Keep in Touch (October 2020 No.191)

Content

content

同心抗疫 眾志成城

Get Ready for Electronic
Recordkeeping System Implementation

2020年申訴專員
嘉許獎

行家小檔案 - 由辦公室走到舞台的創作人

Book Review

Meeting with HKSAR
Government Executive Grade Association (GEGA)

 
Explanation of WCAG 2.0 Level Double-A Conformance
Valid HTML 4.01 strict
 

A A A
Get Ready for Electronic Recordkeeping System (ERKS) Implementation
 
Phyllis Wong
 

How to prepare for the rollout of ERKS by the end of 2025? Any tips from those bureaux/departments (B/Ds) that have already adopted ERKS?

 

If you have these questions in mind, don’t worry. EO colleagues from the Government Records Service (GRS) are here to share with us B/Ds’ experience in the ERKS pilot programme and some points to note regarding ERKS implementation.

 

Good Practices and Lessons Learnt from Pilot Programme

 

11 B/Ds have fully/partially implemented ERKS. They include Communications and Creative Industries Branch of Commerce and Economic Development Bureau, Drainage Services Department, Efficiency Office (EffO), GRS, Marine Department, Rating and Valuation Department, etc. Let’s share their good practices and experiences!


Formulate a dedicated project team


As a first step, the pilot B/Ds established their own multi-disciplinary project teams comprising both records management (RM) and IT staff. RM staff handle the RM issues such as review of records classification scheme (RCS), viz. file plan and development of ERKS procedures and guidelines. IT staff are responsible for the relevant technical issues. Such composition enables the team to implement an ERKS that meets the genuine operational needs of the B/Ds.


Start early review of RCS


Reviewing and refining departmental RCS and defining user roles/profiles and access control are essential but time-consuming preparation work for ERKS implementation. Based on experience, a small/medium-sized B/D may take about one year to complete the two tasks while a large-sized B/D may take two to three years. B/Ds should make an early start on the tasks.

 

It is important to invite all key stakeholders to deliberate their views during the review exercise as it would be difficult to make significant revision to the RCS, in particular its design structure, once it has been adopted. Extra time would also be required for making revisions.

Phyllis Wong


Develop practices and guidelines


Clear and comprehensive RM practices and guidelines could help users better understand the new practices and avoid confusion. They set out details on the roles and responsibilities, record capturing rules, scanning principles, etc. in an ERKS environment, such as who should capture an e-mail record with multiple addressees, how to name a record, etc.


Review business processes


To enhance operational efficiency, B/Ds should analyse business processes with a view to incorporating RM processes into business operations. In particular, electronic means of communication and workflow digitalisation could be widely adopted. One pilot B/D implemented a workflow function in ERKS to support the clearance of routine/administrative matters such as contract award. This streamlined the business processes by eliminating manual efforts in record capturing to ERKS.

 

Tips on Review of RCS


The RCS should –

 

_separate programme records from administrative records

_cover all key business functions as far as possible. B/Ds are strongly advised to adopt a subject-based and/or function-based RCS instead of organisation-based RCS

_be systematic, logical, consistent and scalable

_group records into mutually exclusive, meaningful and understandable series (subject groups)

_provide robust security and access control

_support various RM functions, e.g. vital records protection, records retention and disposal

 

In designing the RCS, we should ensure –

 

_titles assigned to folders are clear and unique

_codes assigned to aggregations are unique

_naming convention and coding system are logical and consistent

_scope notes are developed to define the coverage of an aggregation

_file index may be developed to provide list of keywords for cross-reference

_a thesaurus/a set of controlled vocabulary may be developed to facilitate retrieval of records


 

Conduct training and change management


Adequate and regular training should be provided to users to ensure their full mastery of the system and adherence to the RM procedures. Colleagues can approach EffO for advice and support relating to change management activities.


More good practices


Other good practices on change adaptation –

 

(a)_decentralising some RM duties to user sections, e.g. creation of folders, to facilitate timely filing of records;
(b)_keeping only one set of common records by setting out the division of responsibilities between different officers/offices;
(c)_encouraging email communication as far as possible; and
(d)_conducting user experience sharing sessions.

picture 3

 

Assistance and Support Provided by GRS

 

Implementation of ERKS is an on-going process. The experiences of the pilot B/Ds show that successful implementation involves change in work culture and daily operations.


To assist B/Ds to implement their ERKS, GRS has developed a series of implementation guidelines and will continue to organise seminars and briefing sessions. B/Ds may also visit the Electronic Records Management theme page on CCGO (http://grs.host.ccgo.hksarg/erm/) for reference materials.

 

 

Experience sharing on ERKS implementation for EOs
Experience sharing on ERKS implementation for EOs

Ruby Luk

 
 
▲TOP
Footer