Implementation
Recommendations from the Front Line
Society of American
Archivists Annual Meeting
Washington, D.C., 31 August
2001
The
purpose of this paper is to provide information on the implementation of an
Electronic Document Management System (EDMS) at the United Nations High
Commissioner for Refugees (UNHCR). The document discusses the principal
features of the system, integrated management of electronic documents, integration
of classification schemes and records scheduling concerns. The paper also
provides EDMS implementation recommendations.
2. Background
UNHCR is mandated by the United Nations General Assembly to lead and
co-ordinate international action to protect refugees worldwide. UNHCR’s
Headquarters are based in Geneva, Switzerland. Most of UNHCR’s refugee-related
activities take place via its field offices, currently more than 250, in about
120 countries. UNHCR employs about 5000 staff members of which approximately
4000 are stationed in field offices. The professional staff members are subject
to rotation, which is a UNHCR policy
that requires professional staff members to move between field offices.
Rotation has the advantage that professional staff members have a wide range of
experience in different locations, and in different positions. It requires,
however, that the processes in the organization be standardized, that
information be easily accessible, and that the technology be easy to learn.
Since
the early 1980’s UNHCR has been using computers to support its mission. In 1992
the organization introduced a corporate electronic messaging system. The
introduction of electronic mail facilitated to an enormous extent the daily
work of the organization and in particular the communications between UNHCR’s
offices. In 1996 senior management issued an email policy that included two
important statements:
a)
email
is the preferred medium of communication; and
b)
email
is an official record medium.
To
ensure proper management of email records, the Archives Department introduced
in 1996 a filing system for email. This filing system specified that all email
records be maintained electronically:
·
to
capture the content, context and structure of the records for retrieval and
evidential purposes
·
to
provide users with the ability to access and manipulate the records using
electronic tools and functions
·
to
manage the records most cost efficiently
Because
the system did not automatically enforce the filing of emails, not all staff
members used the system. The filing system captured about 10% of UNHCR’s
official email messages, 90% resided in staff members’ individual mailboxes.
Paper
documents, incoming and outgoing were forwarded to the Archives Department for
registration and filing. As users increasingly work electronically, this was no
longer consistently done. Users filed more and more electronic documents on
their personal drives. These documents were not stored according to the file
classification scheme and only accessible by the individual who created them.
Consequently, staff members who were replacing travelling colleagues could not
access their documents, and thus carry out their work.
3. EDMS project
As
the number of records generated electronically kept increasing dramatically and
as the email recordkeeping system was no longer adequate the organization
sought a new way to manage electronic documents. In late 1998 UNHCR started an Electronic Document Management
System (EDMS) Project. The overall objective of the project was to implement a
system that would capture, store, manage and make available documents generated
electronically. This included email, desktop documents, (e.g., WORD and EXCEL)
FAX, and images of scanned incoming correspondence.
4. EDMS principal features
EDMS
is the repository for UNHCR’s electronic documents. It has both a document
management function and a records management function. In the document management function, a staff
member will be able to compose documents, either individually or in a shared
environment, and use predetermined forms, task management and workflow tools.
Eventually it will allow staff members around the world to form virtual project
teams across functional, organizational and geographic lines. Also the document
management system offers internal communications tools such as news channels
and discussion groups. Moreover the document management function will allow
automating certain business procedures through workflow and task management.
These tools will facilitate the process flow from one user to another, ensuring
that required work processes are being followed and allowing status tracking of
work processes.
The
records management function ensures
that staff members of a work unit will be able to retrieve the documents filed
electronically by that work unit. In addition, some categories will be
available to anyone to read. The records management function enables the staff
member to go into a wide range of electronic folders and pull out whatever he
or she needs. Staff members will be able to retrieve documents by browsing
through the folder set-up for their workgroup or by using a full text search
tool. Because the system will allow access to email, FAX, and scanned incoming
mail as well as documents created in UNHCR, it will provide a single access
point to enormous information resources. The system will also manage the
disposition of UNHCR’s records according to the organization’s retention
schedules. It will facilitate transfer of permanent valuable documents to an archival
storage and the destruction of temporary records when they are no longer needed
for administrative, legal or operational purposes.
5. Recordkeeping requirements
The
objectives described above determined the following recordkeeping requirements
for the system:
General
·
The
system shall be an integrated document and records management system.
Integrated
management of electronic documents
·
EDMS
shall be the repository for documents
created and/or received at UNHCR;
·
The
procedures shall be as easy and intuitive as possible for users; and not impede the daily work;
·
Electronic copy shall be the record;
·
Ensure
that captured documents are managed as records according to UNHCR’s
recordkeeping policy;
·
EDMS
shall capture and automatically store metadata as part of the record profile;
·
EDMS
shall store profiles of UNHCR’s paper records;
·
EDMS
shall store the attachments to an email record and link the attachment with the
email record.
Integration
of classification scheme
·
The
documents within the repository shall be organized according to the
organization’s classification scheme;
·
A
file code shall be assigned to each document within the EDMS repository;
·
EDMS
folder structure shall be managed by the Archives Department;
·
Classification
shall be done on the folder level.
Integration
of records schedules
·
Comprehensive
records scheduling, i.e., UNHCR records schedules shall be applied to records
in all formats;
·
The
disposition of the records within the repository shall be done according to the
rules specified in the records schedules;
·
A
disposition rule shall be linked to all records in the EDMS repository;
·
Records
schedules shall be applied on the folder level.
6. Implemented solutions
Considering
the current technology available, UNHCR implemented the following solutions:
·
UNHCR selected a certified document (Livelink) and records management
(iRIMS) system;
·
UNHCR implemented a system that provided an integrated document and
records management function. When UNHCR bought the products the integration was
in its initial phase and it took a lot of effort from UNHCR and the vendor to
enhance the integration between the two products.
Integrated
management of electronic documents
·
Records captured and managed are email, desktop
documents, FAX and incoming paper correspondence;
·
Capture process is integrated with main desktop
applications;
·
Metadata for desktop documents is captured
automatically while metadata for FAX and paper is entered by Records staff;
·
Incoming paper correspondence is scanned;
·
FAX messages are captured automatically in
electronic format.
·
One master classification scheme and unit classification
plans based upon the master scheme;
·
All classification schemes are maintained by
Archives staff in the records management system;
·
The classification schemes are mirrored in the
folder structure of the unit workspace within the document management system;
·
Classification is assigned on folder level (each
folder in the unit workspace has a file code);
·
Emails and desktop documents automatically
inherit classification of folder;
·
Records staff are responsible for coding incoming
paper correspondence and FAX.
Integrated records schedules
·
UNHCR records schedules address records in all
formats;
·
The records schedules will be linked to the file
classification plan;
·
The records schedules will be entered as
disposition rules in the records management component of EDMS;
·
The disposition rules will be applied on the
folder level in the document management component;
·
All items (folders and documents) linked to a
given file code will automatically receive the same retention period as the
file (this includes folders and documents).
7. EDMS implementation recommendations
The following recommendations are based on UNHCR’s frontline experience
implementing an EDMS system:
To initiate an EDMS project, senior management should issue an official
statement indicating active support for the project and requiring staff to
support the project.
Prior to starting an EDMS project senior management should issue an
official statement indicating the roles and responsibilities for the
departments and individuals involved in the project.
The Archives Department has to play a vital role in the system
implementation process. It has to
ensure that the recordkeeping requirements (including records scheduling and
preservation) of the organization are integrated and met by the EDMS system.
The Archives should establish a good working relationship with the other
departments in the EDMS project during the entire project.
When implementing an EDMS system one should try to avoid competition
with other electronic document saving devices (such as individual mailboxes and
local drives). It should be clearly indicated to users where they have to store
their electronic documents. If staff can continue to save emails and desktop
documents outside EDMS the project will not be as successful.
The Archives should review the existing procedures and identify those
areas for which the policy needs to be revised and/or created. The guidelines
should be comprehensive and address all aspects of recordkeeping. This includes
document creation, document storage, profiling, retrieval, records scheduling,
access to information, long-term storage etc.
Þ
Ensure that
current desktop technologies can be integrated with the EDMS software
To
ensure that recordkeeping requirements are met and to make the system as user
friendly as possible, it is crucial that the EDMS software is integrated with
the organization’s main desktop applications such as wordprocessing software
and electronic messaging systems. To avoid delays and frustrations the EDMS
team should make sure, prior to deploying the system, that the desktop
technologies are up-to-date and that
they can be integrated with the EDMS software.
The EDMS requirements must be co-ordinated with the long-term
development of an organization’s technology infrastructure. EDMS systems
require sophisticated and state-of-the-art technology. Purchasing, testing and
installing the equipment requires considerable resources. To ensure that the Technology
Department includes the required resources in its program, the EDMS team needs
to inform the Department of its resource requirements.
The EDMS system always means a change in the way people are doing their
work. To provide users with a good understanding why it is necessary to save
documents as records in the EDMS repository it is very important that the
software training also includes a section on the recordkeeping procedures, and
allows users to ask questions regarding the new procedures.
Þ
Training
Good
training is an essential part of a successful implementation. The EDMS team
should ensure that:
·
adequate
resources are available for training and support (facilities, equipment,
trainers);
·
all
levels of management understand the importance of training to make the
·
transition
easier for users;
·
additional
training support is available to users who need extra help.
The Archives should work with the Technology Department to define the
roles and responsibilities for EDMS support. This should include user support,
and system support. The guidelines should also include tools to monitor the use
of the system.
Users provide invaluable information about the document creation
process, retrieval of information, and the sharing of information. To ensure
that the requirements of the users are met and to ensure support for the system
it is crucial that users are involved during the entire project of EDMS. The
EDMS team should work closely together with user representatives. Also the team
should create publicity vehicles such as posters and system demos in public
areas to make users enthusiastic and to inform them of the new system.
Not only during the implementation process but also once the system is
implemented user support is vital for the success of the system. To ensure that
users continue to support the system, and to ensure that the Archives is
abreast of the user requirements, the Archives should establish a network
of users, for example one user per
department.
Þ
Maintain
good contact with Archivists/records managers deploying a similar system
Talking
with colleagues about EDMS implementations and exchanging experiences has been
extremely useful for the UNHCR team. Members of a project team should try to
establish contacts with teams in other organizations.
Note: this article
represents the point of view of the author and does not necessarily represent
the standpoint of UNHCR.