conducting an initia$ assessment

deve$o'ing goa$s% o1ectives and 'riorities

determining resource needs

getting su''ort /or t&e 'roect

conducting a /easi1i$it0 stud0

assem1$ing a 'roect team and 'roect structure

getting su''ort /or t&e 'roect,

4ATISAUTOMATIONHAutomation is a too$ t&at can 1e used to /aci$itate records management and arc&iva$/unctions,

Automation: T&e use o/ mac&ines or s0stems to'er/orm tass norma$$0 'er/ormed or contro$$ed 10



17/149

'eo'$e,



18/149

Man0 /unctions in $i/e can 1e automated% inc$uding -as&ing c$ot&es or dis&es using-as&ing mac&ines or dis&-as&ers% trans'orting goods using cars or trucs% or adding u'$ists o/ num1ers using ca$cu$ators, In t&is modu$e% automation re/ers to t&e use o/com'uters to manage t&e administrative and in/ormation 'rocessing tass in recordso//ices% records centres% and arc&iva$ institutions,

I/ used -ise$0% com'uters can assist records 'ersonne$ in managing records 1etter toensure t&eir continued va$ue as evidence, Automation can &e$' organisations im'$ementaut&entic and re$ia1$e record@ee'ing 'ractices% t&roug& t&e im'roved tracing o/ recordst&roug& t&eir $i/e c0c$e as -e$$ as t&e consistent a''$ication o/ records sc&edu$es anddescri'tive standards, Maintaining evidence t&roug& aut&entic and re$ia1$e records is acornerstone o/ good 1usiness 'ractice and &e$'s ensure a va$ua1$e record /or societ0,

Man# functions in life can be automated*

Automation re/ers to a variet0 o/ a''$ications using com'uter tec&no$og0, In t&ismodu$e% a num1er o/ di//erent a''$ications -i$$ 1e discussed, T&ese -i$$ inc$udea''$ications using generic so/t-are% suc& as -ord 'rocessing% s'reads&eet% anddata1ase a''$ications% or s'ecia$$0 -ritten records management a''$ications,Com'uters can 1e stand a$one% or $ined using net-ors 9LANs% 4ANs% intranets% ort&e Internet;% and can use a -ide range o/ 'eri'&era$ devices 9suc& as scanners% 1arcode readers% 'rinters and so on;,

+or more information about com&uter soft(are andhard(are see Understanding Com'uters

Compute net!o": A grou'ing o/ com'uters and'eri'&era$s connected toget&er 10 te$ecommunications$ins to ena1$e a grou' o/ users to s&are and e.c&angein/ormation,

Lo#a$ aea net!o": A com'uter net-or $ocated-it&in a re$ative$0 $imited area suc& as a 1ui$ding%

agenc0 or universit0 cam'us, A$so no-n as a LAN,

%i&e aea net!o" '%AN(:A com'uter net-or t&atcovers a $arge geogra'&ica$ area,

Intenet:A co$$ection o/ $oca$% regiona$ and nationa$com'uter net-ors t&at are $ined toget&er to e.c&angedata and distri1ute 'rocessing tass,

Intanet:An interna$ com'uter net-or t&at 1e$ongs toan organisation and is accessi1$e on$0 10 t&atorganisations mem1ers,


=


19/149

WHATSHOULDBEAUTOMATED?

T&e range o/ tec&no$og0 a''$ications and /unctions avai$a1$e can mae it di//icu$t to

se$ect a 'articu$ar tec&no$ogica$ so$ution to a records or arc&ives 'ro1$em, T&ismodu$e is designed to assist readers in t&is decision@maing 'rocess,

T&e 6uestion is not -&et&er records and arc&ives management /unctions can 1eautomated, Man0 /unctions can 1e automated i/ t&e resources are avai$a1$e, But it isim'ortant to determine i/ automation is -arranted, T-o e0 6uestions must 1e ased"

*, S&ou$d a s'eci/ic records or arc&ivesmanagement /unction 1e automated at t&is timeH

2, o- s&ou$d a 'articu$ar records or arc&ivesmanagement /unction 1e automatedH

As is em'&asised t&roug&out t&is modu$e% a$$ records and arc&ives /unctions s&ou$d 1e/u$$0 /unctiona$ in a manua$ s0stem 1e/ore attem'ts are made to automate t&em,Automating an ine//icient 'rocess -i$$ not trans/orm it into an e//ective one, I/ donecorrect$0% &o-ever% automation can not on$0 im'rove arc&iva$ and records /unctions

1ut can a$so mae it 'ossi1$e to undertae activities t&at -ere too com'$icated or timeconsuming to 1e done in t&e 'ast on a regu$ar 1asis,

All records and archives functions should be full# functional

in a manual s#stem before attem&ts are made to automate

them*

Because automating an ine//icient and ine//ective manua$ 'rocess -i$$ not &e$' anorganisation ac&ieve its o1ectives% some organisations s&ou$d consider s0stemsana$0sis and 1usiness 'rocess re@engineering in antici'ation o/ automation,

Bu)ine)) po#e)) e*en+ineein+ 'B,R(: T&e/undamenta$ ret&ining and radica$ redesign o/ 1usiness

'rocesses to ac&ieve dramatic im'rovements in critica$%contem'orar0 measures o/ 'er/ormance% suc& as cost%6ua$it0% service and s'eed,

+or more information on business &rocess re,

engineering see Ana$0sing Business S0stems*

It is a$so im'ortant to consider t&e resources avai$a1$e and sta// commitment re6uired1e/ore commencing an automation 'roect, ?inancia$ resources are im'ortant% 1ut'eo'$e are an even more critica$ e$ement in an0 automation 'rocess, 4&enconsidering automation% t&e e0 stae&o$ders need to 1e identi/ied,

Sta"e-o$&e:An0 'erson% grou' or ot&er organisationt&at &as a c$aim on an organisations attention%


+


20/149

resources or out'ut or is a//ected 10 t&at out'ut,

T&ese stae&o$ders ma0 inc$ude government o//icia$s -&o re$0 on t&e arc&iva$

institution to maintain t&eir records and su''$0 in/ormation or return s'eci/ic /i$es-&en re6uested, Ot&er stae&o$ders are t&e citiFens -&o de'end on t&e records andarc&ives institution to 1e a1$e to 'reserve and $ocate im'ortant records 9suc& as

'ro'ert0 /i$es; and t&e sta// o/ t&e records and arc&ives institution, Researc&ers ma01e anot&er e0 stae&o$der grou'( t&e0 can 1e direct$0 a//ected 10 t&e -a0in/ormation or records are made avai$a1$e to t&em,

4&et&er an automation 'rogramme succeeds or /ai$s o/ten de'ends on t&e su''ort itreceives /rom stae&o$ders, Automation ma0 entai$ redesigning -or 'rocesses andt&us c&anging 'eo'$es o1s or t&e -a0 services are o//ered, It is crucia$ to assess

'eo'$es ca'acit0 /or c&ange in t&eir -or environment and to 're'are t&em /or t&atc&ange, Sta// ma0 &ave to 1e trained in com'uter si$$s, Simi$ar$0% usersma0 &ave to

1e given guidance a1out t&e -a0 automated s0stems -or i/ t&e0 are to 1e e.'ectedto use t&e tec&no$og0 t&emse$ves,

Reasons &or Automation

Automation s&ou$d 1e vie-ed as a too$ to /aci$itate dai$0 o'erations and '$anning in arecords and arc&ives institution, I/ im'$emented -e$$% automation can increase sta//e//icienc0% 'er/orm routine tass automatica$$0 and ana$0se data more 6uic$0 t&ancou$d 1e done manua$$0, Manua$ in/ormation s0stems ma0 not 1e /ast enoug& or

so'&isticated enoug& to meet gro-ing user demands as -e$$ as t&e &ig&er e.'ectationsand standards 1roug&t a1out in societ0 10 increased com'uterisation, I/ 'eo'$e /ind t&att&e0 can access in/ormation in one o//ice or agenc0 using com'uters% t&e0 -i$$ sooncome to e.'ect ot&er o//ices to 'rovide t&e same $eve$ o/ service,

Pu1$ic and 'rivate sector organisations increasing$0 re$0 u'on com'uters andin/ormation tec&no$og0 to de$iver t&eir services and 'rogrammes more e//icient$0,Records and arc&ives institutions are not e.ce'tions to t&is trend, A$most an0records@re$ated activit0 can 1e automated in some /as&ion, ?or e.am'$e% -ord

'rocessing can 1e used /or corres'ondence% inventor0 deve$o'ment and re'ortgeneration, S'reads&eets can 1e used to manage 1udgets or trac 'roecte.'enditures, Data1ases can maintain in/ormation a1out sta// or a1out records orarc&ives,

Automation should facilitate dail# o&erations and &lanning*

T&e 'ressures to automate are great, In t&is age o/ Jinstant in/ormation% t&ere is anincreasing demand /or s'eed0 access to in/ormation% records and arc&ives, ?urt&ermore%e.isting manua$ s0stems ma0 $ead to du'$ication o/ e//ort and re'etition o/ -or,Manua$ s0stems can 1e time consuming% cost$0% in/$e.i1$e and 'rone to &uman error,o-ever% as -i$$ 1e discussed 1e$o-% com'uterisation is on$0 e//ective i/ t&e 'ro'er


*:


21/149

ana$0sis and '$anning is com'$eted 'rior to t&e 'urc&ase and im'$ementation o/ ne-tec&no$og0, Com'uters a$one are not a so$ution /or 'oor 'rocesses or a $ac o/ standardsin t&e management o/ records or arc&ives, ?or e.am'$e% a com'uter cannot 1e are'$acement /or% or an a$ternative to% a 'ro'er$0 designed c$assi/ication s0stem, On t&e

ot&er &and% i/ suc& a c$assi/ication s0stem is in '$ace 'rior to com'uterisation% t&ecom'uter can automate it% /aci$itate access and 'rovide a /aster searc& mec&anisms /or itand 'ermit t&e assignment o/ re$evant /i$e num1ers to 'a'er records 6uic$0 ande//icient$0,

?o$$o-ing are some reasons an organisation mig&t c&oose to automate its records orarc&ives /unctions% or indeed an0 o/ its /unctions,

accurac0 o/ in/ormation and ca$cu$ations

s'eed0 retrieva$ o/ in/ormation

re$ia1i$it0 o/ in/ormation once in'ut increased a1i$it0 to mani'u$ate data once in'ut

a1i$it0 to ensure greater accurac0 and consistenc0 in t&e 'er/ormance o/ routine

tass

$arge ca'acit0 /or storage o/ in/ormation

accessi1i$it0 o/ in/ormation

e.'anda1i$it0 o/ com'uter s0stems

/$e.i1i$it0 o/ com'uter s0stems

cost e//icienc0 o/ o'erations

1etter uti$isation o/ 'ersonne$

savings in s'ace and e6ui'ment

instantaneous u'dating

mu$ti'$e simu$taneous access to in/ormation

ne- a''roac&es to -or 'rocesses,

Activit' %

Be/ore reading /urt&er% -rite do-n -&at -ou$d 1e t&e advantages to 0our organisationi/ it automated some o/ its activities,

Automation a$so assists in e$iminating re'etitious -or% suc& as t0'ing ne- /i$e $a1e$sand inde. cards, Com'uters can 'rint $a1e$s automatica$$0% u'date inde.es regu$ar$0%

'roduce re'orts 1ased on data a$read0 entered into t&e com'uter% and ot&er-ise reduce

time and increase e//icienc0, Personne$ can t&en /ocus t&eir -or on more signi/icant


**


22/149

tass,

T&e com'uterisation o/ some tass o//ers muc& more /$e.i1i$it0, ?or e.am'$e% t&ecom'uter maes it 'ossi1$e to organise and maintain an inde. -it& severa$ searc&a1$e

J/ie$ds or attri1utes o/ in/ormation, As a resu$t% t&e com'uter 'rovides increased'oints o/ access to in/ormation, T&is access can /aci$itate t&e $ocation o/ items /orusers -&o ma0 not 1e a-are o/ t&e e.act termino$og0 /or an item,

In addition% t&e com'uter 'ermits t&e maintenance and u'dating o/ /inding aids%c$assi/ication manua$s% and inde.es -it& re$ative ease, C&anges can 1e in'ut 6uic$0into t&e data1ase and can 1e immediate$0 re/$ected in a 'rintout, As $ong as more t&anone com'uter is avai$a1$e% it is a$so 'ossi1$e /or records or arc&ives em'$o0ees toaccess t&e data1ase simu$taneous$0, T&us% sta// mem1ers at remote storage $ocationscan see ne- and revised in/ormation immediate$0 and not &ave to -ait unti$ t&e0 are

'&0sica$$0 at t&e main records and arc&ives institution o//ice,

S'ace savings can 1e ac&ieved t&roug& t&e use o/ com'uters, ?or e.am'$e%com'uters can 1e 'rogrammed to remind users o/ retention and dis'osa$ dead$ines%ensuring records are trans/erred or destro0ed on sc&edu$e, In an arc&iva$ setting%com'uters can a$so 1e used to mae /inding aids more consistent and avai$a1$e tousers in remote $ocations as -e$$ as on t&e 'remises, Com'uters ma0 a$so reduce t&eneed /or some o//ice su''$ies and e6ui'ment% saving costs in t&e $ong run,

Net-ored com'uters a$$o- increased connectivit0 to ot&er governmenta$ agencies%as -e$$ as to records 'ro/essiona$s t&roug&out t&e -or$d, Intranets can connect t&erecords and arc&ives institution to governmenta$ agencies so t&at records@re$ated6uestions can 1e ans-ered 6uic$0, T&roug& t&e Internet% records 'ro/essiona$s can$ocate 'ro/essiona$ resources and /ind mode$ 'o$icies% 'rocedures and manua$s /romot&er simi$ar institutions to assist t&em in 'rogramme deve$o'ment, T&e0 can a$socommunicate more easi$0 -it& t&eir co$$eagues% encouraging t&eir 'ro/essiona$gro-t&,

USESO?AUTOMATION

Almost an# o&eration in a records office or records centre

can be automated*

Automated tec&no$ogies can 1e used /or a -ide range o/ records /unctions, o-ever%t&is does not mean a$$ suc& o'erations s&ou$d necessari$0 1e com'uterised, T&edecision a1out -&at to automate% -&at not to automate and &o- to 'rioritise /unctionsin an automation 'rocess is considered 1e$o-,

Potentia$ records@re$ated /unctions to -&ic& tec&no$og0 can 1e a''$ied inc$ude

administrative tass suc& as corres'ondence%'ersonne$ management% accounting%


*2


23/149

or re'orting

c$assi/ication and $isting o/ current records

'rinting /i$e $a1e$s

sc&edu$ing o/ current records

$ocation and tracing o/ current and semi@current records and 1o.es

in/ormation a1out aut&orised users o/ current and semi@current records

identi/ication o/ records /or dis'osa$ to records centres or arc&ives

management o/ '&0sica$ s'ace and storage /or current records% semi@current

records or arc&ives

management o/ de'osits in records centres

ac6uisition and accessioning o/ arc&ives

donor /i$es in arc&ives

'reservation assessments

re/erence and retrieva$ o/ arc&ives

registration o/ users and researc&ers

'rovision o/ /inding aids or descri'tive in/ormation a1out records or arc&ives

'roduction o/ management in/ormation a1out t&e records and arc&ives service,

Activit' (

Be/ore reading /urt&er% -rite do-n as man0 records@re$ated /unctions in 0ourorganisation 0ou can t&in o/ t&at cou$d 1e automated,

Anot&er -a0 to consider t&e 'ossi1$e a''$ications o/ a com'uter s0stem is to e.amineJ'ro1$ems or di//icu$ties encountered 10 t&e organisation and eva$uate -&et&er t&e0

can 1e /aci$itated or im'roved -it& automation, Sometimes 'ro1$ems are s0stemicand sim'$0 automating a 'rocess -i$$ not so$ve t&e under$0ing issue, Be/orecom'uterisation% t&e Jdi//icu$t 'rocess s&ou$d 1e ana$0sed and 'er&a's re@engineered9as discussed 1e$o-;, o-ever% automation &as 1een used success/u$$0 to addresssuc& common records and arc&ives management 'ro1$ems as t&e /o$$o-ing,

T&e records c$assi/ication /unction is s$o-% inconsistent and out o/ date,

5e0 -ord $ists &ave 1ecome o1so$ete and are di//icu$t to ee' u' to date,

Maing u' ne- /i$es taes too $ong,

Manua$$0 managed tass suc& as creating or searc&ing /i$e inde.es% card inde.es


*>


24/149

or $ists are time consuming,

T&e manua$ s0stem does not /aci$itate t&e addition and de$etion o/ /i$e inde.

in/ormation,

Records &ave 1een mis$aid 1ecause t&e0 &ave not 1een regu$ar$0 traced around

t&e ministr0 or de'artment,

Records sc&edu$es are di//icu$t to ee' trac o/ and dis'osa$ dates o/ten 'ass

-it&out records 'ersonne$ rea$ising t&is /act,

C$assi/ication manua$s and users guides are 6uic$0 outdated and 'ersonne$ ma0

1e -oring -it& di//erent versions,

Persona$ /i$ing s0stems are e't to com'ensate /or t&e $ac o/ re$ia1i$it0 in t&e

centra$ registr0 s0stem,

?i$e monitoring and contro$ are not carried out regu$ar$0,

Preservation assessments are not u'dated regu$ar$0,

Certain tass are du'$icated% suc& as 're'aring /i$e acet $a1e$s% inde. entries or

/i$e c$assi/ication manua$s,

T&e $arge vo$ume o/ in/ormation avai$a1$e maes it di//icu$t to co$$ect% organise

and $in documents using manua$ s0stems,

Management re'orts are not avai$a1$e on a regu$ar 1asis and statistics /or t&ese

re'orts are &ard to com'i$e,

Resources in t&e records and arc&ives institution are not su//icient to meet userdemands,

Overtime costs are increasing$0 necessar0 to su''ort t&e s0stem,

Tass are re'etitious and monotonous% causing mora$e di//icu$ties,

I/ t&e identi/ication and ana$0sis o/ s0stemic 'ro1$ems and an ensuing 1usiness'rocess re@engineering is not done 'rior to automation% t&is can $ead to greater'ro1$ems in t&e im'$ementation and management o/ t&e ne- tec&no$ogies,

4&at are o/ten 'erceived as automation 'ro1$ems arise not /rom t&e im'$ementationo/ com'uter tec&no$ogies 1ut instead /rom insu//icient ana$0sis and '$anning 'rior to

t&eir im'$ementation, Pro1$ems a$so arise -&en t&e 'rocesses 1eing automated are'oor$0 designed in t&e /irst '$ace, Maor 'ro1$ems in automating records and arc&ives/unctions inc$ude t&e /o$$o-ing,

Peo'$e ma0 e.'ect too muc& o/ t&e automation s0stem and 1e disa''ointed i/ it is

not J'er/ect,

Insu//icient training o/ 'ersonne$ using t&e s0stem can resu$t in mora$e 'ro1$ems

and in data t&at is not re$ia1$e,

Peo'$e ma0 not 1e -i$$ing to ada't to t&e met&ods% suc& as standardisation o/

termino$og0 9re6uired to use automated s0stems;% maing com'$iance di//icu$t,


*8


25/149

Poor$0 '$anned s0stems ma0 not serve organisationa$ re6uirements ade6uate$0 and

so 1e considered 'oor su1stitutes /or 'revious manua$ s0stems,

!ague or im'recise s0stems -i$$ not serve needs -e$$ and ma0 1ecome o1so$ete

6uic$0,

Idios0ncratic 'rocesses -i$$ $ead to a /ai$ure in automation i/ t&e0 are not a$tered%

as com'uters re6uire &ig& $eve$s o/ accurac0 and consistenc0,

Continua$ c&anges in t&e organisations needs and re6uirements ma0 mae

automated s0stems o1so$ete i/ 'oor$0 '$anned,

BUSINESSS#STEMSANAL#SISBusiness s0stems ana$0sis is increasing$0 common in organisations around t&e -or$dand is t&e cornerstone o/ man0 'u1$ic sector re/orm e//orts,

Bu)ine)) ).)tem) ana$.)i) 'BSA(: An ana$0tica$/rame-or t&at invo$ves ana$0sing organisations ass0stems or t&e 'rocess o/ s0stematica$$0 and o1ective$0gat&ering in/ormation a1out 1usiness s0stems andsu1ecting t&at in/ormation to /orma$ ana$0sis, T&isinc$udes identi/0ing 1road organisationa$ goa$s and

su''orting 1usiness areas and 'rocesses% and 1usiness'rocess de/inition and decom'osition,

Bot& 'u1$ic sector and 'rivate sector records and arc&ives institutions can a$so 1ene/it/rom com'$eting t&is t0'e o/ ana$0sis o/ t&eir -or 'rocesses, In /act% t&e ana$0sisand su1se6uent re@engineering o/ 'rocesses -it&in a records and arc&ives institutioncan 1ring t&e organisation into c$oser a$ignment -it& its 'arent organisation%/urt&ering t&e mission and o1ectives o/ 1ot& t&e records o//ice and t&e $argerorganisation,

4&en em1aring on an0 automation initiative% it is 'articu$ar$0 im'ortant to veri/0 t&at

t&e e.isting manua$ records or arc&ives management 'rocesses are -e$$ designed,Automating 'oor s0stems -i$$ not mae t&em more e//icient, Gaining a t&oroug&understanding o/ t&e under$0ing records and arc&ives management /unctions is anessentia$ ste' in t&e automation 'rocess, BSA invo$ves t&e identi/ication o/interre$ations&i's among 'eo'$e% tass% organisationa$ structures% in/ormation /$o-and ot&er e$ements, In e//icient 'rocesses% a$$ t&e e$ements -or toget&erco@o'erative$0, 4&en ne- e$ements suc& as com'uters are introduced% t&e 1a$anceamong t&ese /actors can 1ecome distur1ed, T&ere/ore% it is im'ortant to /orecast

'otentia$ 'ro1$ems t&at ma0 arise -it& t&e introduction o/ tec&no$og0 into a -or'$ace 'rior to t&e im'$ementation o/ ne- s0stems,

As in an0 1usiness s0stems ana$0sis and t&e ensuing re@engineering% t&e 'rocess o/


*


26/149

managing c&ange in a records and arc&ives institution re6uires s0stems t&ining, Toaccom'$is& t&is% one must understand 1ot& t&e 'arts and t&e -&o$e o/ a 'rocess as-e$$ as interre$ations&i's and de'endencies among agencies% activities and 'eo'$einvo$ved in t&e 'rocess,

-he ste&s in a business s#stems anal#sis &ro.ect are

outlined in Ana$0sing Business S0stems,

Automating &oor s#stems (ill not make them more efficient*

Consider t&e /o$$o-ing t0'ica$ records management 'ro1$em,

Activit' )

Read t&e scenario 1e$o- and t&en ans-er t&e 6uestions at t&e 1ottom o/ t&is activit0,

A government arc&iva$ institution is &aving di//icu$t0 managing t&e recordssc&edu$ing 'rocess, T&ere is insu//icient in/ormation co$$ected on agenc0 /unctionsand records to mae dis'osa$ decisions, As a resu$t% arc&ives sta// are constant$0

rec&ecing in/ormation and agenc0 directors are re$uctant to sign o// on an0 sc&edu$est&at are 'roduced,

T&e creation o/ a records sc&edu$e invo$ves suc& activities as /unctiona$ ana$0sis o/t&e agenc0% ana$0sis o/ t&e record@ee'ing s0stems% intervie-s o/ t&e o//icia$s in t&ee//ected o//ice and 'er&a's ot&er o//ices and $ega$ researc&, T&ese activities areinitiated 10 records 'ersonne$,

o-ever% in order /or t&e sc&edu$e to 1e /ina$ised it must 1e a''roved 10 t&e agenc0&and$ing t&e records% $ega$ counse$ and 'er&a's some ot&er government minister,

4&at 'ro1$ems do 0ou identi/0 -it&in t&is records sc&edu$ing 'rocessH 4&at 'arts o/t&e 'rocess cou$d 1e automatedH 4&at 1ene/its s&ou$d derive /rom automating t&ose

'rocessesH 4i$$ automation so$ve t&e 'ro1$ems 0ou identi/iedH 4rite do-n as man0ideas as 0ou can t&in o/ /or t&ese 6uestions,

In order to use automation e//icient$0% a$$ records@re$ated 'rocesses s&ou$d 1e ana$0sed toveri/0 t&at t&e0 /aci$itate t&e goa$s and o1ectives o/ t&e organisation, T&e 'ro1$ems/ound ma0 not 1e so$ved 10 automation( /or e.am'$e% it is di//icu$t i/ not im'ossi1$e to

so$ve a 'o$itica$ 'ro1$em 10 automating t&e 'rocess,


*


27/149

T&e 1ene/its o/ automation can on$0 1e ac&ieved -it& care/u$ '$anning, P$anning a$$o-srecords and arc&ives 'ersonne$ to determine and 'rioritise t&eir needs and desires, 4it&assessment and '$anning% t&ere is a greater $ie$i&ood t&at core re6uirements are met andt&at ot&er needs and desires are addressed% even i/ t&e0 cannot 1e accommodated -it&

automation, T&e '$anning 'rocess s&ou$d not on$0 consider automation needs 1ut a$soe.amine ot&er in/ormation management initiatives -it&in t&e organisation% in order toensure t&at t&e o1ectives and directions are not o''osed and t&at over$a''ing goa$s arenoted,

ASSESSMENTANDPLANNING

Planning is critical to an# automation &rogramme*

P$anning is a crucia$ 'art o/ a$$ records and arc&ives institution activities% as discussedin a$$ t&e modu$es in t&is stud0 'rogramme, P$anning is a critica$ management/unction t&at must occur -it&in t&e organisationa$ conte.t( t&at is% ot&er organisationa$com'onents must 1e taen into account -&i$e carr0ing out an0 '$anning e.ercise, Inot&er -ords% automation 'roects cannot 1e '$anned /or in iso$ation /rom t&eorganisations mandate% mission% /unctions% resources and ot&er s0stems,

T&e com'uterisation o/ -or 'rocesses a$so re6uires no-$edge% si$$s and -isdom/rom more t&an one disci'$ine, An0 automation 'roect &as a greater c&ance o/success i/ it 1egins -it& good '$anning and -it& consu$tation -it& t&e user and t&etec&no$og0 communities% -it& 'rogramme managers% records managers% arc&ivistsand s0stems s'ecia$ists% as -e$$ as -it& ot&er government o//icia$s -&o de'end onrecords, A s0stem t&at does not meet t&e needs o/ users is counter@'roductive andre'resents a misuse o/ resources, An automation 'roect can on$0 1e success/u$ i/ a$$stae&o$ders are invo$ved and% 'articu$ar$0% i/ senior management su''orts% endorsesand $eads suc& an initiative,

T&e goa$s and 'ur'oses /or automating t&e records management s0stem s&ou$d 1ec$ear$0 stated 10 senior management and communicated to em'$o0ees, ?uture userso/ t&e s0stem s&ou$d 1e consu$ted to see t&eir e.'ertise and ideas and 'romote t&eiracce'tance o/ t&e ne- too$, Training and orientation in t&e ne- too$ is a$so critica$ toits success,

P$anning ensures t&e 'roect is com'$eted on time and -it&in 1udget and t&at t&e /ina$'roduct addresses t&e needs o/ t&e organisation as identi/ied, P$anning can 1e 6uitecom'$e.% 1ut it is a necessar0 'art o/ an automation 'roect, 4it&out '$anning% t&es0stems deve$o'ed ma0 1e inade6uate% 'eo'$e ma0 1e 'oor$0 trained and t&e /ina$

'roect ma0 not 1e success/u$, P$anning invo$ves




*


28/149


getting su''ort /or t&e 'roect


deve$o'ing a detai$ed 'roect '$an

assem1$ing a 'roect team and 'roect structure,

Conducting an Initial Assessment4&et&er manua$ or automated% s0stems e.ist -it&in an organisationa$ /rame-or andt&ere/ore must 1e organised in order to meet t&e needs o/ t&e organisation, Prior todeve$o'ing t&e automation 'roect in de't&% it is -ise to conduct an initia$ assessment o/t&e organisation% to determine i/ an automation 'roect is in /act even via1$e, A num1ero/ tec&no$og0@s'eci/ic /actors s&ou$d 1e identi/ied and eva$uated during t&is initia$assessment '&ase% inc$uding"

t&e 'ro1$em9s; to 1e reso$ved 10 t&e deve$o'ment o/ a ne- automated s0stem

&o- tec&no$og0 initiatives /it into overa$$ mission and 1usiness o1ectives

current or 'ending $egis$ation t&at ma0 a//ect t&e c&oice or use o/ tec&no$og0

t&e state o/ e.isting s0stems -it&in t&e organisation and &o- t&e0 s&ou$d re$ate to

an0 ne- s0stem

t&e s0stem o/ managing materia$s in agenc0 records o//ices as -e$$ as in t&e

records centre

t&e nature o/ an0 e.isting or '$anned records management initiatives -it&in t&e

organisation and &o- t&e0 a//ect or s&ou$d [email protected] -it& an0 ne- s0stem

t&e e.'ected 1ene/its resu$ting /rom t&e im'$ementation o/ an automated s0stem

&o- costs -i$$ 1e measured and at -&at 'oint t&e costs -i$$ out-eig& t&e 1ene/its

t&e constraints and $imitations o/ t&e automation 'roect% inc$uding 'o$ic0%

/inancia$ re6uirements and tec&nica$ si$$s

t&e time and resources re6uired to conduct a /easi1i$it0 stud0

t&e $eve$ o/ senior management su''ort 9it is 1est to see a c&am'ion /or t&e

records s0stem automation 'roect to o//er su''ort at senior $eve$s;

t&e 'roect team mem1ers% t&eir ro$es and res'onsi1i$ities,

Once t&is initia$ assessment &as 1een com'$eted% it is 'ossi1$e to determine t&e goa$s%

o1ectives and 'riorities /or t&e 'roect and deve$o' t&e terms o/ re/erence /or a


*=


29/149

/easi1i$it0 stud0,

+or more on &ro.ect management see StrategicP$anning /or Records and Arc&ives Services,

Ot&er non@tec&nica$ /actors can a//ect t&e /easi1i$it0 o/ an automation 'roect, T&ese/actors mig&t inc$ude t&e organisationa$ cu$ture and t&e '&0sica$ $a0out or environmenta$conditions -it&in t&e o//ice, 4or 'ractices and o//ice cu$tures -i$$ in/$uence t&e designand im'$ementation o/ 1ot& com'uter &ard-are and so/t-are, ?ai$ure to understand t&eorganisationa$ cu$ture in ma0 resu$t in 1arriers during t&e im'$ementation o/ an0automation 'roect, ?or e.am'$e% re@engineering a 'rocess ma0 entai$ reorganisation o/tass% additions o/ duties or de$etions o/ certain ste's, T&is 'rocess can a//ect 1e&avioursand o//ice routines t&at &ave 1een in '$ace /or 0ears, I/ t&e ne- automated 'rocesses donot -or -e$$% t&e0 ma0 1e o/ $itt$e va$ue 1ecause t&e o$der routines -i$$ 'ersist, In t&iscase% senior management s&ou$d stress t&at t&e re@engineering is not 1eing done /or t&e

1ene/it o/ automation, Rat&er% c&anges are 1eing made to /urt&er t&e goa$s and o1ectiveso/ t&e organisation,

Severa$ '&0sica$ /actors can assist or im'ede t&e automation 'rocess% inc$uding t&eactua$ '&0sica$ $a0out o/ t&e o//ice% environmenta$ issues and in/rastructure, Com'utersand 'eri'&era$s re6uire $arge amounts o/ -ors'ace to create an e//icient -oringenvironment, A$so% com'uter users can e.'erience musc$e 'ains i/ o//ice /urniture doesnot su''ort 'arts o/ t&e 1od0% suc& as t&e 1ac and arms, Poor a$ignment 1et-een t&ecom'uter monitor and t&e $ine o/ vision can resu$t in nec 'ro1$ems, T&e 'otentia$ /ort&ese concerns needs to 1e identi/ied during t&e assessment,

T&e '&0sica$ environment is a$so a /actor, Consistent tem'erature and re$ative &umidit0

must 1e maintained to ensure 'ro'er /unctioning o/ t&e com'uter tec&no$og0,?urt&ermore% com'uters are a$so sensitive to e.cessive dust or dirt% and air conditioners-i$$ &e$' to /i$ter t&e air, Com'uter tec&no$og0 a$so re$ies on de'enda1$e 'o-ersu''$ies% -it&out signi/icant surges or $ong@term 'o-er cuts, T&e initia$ assessmentmust address t&ese issues as -e$$, Preservation issues are discussed in more detai$

1e$o-,

Developing Goals* "bjectives and Priorities

I/ t&e initia$ assessment 'roves /avoura1$e to-ard /urt&er e.'$oration o/ automation

o'tions% t&e sco'e o/ t&e 'roect needs to 1e esta1$is&ed, An0 automation 'roect 9orindeed an0 'roect in t&e organisation; must 1e -e$$ '$anned% 1ased on c$ear andac&ieva1$e goa$s and o1ectives and -e$$@esta1$is&ed 'riorities,

I/ t&e records management automation 'roect does not 1$end -e$$ -it& t&e 'arentorganisations overa$$ 1usiness goa$s% o1ectives and 'riorities% t&ere is $ie$0 to 1e$itt$e su''ort /or its deve$o'ment, ?or e.am'$e% i/ someone in a records o//ice -is&edto deve$o' an automated retention and dis'osa$ sc&edu$e at t&e same time as a$$c$assi/ication s0stems -ere 1eing revised% management ma0 reasona1$0 /ee$ t&eautomation 'roect is 'remature,

4&en considering &o- automation in t&e records and arc&ives institution -i$$ su''ort


*+


30/149

t&e organisations 1usiness o1ectives and 'riorities% consider t&e /o$$o-ing /iveissues,

Purpose o& the S'stem

T&e 'ur'ose o/ records and arc&ives management s0stems must 1e '&rased in termso/ t&e $arger organisation, Records 'ro/essiona$s ma0 -ant to c$ari/0 t&e 'ur'ose o/t&e automated s0stem% -&at ot&er /unctions it cou$d or s&ou$d 'er/orm and -&atin/ormation is needed -it&in t&e s0stem, o-ever senior management -i$$ -ant tono- t&e 1usiness o1ectives to 1e su''orted 10 t&e automated s0stem,

Automated s#stems must serve the &ur&oses of the larger

organisation*

Technical Considerations

During t&e assessment and '$anning 'rocess% it is im'ortant to consider t&eorganisations ca'acit0 /or maintaining t&e s0stem and its a1i$it0 to 'rovide t&etraining necessar0 to su''ort t&e use and a''$ication o/ automated too$s, T&is 'rocessentai$s -oring -it& individua$s res'onsi1$e /or in/ormation tec&no$og0 in t&eorganisation and understanding t&eir 'rocedures% 'o$icies and areas o/ e.'ertise,Some 6uestions to consider in t&is area inc$ude t&e /o$$o-ing,

Is t&ere su//icient tec&nica$ su''ort to so$ve &ard-are and so/t-are 'ro1$ems in a

time$0 mannerH

4&at t0'es o/ so/t-are are su''orted 10 t&e institutionH

4&at s0stems are a$read0 in '$aceH

o- -i$$ t&e ne- s0stem -or -it& e.isting s0stemsH

Are 'o$icies and 'rocedures in '$ace /or 1acing u' data on a regu$ar 1asisH

4&at 'recautions are in '$ace to com1at virusesH

4&at t0'e o/ training is o//ered interna$$0 to assist em'$o0ees in gaining and

deve$o'ing t&eir o-n com'uter si$$sH

Is t&ere someone c$ose 10 -&o can ans-er 6uestions a1out so/t-are 'acages

used 10 t&e organisationH

"rganisational +actors

Goa$s% o1ectives and 'riorities /or t&e automation 'roect -i$$ di//er de'ending on-&o in t&e organisation is invo$ved, A e0 decision to 1e made is to determine -&os&ou$d 1e invo$ved in t&e automation decision@maing 'rocess, Ot&er maororganisationa$ decisions inc$ude t&e /o$$o-ing,

4&o -i$$ 1e aut&orised to enter% c&ange and de$ete dataH


2:


31/149

4&o -i$$ &ave access to vie- data in t&e ne- s0stemH

Are di//erent $eve$s o/ access needed in t&e s0stemH

o- -i$$ t&e ne- s0stem 1e im'$emented 9/or e.am'$e% /u$$ automation o/ one

records o//ice or incrementa$$0 10 introducing one com'uter into a num1er o/records o//ices;H

4i$$ it 1e im'$emented a$$ at once or in '&asesH

4&at $eve$s and t0'es o/ training are re6uired /or di//erent sta// mem1ers and

ot&er users to understand and uti$ise t&e s0stemH

Resource Re,uirements

Resources are measured in terms o/ mone0% time and 'eo'$e, T&e maor 6uestionusua$$0 is" -&at -i$$ t&e s0stem costH o-ever% an e.'ensive s0stem ma0 'rovide/e- insta$$ation and im'$ementation 'ro1$ems and in t&e $ong run 1e $ess cost$0 t&an a$ess e.'ensive s0stem t&at is di//icu$t to insta$$% &ard /or records centre sta// to use ands&uts do-n 'eriodica$$0,

An e6ua$$0 im'ortant 6uestion to as is" -&at -i$$ 1e t&e 1ene/itsH T&is s&ou$d 1eans-ered in terms o/ t&e immediate o//ice as -e$$ as in terms o/ t&e 1usiness goa$s o/t&e $arger organisation, Ot&er resource 6uestions inc$ude t&e /o$$o-ing,

4&ere -i$$ necessar0 /unds come /romH

4&en is t&e s0stem to 1e insta$$edH

Are t&ere su//icient /unds to -or -it&in t&is time /rameH

Do su//icient /unds e.ist /or $ong@term maintenance o/ t&e &ard-are and

'reservation o/ t&e data in t&e s0stemH

Is t&ere su//icient s'ace to insta$$ suc& a s0stemH

4&at are t&e &uman resources re6uirementsH

Political Issues

So/t-are designed /or automated records management s0stems inc$udes assum'tionsa1out t&e va$ue o/ records% t&e e.tent to -&ic& it is acce'ta1$e to 'rovide access to

records% users interest in accessing records and t&e ca'acit0 o/ t&e econom0 to a//ord t&etec&no$og0, Automating records s0stems ma0 1e -e$$ received i/ a government ororganisation va$ues accounta1i$it0% e//icienc0% e//ectiveness and econom0( t&e0 ma0 1e

'oor$0 received i/ t&e government or organisation is not a-are o/ t&e im'ortance o/ goodrecords care, Kuestions to as inc$ude t&e /o$$o-ing,

Does senior management acce't t&e va$ue o/ records as evidenceH

Does senior management see t&e need /or t&e automated s0stemH

4i$$ management 'rovide /inancia$ and organisationa$ su''ort /or t&e 'rogramme

over t&e $ong termH


2*


32/149

Are t&ere an0 'otentia$ c&am'ions o/ t&e 'roect among senior o//icia$sH

4&o must 1e invo$vedH

4&o s&ou$d 1e invo$vedH

4&at conse6uences -i$$ acce'tance or reection o/ t&e 'ro'osa$ &ave on t&e

organisation and its de'artmentsH

T&e ans-ers to t&ese 6uestions -i$$ &e$' organisers o/ t&e 'roect to deve$o' a -rittenstatement o/ goa$s% o1ectives and 'riorities, T&is statement -i$$ /orm t&e 1asis /or t&eorganisation and im'$ementation o/ t&e automation 'roect, A sam'$e statement o/goa$s% o1ectives and 'riorities is 'resented in t&e /igure 1e$o-,

In t&is e.am'$e% o1serve t&at t&e goa$ is t-o@'ronged, T&e records o//ice desires tostandardise descri'tive data to en&ance t&eir o-n management o/ records and it -antsto mae some o/ t&is in/ormation accessi1$e to users, T&e t-o 'arts o/ t&e goa$ are

'resented in more detai$ in t&e o1ectives, o-ever% t&e to' 'riorit0 is to increasemanageria$ contro$ over records t&roug& standardisation and creating an easi$0u'data1$e data1ase, User access is secondar0 and -i$$ 1e '&ased in over t&e course o/t&e automation 'roect, T&is is not to sa0 t&at user access is not im'ortant, o-ever%o1ectives must 1e 1a$anced in a rea$istic /as&ion taing into consideration t&e /iveareas discussed a1ove% t&e 'ur'ose o/ t&e s0stem% tec&nica$ considerations%organisationa$ /actors% resource re6uirements and 'o$itica$ issues,

+or more information on &lanning techni/ues see

Strategic P$anning /or Records and Arc&ivesServices,

A (ritten statement of goals ob.ectives and &riorities (ill

form the basis for the organisation and im&lementation of

the automation &ro.ect*


22


33/149

Erehon !ational Archives

/in&in+ Ai&) Automation

Goals 'b.ectives and Priorities 0112,3445

Goal

To standardise in/ormation on records% suc& as /inding aids and records inventories o/t&e Ere-&on Nationa$ Arc&ives% so t&at it is more easi$0 ana$0sed 10 records o//icesta// and -ide$0 accessi1$e to users,

"bjectives

To manage t&e descri'tions o/ arc&iva$ records more e//icient$0

To standardise descri'tive data to /aci$itate retrieva$To create an easi$0 u'data1$e data1ase o/ &o$dings descri'tions t&at 'resents time$0in/ormation

To increase users access to t&e descri'tions o/ &o$dings 10 net-oring t&e data1ase,

Priorities

*, Standardisation o/ descri'tive 'ractices 9Decem1er *++=;

2, Pi$ot 'roect to automate 2 /inding aids and test various s0stems 9com'$eted10 3une *+++;

>, Eva$uation o/ 'i$ot demonstrations o/ s0stems and /ina$isation o/ tec&nica$re6uirements /or 'urc&ase o/ so/t-are and &ard-are /or t&e /u$$@sca$e 'roect9com'$eted 10 Decem1er *+++;

8, Sta// training in entering data% searc& and retrieva$ o/ in/ormation ande.'$aining t&e s0stem to users 9com'$eted 3une 2:::;

, In'ut o/ data /rom a$$ manua$ s0stems in 'riorit0 order 10 $eve$ o/ 'u1$ic use9com'$eted 10 Decem1er 2:::;

, In'ut o/ data /rom ne- ac6uisitions as 'rocessed and descri1ed 9ongoing;


34/149

Determining Resource !eeds

Ade/uate resources are critical to successful automation*

Determining resource needs /or t&e '$anning% im'$ementation% and o'erationa$ stageso/ an automation 'roect is im'ortant, In t&e initia$ '$anning stage monetar0 resourcesare re6uired to conduct t&e initia$ ana$0ses and com'$ete t&e re6uisite researc& on

'otentia$ com'uter s0stems, o-ever% during t&is '&ase% a more signi/icant resourcema0 1e interna$ su''ort /rom senior management and ot&er e0 individua$s in t&eorganisation, T&is /actor is discussed in t&e /o$$o-ing section,

During t&e im'$ementation stage% monetar0 resources -i$$ 1e needed /or 'urc&asingt&e e6ui'ment% 1ut a$so access to a''ro'riate educationa$ /aci$ities and instructors totrain sta// in t&e use o/ com'uters in genera$ as -e$$ as t&e s0stem in 'articu$ar,?ina$$0% in t&e o'erationa$ stage resources are needed to continua$$0 u'grade 'arts o/t&e s0stem and o//ice su''$ies are needed to sustain t&e out'ut /rom t&e s0stem,

T&roug&out eac& o/ t&ese stages% access to tec&nica$ su''ort is needed, ?irst%tec&nica$ su''ort is re6uired to assist in eva$uating com'uter s0stems and identi/0ingso$utions t&at are /easi1$e in t&e organisations tec&nica$ environment, Duringim'$ementation% tec&nica$ assistance is critica$ in trou1$es&ooting t&e 'ro1$ems t&at-i$$ undou1ted$0 occur at t&is stage, 4&en t&e s0stem is /u$$0 o'erationa$% tec&nica$

assistance is needed to 'er/orm s0stem 1ac@u's% c&ecs% and 'er/orm routinemaintenance in order to ee' t&e s0stem /u$$0 /unctiona$,

T&e monetar0 resources needed to eva$uate% im'$ement% and 'urc&ase com'utere6ui'ment go /ar 1e0ond t&e costs o/ t&e e6ui'ment itse$/, In /act% t&e cost o/ t&eactua$ e6ui'ment ma0 1e sma$$ in com'arison to t&e num1er o/ &ours 'ersonne$ inrecords o//ices% records centres% and t&e organisations tec&nica$ sta// -i$$ -or

'er/orming suc& activities as eva$uation o/ e.isting 'rocesses% im'$ementation% andsta// training, ?urt&ermore% com'uter su''$ies and t&e necessar0 u'grades o/so/t-are and &ard-are are signi/icant on@going costs associated -it& automation,

Getting Support &or the Project

T&e success o/ an0 'roect de'ends on su''ort /rom a$$ 'arts o/ t&e organisation%'articu$ar$0 senior management, T&is is -&0 a mem1er o/ senior management s&ou$d1e on t&e '$anning team i/ 'ossi1$e, Su''ort /rom management is critica$% so t&at sta//are given time to undertae t&e -or invo$ved as 'art o/ t&eir dai$0 duties, I/ sta// areased to do t&is -or 1ut not given re$ease time /or it% or t&eir su'ervisors are not to$dt&at t&is -or is an a''ro'riate 'art o/ t&eir duties% t&en t&e success o/ t&e 'roect -i$$

1e serious$0 com'romised, Management su''ort can inc$ude"


28


35/149

a$$o-ing re$ease time /or 'artici'ation in t&e '$anning% im'$ementation and

training '&ases o/ t&e automation 'roect

ensuring ade6uate /inances /or t&e 'roect

'romoting t&e 'roect -it&in or outside t&e organisation as needed to ensure

additiona$ su''ort

'roviding t&e 'roect team -it& ade6uate aut&orit0 to com'$ete its -or

assisting -it& '$anning /or time and costs to ensure managements needs are

recognised,

Anot&er area -&ere su''ort ma0 1e needed is /rom actua$ or 'otentia$ users o/ t&es0stem, It is im'ortant to &ave 'ositive su''ort /rom users% 1ut t&e0 ma0 resistc&anges to e.isting% /ami$iar s0stems, Peo'$e o/ten do not $ie ne- -a0s o/ doing

t&ings% so users s&ou$d 1e e't a-are o/ t&e status o/ t&e 'roect% consu$ted on t&eirneeds and &e$'ed to understand t&e 1ene/its o/ t&e ne- s0stem, I/ users 'oint outissues o/ concern or &ave ideas a1out im'rovements% t&ese suggestions s&ou$d 1e$istened to care/u$$0, A/ter a$$% users mig&t no- even 1etter t&an sta// &o- t&es0stems s&ou$d o'erate to serve t&eir needs -e$$, I/ t&e0 are t&e 'rimar0 c$iente$e /ort&e ne- s0stem% t&eir in'ut can 1e critica$ to its success,

Conducting a +easibilit' Stud'

A /easi1i$it0 stud0 is a 'rocess $eading to t&e identi/ication o/ desired /unctiona$ities and

tec&nica$ re6uirements o/ an automated s0stem, T&ere are a variet0 o/ -a0s a /easi1i$it0stud0 can 1e carried out% suc& as t&roug& site visits and in@'erson intervie-s%6uestionnaires or surve0s or ot&er t0'es o/ studies and eva$uations, ?o$$o-ing are somee0 'rinci'$es to /o$$o- regard$ess o/ t&e met&odo$og0 c&osen /or t&e stud0, A/easi1i$it0 stud0 s&ou$d

reconsider t&e c&aracteristics o/ t&e current situation and con/irm t&e de/inition o/

t&e 'ro1$em t&at t&e ne- s0stem -i$$ address

gat&er additiona$ data to ana$0se t&e 'ro1$em9s; and antici'ated 1ene/its

gat&er data to test t&e /easi1i$it0 o/ t&e goa$s and o1ectives

conduct a cost@1ene/it ana$0sis and an im'act ana$0sis

esta1$is& a$ternative so$utions

deve$o' a 're$iminar0 '$an /or insta$$ation and im'$ementation

see senior management a''rova$,

During t&e course o/ a /easi1i$it0 stud0% ever0one in t&e o//ice -&o ma0 1e a//ected 10t&e s0stem s&ou$d 1e ased /or in'ut and comments( t&e0 s&ou$d &ave an o''ortunit0to voice t&eir o'inions and e.'ress t&eir ideas, O//icia$s in ot&er stae&o$der o//icess&ou$d a$so 1e consu$ted, ?or e.am'$e% t&e governments $ega$ advisor s&ou$d 1e

consu$ted to ensure t&e $ega$it0 o/ an0 c&anges in t&e record@ee'ing 'ractices,


2


36/149

?urt&ermore% t&ose invo$ved in de'$o0ing t&e s0stem /rom sta// in in/ormationtec&no$og0 o//ices to maintenance -orers s&ou$d 1e consu$ted a1out t&e -orinvo$ved -it& setting u' t&e ne- s0stem, A range o/ o'tions ma0 1e avai$a1$e%de'ending on t&e t0'e o/ automation 'roect 1eing considered,

Assembling a Project Team and Project Structure

As -it& a$$ 'roects% an0 automation 'roect needs a strong structure to 1e success/u$and -i$$ 1ene/it /rom &aving t&e 1est 'eo'$e 'ossi1$e invo$ved, T&e siFe and sco'e o/t&e 'roect -i$$ determine &o- man0 'eo'$e s&ou$d 1e on a 'roect team and t&eir

'articu$ar ro$es, Even t&e sma$$est 'roect s&ou$d &ave at $east t-o mem1ers so t&e0can -or toget&er and ensure t&at one 'erson is not re$ied on entire$0 to com'$ete t&e

'roect, More t&an eig&t or ten mem1ers is o/ten too $arge to a$$o- t&e 'roect team to

1e managed e//icient$0, On$0 one 'erson s&ou$d 1e in c&arge% so t&at t&ere is nocon/usion -&en decisions are made,

Proect team mem1ers mig&t inc$ude re'resentatives o/ senior management% some o/t&e sections or de'artments a//ected and 'ossi1$0 researc&ers or ot&er users o/ t&e/ina$ s0stem, In 'articu$ar% an0 section or de'artment o/ t&e organisation t&at -i$$ 1ea//ected 10 t&e /ina$ s0stem s&ou$d &ave some /orm o/ in'ut into t&e 'roect% eit&er 10

'artici'ating on t&e team or 10 'roviding comments and advice, Interna$ and e.terna$tec&nica$ advisors s&ou$d a$so 1e invo$ved% i/ 'ossi1$e, Consu$tants can 1e inc$uded i/t&e0 are avai$a1$e( to ensure costs are managed% consu$ting duties s&ou$d 1e c$ear$0out$ined in advance and contracts 're'ared -it& consu$tants to c$ari/0 t&eir ro$e,

T&e 'roect team -i$$ need to deve$o' a 'roect structure" t&at is% 'rocedures%met&odo$ogies and a re'orting re$ations&i' devised to ensure c$ear $ines o/communication and e//icient o'erations, In 'articu$ar% t&e /o$$o-ing 'roectmanagement issues -i$$ need to 1e c$ari/ied,

structure" -&at are t&e goa$s o/ t&e 'roectH -&at are team mem1ers ro$es and

res'onsi1i$itiesH

met&odo$og0" -&at is t&e 'roect a''roac& and -or '$anH &o- -i$$ t&e 'roect

1e monitored and eva$uatedH

re'orting and communications" -&o -i$$ re'ort to -&omH -&at -i$$ 1e re'orted

and -&0H &o- o/ten -i$$ re'orts 1e 're'aredH -&o -i$$ receive re'ortsH

documentation" &o- -i$$ 'roect documentation 1e maintained and 10 -&omH

T&e mem1ers o/ t&e team ma0 undertae t&e /o$$o-ing ro$es and res'onsi1i$ities,

T&e c&air -i$$ $ead t&e grou' and 1e res'onsi1$e /or t&e overa$$ cost@ana$0sis o/

t&e automation 'roect,

T&e tec&nica$ s'ecia$ist -i$$ 1e in c&arge o/ researc&ing o'tions /or in/rastructure%

net-oring and &ard-are as -e$$ as researc&ing t&e so/t-are o'tions,

T&e records s'ecia$ist -i$$ eva$uate t&e so/t-are to see i/ it meets t&e needs o/ t&e

users and t&e re6uired records management standards,


2


37/149

A mem1er o/ senior management -i$$ act as a s'onsor /or t&e 'roect and Jse$$ t&e

'roect to 'eers at t&e senior $eve$,

!arious mem1ers /rom o//ices a//ected 10 t&e s0stem or /uture users o/ t&e s0stem

-i$$ 'artici'ate to articu$ate t&eir o-n in/ormation needs,

T&e 'roect s&ou$d 1e governed 10 c$ear time /rames and de$ivera1$es, Sc&edu$ing t&e'roect &e$'s t&e team identi/0 t&e tass to 1e done and arrange t&em in a $ogica$ orderso t&at t&e0 can 1e com'$eted e//icient$0, To 1e use/u$% sc&edu$es must 1e e'tcurrent and t&e0 must 1e rea$istic, T&e0 s&ou$d identi/0 s'eci/ic% discrete tass andt&e0 s&ou$d state -&o is res'onsi1$e /or e.ecuting -&at tass, A target date /orcom'$etion s&ou$d 1e inc$uded% a$ong -it& in/ormation a1out t&e 'resent status o/ t&e-or,

A$so% t&e 'roect s&ou$d 1e su''orted 10 -e$$@maintained 1udget documents, T&eresources re6uired /or an automation 'roect ma0 1e $imited and s&ou$d 1e used

e//icient$0( accurate monitoring o/ e.'enses is critica$ to avoiding 1udget overrunsand ensuring on@time% on@cost de$iver0 o/ services,

+or more information on team building and &ro.ect

management see Strategic P$anning /or Records andArc&ives Services,

Activit' -

*, I/ conducting a $arge sca$e 'roect t&at a//ects users t&roug&out t&e government%

-&o -ou$d 0ou &ave on t&e 'roect team and -&0 -ou$d 0ou se$ect t&eseindividua$sH

2, I/ conducting a sma$$ sca$e 'roect -it&in t&e records centre 'ure$0 /or interna$use% -&o -ou$d 0ou &ave on t&e 'roect team and -&0 -ou$d 0ou se$ect t&eseindividua$sH


2


38/149

SUMMAR#T&is $esson &as out$ined t&e ste's invo$ved in '$anning an automation 'roect /orrecords and arc&ives management, It &as discussed t&e reasons /or automation%em'&asising t&e 1ene/its o/ com'uterisation% inc$uding accurac0% s'eed% /$e.i1i$it0%great in/ormation storage ca'acit0 and e.'anda1i$it0, T&e $esson a$so cautionedagainst vie-ing tec&no$og0 as a so$ution, Tec&no$og0 is a too$( it -i$$ not so$veunder$0ing s0stemic 'ro1$ems -it&in e.isting records centre 'rocesses,

T&is $esson a$so discussed 'ossi1$e uses o/ automation /or records and arc&ives -or%inc$uding administrative -or% records management tass suc& as c$assi/ication%

sc&edu$ing and tracing( semi@current records management -or( and arc&ives -orsuc& as ac6uisition% accessioning% descri'tion% 'reservation% re/erence and registration,T&e $esson t&en discussed t&e im'ortance o/ '$anning and some o/ t&e environmenta$considerations to remem1er -&en '$anning an automation 'rogramme,

T&e $esson out$ined t&e ste's invo$ved in '$anning an automation 'roect% inc$uding

ana$0sing t&e records and arc&ives institution 1usiness s0stems

recognising t&e im'ortance o/ assessment and '$anning




getting su''ort /or t&e 'roect,


assem1$ing a 'roect team and 'roect structure,


2=


39/149

STUD#KUESTIONS*, A num1er o/ a''$ications o/ automation in an arc&iva$ setting are 'rovided% can 0ou

t&in o/ ot&ersH

2, E.'$ain t&ree reasons a records and arc&ives institution ma0 -is& to automate its/unctions,

>, De/ine 1usiness s0stems ana$0sis

8, Discuss t&e im'ortance o/ '$anning /or automation,

, 4&at environmenta$ considerations must 1e taen into account -&en '$anning /orautomationH

, E.'$ain t&ree reasons an arc&iva$ institution ma0 -is& to automate its /unctions,


40/149

*=, 4&0 is user su''ort va$ua1$eH

*+, 4&at management 'riorities need to 1e esta1$is&ed during a /easi1i$it0 stud0H

2:, 4&o s&ou$d 1e on a 'roect management teamH

2*, 4&at is t&e 'ur'ose o/ a 'roect sc&edu$eH

22, 4&at /inancia$ considerations must 1e taen into account -&en '$anning anautomation 'roectH


>:


41/149

ACTIVITIES: COMMENTSActivit' %

T&e activities 0ou c&oose to automate -i$$ re/$ect t&e activities in t&e 'receding $ist%a$t&oug& 0ou ma0 t&in o/ ot&ers, Tr0 and consider -&at 0ou main 'riorities are% donot sim'$0 re'eat t&e $ist in t&e te.t, ?or e.am'$e 0our main 'ro1$ems mig&t 1e t&eneed /or more t&an one mem1er o/ sta// to access t&e same in/ormation at t&e sametime% cou'$ed -it& a 'ro1$em -it& t&e in/ormation 1eing accurate, #our in/ormationretrieva$ and s'ace uti$isation ma0 1e more t&an ade6uate at t&e moment,

Activit' (As -it& Activit0 *% tr0 to t&in o/ -&at is actua$$0 re$evant /or 0our organisation interms o/ t&e automation o/ records@re$ated /unctions, #ou cou$d 'ro1a1$0 automate a$$t&e /unctions 0ou carr0 out% 1ut -&at is rea$$0 necessar0H

Activit' )

T&e records and arc&ives institution ma0 -is& to automate t&e sc&edu$ing 'rocess% inorder to manage a$$ t&e in/ormation co$$ected as 'art o/ t&at 'rocess, It ma0 1e moreim'ortant% &o-ever% to create a more e//icient means o/ managing t&e data used todeve$o' sc&edu$es% not necessari$0 to automate t&e entire 'rocess, Automation is not aso$ution in and o/ itse$/( rat&er% it is a too$ t&at must 1e used a''ro'riate$0,

In t&is e.am'$e% one 'ro1$em ma0 1e t&at% a$t&oug& ade6uate in/ormation is co$$ectedin order to 're'are sc&edu$es% ana$0sis o/ t&ese dis'arate data is di//icu$t, A com'utercou$d &e$' to manage% sort and co$$ate t&ese data,

o-ever% t&e 'ro1$em ma0 a$so 1e -it& data co$$ection, Data concerning o//ice/unctions and records ma0 var0 among records o//icers% so rec&ecing is needed toco$$ect standard and com'$ete in/ormation, In t&is case% automation -i$$ not so$ve t&e

'ro1$em, T&e under$0ing 'rocess o/ ana$0Fing t&e record@ee'ing s0stem needs to 1ec&anged, T&is t0'e o/ 'ro1$em is common in countries t&at are striving to re'$aceo1so$ete records s0stems -it& ne-er more e//icient 'rocesses,

T&e 'ro1$em ma0 a$so 1e e.terna$ to t&e records and arc&ives institution, T&egovernment o//icia$ ma0 not -ant to sign o// on t&e records sc&edu$e 1ecause &e or s&et&ins t&at t&e records -i$$ t&en 1ecome inaccessi1$e to &is or &er o-n sta//, T&is is anin/ormation /$o- 'ro1$em, Automation cou$d so$ve t&is 'ro1$em 10 generating /asteru'dates and current inventories o/ a$$ materia$s &e$d in t&e records and arc&ivesinstitution,

T&e government o//icia$ ma0 re/use to sign o// on t&e sc&edu$e 1ecause o/ a desire not to'art -it& records, T&is is a 'o$itica$ 'ro1$em, In t&is case% automation can do not&ing to'ersuade t&e o//icia$ to s'eed u' &is or &er -or,


>*


42/149

Activit' -

I/ 0ou are conducting a $arge@sca$e 'roect t&roug&out government% 0ou ma0 -ant to&ave a senior o//icer /rom t&e O//ice o/ t&e ead o/ t&e Civi$ Service 9or e6uiva$ent in

0our organisation; as t&e 'roect s'onsor, Re'resentatives /rom a$$ t&e ministries andde'artments invo$ved s&ou$d 1e on t&e 'roect team a$ong -it& senior sta// /rom t&eArc&ives or Records and arc&ives institution, T&e reason /or inc$uding sta// /romministries is so t&at t&e0 -i$$ Jo-n t&e 'roect and use -&atever s0stem is /ina$$0insta$$ed, It is im'ortant to get users invo$ved, Government IT s'ecia$ists s&ou$d a$so 1einvo$ved,

I/ 0ou are conducting a sma$$ 'roect -it&in t&e records and arc&ives institution% 0ouma0 -ant to &ave t&e director or de'ut0 director as t&e 'roect s'onsor, T&e 'roect team-i$$ 1e muc& sma$$er t&an /or a $arge 'roect% a$t&oug& it ma0 1e use/u$ to invo$vegovernment IT s'ecia$ists% 'articu$ar$0 i/ t&e government uses standard s0stems, Sta//

/rom t&e re$evant section o/ t&e institution -i$$ need to 1e invo$ved,


>2


43/149

$ESS"!(

IDE!TI+.I!GTEC/!ICA$

RE0#IREME!TSA!DSE$ECTI!G

C"MP#TERE0#IPME!T

T&e decision to ac6uire com'uters and associated e6ui'ment must 1e 1ased u'on t&e

same ind o/ needs ana$0sis and t&e identi/ication o/ re6uirements used to se$ect an0'iece o/ e6ui'ment in an organisation, T&e 'ur'oses and e//icienc0 o/ t&e e6ui'mentmust 1e considered in $ig&t o/ t&e overa$$ 1usiness goa$s o/ t&e organisation and t&e

'articu$ar 'ro1$em to 1e so$ved,

-he selection and &rocurement of e/ui&ment are

dealt (ith more generall# in Managing Resources /orRecords and Arc&ives Services*

A$t&oug& it is 1ene/icia$% it is not necessar0 /or t&e records manager or arc&ivist to 1eintimate$0 /ami$iar -it& in/ormation tec&no$og0 and a$$ o/ its im'$ications in order todetermine tec&nica$ re6uirements and se$ect e6ui'ment, T&e records manager or

arc&ivist -i$$ idea$$0 -or -it& a 'roect team e6ui''ed -it& at $east one tec&nica$e.'ert% -&o can assist -it& decisions a1out tec&no$og0 'urc&ases,

T&is $esson 1egins -it& a 1rie/ overvie- o/ t&e /unctiona$ re6uirements o/ somerecords o'erations, It t&en out$ines t&e issues to consider -&en assessing tec&nica$re6uirements t&at is% t&e 'recise com'uter needs re6uired to mae t&e automations0stem o'erate and se$ecting &ard-are and so/t-are, T&e $esson inc$udesin/ormation a1out some o/ t&e standards to consider, T&e $esson continues -it& adiscussion o/ &o- to c&oose a vendor% &o- to ac6uire com'uter s0stems and &o- tomae decisions a1out ongoing vendor su''ort /or t&e s0stem, T&ere are severa$ $istsin t&is c&a'ter, T&ese are co$$ated and com1ined into an a''endi. t&at can 1e co'ied

and used 10 t&e organisation to gat&er data a1out so/t-are and &ard-ares'eci/ications,

T&is $esson assumes t&at t&e reader is /ami$iar -it& t0'es o/ automated s0stems% suc&as re$ationa$ data1ases% -e1@1ased s0stems% -ord 'rocessing so/t-are and so on,

-he (a# these automated s#stems (ork is discussed

in more detail in Understanding Com'uters" AnOvervie- /or Records and Arc&ives Sta//*


>>


44/149

ANAL#SING?UNCTIONALREKUIREMENTSTec&nica$ re6uirements and t&e com'uter e6ui'ment se$ected -i$$ var0 great$0

de'ending on t&e intended uses o/ automation as -e$$ as t&e s'eci/ic records orarc&ives /unctions designated /or automation, Automation o/ records o//ices andrecords management o'eration covers a 1road range o/ o'tions, ?or e.am'$e"

Using a -ord 'rocessor can mae -riting corres'ondence% 'roducing $ists or'rinting $a1e$s easier and more e//icient,

A s'reads&eet can assist -it& ee'ing t&e accounts i/ a s'ecia$ist accounting'acage is not avai$a1$e, It can a$so 1e o/ 1ene/it in 'roducing statistica$ re'ortsa1out t&e records services t&at can 1e o/ use in maing management decisions, Itis even 'ossi1$e to use a s'reads&eet as a sim'$e data1ase,

Data1ases can 1e used to store and mani'u$ate man0 di//erent inds o/in/ormation t&at can 1e used to c$assi/0 and cata$ogue records% trac /i$es% registerusers% sc&edu$e records amongst ot&er uses, Setting u' a sma$$ data1ase to a$$o-records o//ice sta// to searc& /or /i$es more 6uic$0 -i$$ sti$$ &ave a great im'acton &o- t&e o//ice o'erates,

Communications so/t-are -i$$ a$$o- t&e records o//ice or Nationa$ Arc&ives tosend /a.es and emai$s /rom t&eir com'uters,

An integrated records management so/t-are 'acage can trac /i$es and 1o.$ocations% c&ec materia$s in and out% generate $ists o/ records to 1e considered /ordestruction 1ased on retention sc&edu$es% and create manageria$ re'orts,

No matter -&at is 1eing automated% t&ere are t-o sets o/ re6uirements to ee' inmind, ?irst% t&ere are t&e /unctiona$ re6uirements o/ t&e tas or 'rocess, ?unctiona$re6uirements are a minima$ set o/ activities or o'erations t&at must 1e accom'$is&ed

10 t&e com'uter to com'$ete t&e tas in t&e aut&orised manner,

/un#tiona$ e6uiement): T&e tass a com'utera''$ication must 'er/orm to carr0 out a 'rocesssatis/actori$0,

?unctiona$ re6uirements re$ate to t&e tas 1eing automated and are used to

conce'tua$ise t&e o'erations a com'uter a''$ication must 'er/orm to carr0 out a'articu$ar 'rocess in an automated environment, ?unctiona$ re6uirements /or recordee'ing% /or e.am'$e% must ensure t&e com'uter e.ecutes certain commands t&at

'rotect records as evidence and as arc&ives, ?unctiona$ re6uirements s&ou$d 1e 1ui$tinto com'uter s0stems in order to manage records o//ice or records management/unctions% suc& as maintaining registries% records c$assi/ication s0stems% inde.ingin/ormation% retrieving records% contro$$ing t&e movement o/ 1o.es and /i$es%managing t&e $i/e c0c$e o/ records 9suc& as sc&edu$ing and dis'osa$; and generatingadministrative re'orts, ?unctiona$ re6uirements s&ou$d 1e determined during t&einitia$ '$anning stages and in t&e /easi1i$it0 stud0,


>8


45/149

T&e second set o/ re6uirements concern t&e tec&nica$ re6uirements needed toaccom'$is& t&e /unctiona$ re6uirements, Matc&ing /unctiona$ re6uirements to t&etec&nica$ s'eci/ications o/ t&e com'uter e6ui'ment is e0 in an0 success/u$automation 'rocess, Tec&nica$ re6uirements needed to su''ort t&e /unctiona$

re6uirements o/ a record ee'ing s0stem% /or e.am'$e% -ou$d inc$ude t&e a1i$it0 toaut&enticate users% trac c&anges in records% and monitor use,

Technical re,uirements" T&e s'eci/ications acom'uter must &ave to carr0 out t&e /unctiona$re6uirements,

T&e /o$$o-ing sections demonstrate &o- /unctiona$ re6uirements and tec&nica$re6uirements are $ined using t&e e.am'$e o/ an integrated Automated RecordsManagement S0stem 9ARMS;, 4&i$e t&is is a s'eci/ic e.am'$e o/ records

automation% t&e 'rinci'$es are simi$ar /or $ooing at ot&er automation 'roects,

6o matter (hat is being automated functional and technical

re/uirements must be considered*

Managing Records

Records c$assi/ication s0stems are 1ased u'on 'rovenance, T&is means t&at t&e'rimar0 s0stem o/ contro$ is 1ased on t&e creator or creating entit0% suc& as a ministr0%o//ice% or tas /orce, A critica$ /unctiona$ re6uirement /or an ARMS is to identi/0creating entities and to trac c&anges in t&at entit0% suc& as names or /unctions overtime, 4it&out t&is /unctiona$it0% t&e ARMS cannot 'resent evidence in conte.t,

ARMS s&ou$d a$so 1e a1$e to sustain a &ierarc&ica$ structure 1et-een e$ements in t&erecords descri'tion, ?or e.am'$e% records can 1e descri1ed at t&e grou' or /onds$eve$% series% /i$e% or in rare cases% item $eve$, T&e 'rimar0 $eve$ o/ contro$ is t&eseries,

+or more information on levels see -he

Management o/ Pu1$ic Sector Records" Princi'$esand Conte.tand Managing Arc&ives,

4&i$e some automated s0stems can contro$ in/ormation at t&e item $eve$% t&is is notrecommended as a 'riorit0 /or data entr0 unti$ t&e records and arc&ives institution &ascontro$ at t&e grou' and series $eve$s, I/ t&e com'uter is 'rogrammed a''ro'riate$0% it-i$$ a$$o- /or t&e se'arate in'ut and retrieva$ o/ varia1$es at eac& $eve$ o/ t&e&ierarc&0, Di//erent descri'tive varia1$es -i$$ 1e active at eac& $eve$,

?or e.am'$e% at t&e grou' $eve$% descri'tion ma0 /ocus more on t&e creating agenc0%-&i$e at t&e series $eve$% t&e tit$e o/ t&e records% dates and a descri'tion o/ t&e records-i$$ 1e em'&asised, In some s0stems% e$ements are in&erited /rom &ig&er $eve$s, T&is

is a 1ene/icia$ /eature 1ecause it 'revents need$ess du'$ication o/ data entr0, T&is


>


46/149

structure -i$$ a$$o- /or great /$e.i1i$it0 in data entr0 and u'dating, To accom'$is&t&is% t&e s0stem s&ou$d veri/0 t&at t&e 'revious $eve$ e.ists 1e/ore a$$o-ing a record to

1e created on a $o-er $eve$, Records c$assi/ication s0stems s&ou$d a$so act as a meanso/ aut&orit0 contro$ and $imit t&e varia1i$it0 o/ entries in /ie$ds% suc& as t&e creating

agenc0 and su1ects, ?ina$$0% -&en determining t&e /unctiona$ re6uirements o/ t&ecom'uter /or managing records c$assi/ication s0stems% it is im'ortant to c&ec t&at t&e/ie$d $engt&s used are su//icient to &o$d t&e data re6uired and t&at t&e /ie$ds -i$$ acce'ta$'&a1etic% numeric% a$'&anumeric% or structured data,

Possi1$e /ie$ds in an automated records c$assi/ication s0stem ma0 inc$ude t&e creatingo//ice% /unctions% o'en and c$ose dates o/ t&e records% securit0 $eve$% retention 'eriod%dis'osa$ action and dis'osa$ aut&orit0,

-he structure of fields in a records management

database is discussed in detail in 7esson 8*

$i&e1c'cle Trac2ing

Monitoring records t&roug& t&eir $i/e is a e0 1usiness /unction o/ t&e continuuma''roac& to records management, In order to automate t&e $i/e@c0c$e tracing 'rocessdata e$ements must 1e co$$ected at eac& '&ase in t&e c0c$e, Some data -i$$ remainstatic and re$evant t&roug&out t&e $i/e@c0c$e -&i$e ot&er data -i$$ c&ange /rom '&aseto '&ase% or even -it&in a '&ase, Tec&nica$ re6uirements needed to 1ac u' t&ese/unctions inc$ude t&e a1i$it0 to create in/ormation t&at carries over /rom one '&ase o/t&e $i/e c0c$e to t&e ne.t -it&out &aving to ree0 in t&e data and t&e a1i$it0 to a$ter

ot&er t0'es o/ in/ormation% in some cases on a dai$0 1asis,

Static Elements

Static e$ements are essentia$ detai$s necessar0 to manage records /unctions at a'articu$ar stage, T&ese are additive, ?or e.am'$e% in/ormation entered into t&es0stem in t&e current '&ase s&ou$d 1e carried over to t&e semi@current and arc&iva$

'&ases, Lie-ise% in/ormation added in t&e semi@current '&ase s&ou$d 1e carried overto t&e arc&iva$ '&ase, Even i/ records are destro0ed% in/ormation a1out t&ose records&ou$d 1e maintained and t&e s0stem s&ou$d a$-a0s indicate t&at /orm and date o/ t&edis'osa$ actions taen,

Semi1static Elements 3All Phases4

Semi@static e$ements re'resent c&anges in t&e '&0sica$ $ocation o/ t&e records and t&eo'erations surrounding use o/ records, T&ese data inc$ude e$ements suc& as"

Storage $ocation

Users aut&orised to &ave access

Avai$a1$eunavai$a1$e 9generated automatica$$0 /rom c&arge@out data;,

T&ese data -i$$ c&ange /rom '&ase to '&ase% a$t&oug& t&e0 ma0 c&ange -it&in a

'&ase,


>


47/149

Input at Cuent ,-a)e A&&e& at Semi*Cuent

,-a)e

A&&e& at t-e A#-i5a$ ,-a)e

Agenc0o//ice o/ origin9'rovenance;

Date o/ trans/er torecords centre

Date o/ trans/er to arc&iva$re'ositor0

?i$e Series Dis'osa$ action taen Arc&iva$ re/erencecodeassigned

?i$e Code O//icer aut&orisingdis'osa$

Date $ist made avai$a1$e

?i$e Tit$e Designated met&od o/dis'osa$

State o/ 'reservation

5e0-ords Date dis'osa$ actiontaen

Conservation treatment

Date o/ /irst documenton /i$e

Access 'eriod 'rescri1ed 10$egis$ation or regu$ation

Date o/ $atest$astdocument on /i$e 9activeunti$ /i$e c$osed t&enstatic;

Access date 9cou$d 1egenerated automatica$$0;

IRMT Automating Rec Service bog walk

Documents

Transcript of IRMT Automating Rec Service bog walk