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U/S; 10137 – Conduct Project Documentation Management to Support Project Processes  Copy

U/S; 10137 - Conduct Project Documentation Management to Support Project Processes 

 

 

Learning Unit1

US:10137, NQF LEVEL 4 WORTH 5 CREDITS

CONDUCT PROJECT DOCUMENTATION MANAGEMENT TO SUPPORT PROJECT PROCESSES

Unit Standard Purpose

 This Unit Standard is for education, training and development practitioners who may or may not work under general supervision and need to develop inclusive learning programmes that take into consideration ways to accommodate learners experiencing barriers to learning and development.

Learning Assumed to be in Place

It is assumed that people starting to learn towards this standard are able to:

Communicate effectively (at least NQF level 4)

Apply the competencies described in unit standard titled “Conduct project documentation management to support project processes”.

SESSION 1

SO 1

USE A PAPER BASED AND/ OR ELECTRONIC FILING SYSTEM FOR A PROJECT.

Learning Outcomes

(Assessment Criteria)

A filing system exclusively for the project is selected.

Project files are clearly named and structured to enable easy filing or retrieval.

An inventory for the project documentation is prepared and maintained

An audit trail for project documentation is selected and maintained.

All files and documentation are current, up-to-date, neat, clean and carefully maintained.

1. A filing system exclusively for the project is selected.

Filing systems

Records creation results directly from the transaction of business. In most cases the way in which people and organizations do business results naturally in the creation of records; in other cases a record must be deliberately created because conducting the transaction, by itself, does not generate the record.

Records that will meet accountability requirements and other needs of an organization cannot be created or managed without an adequate record keeping system. Records management practices, and in particular records creation, must be systematized through policies, procedures and the application of best practice. Appropriate controls should be built into filing systems to capture and identify accurately information required by an organization.

Definition of a file

A file refers to the physical unit of information contained within a paper or electronic folder. Records are held in files to enhance accessibility and identification.

Purpose of a file

Files are created and included in a filing system to provide formal evidence of the business transactions of an organization. Their purpose is to capture, maintain and provide access to evidence of transactions over time in accordance with accountability and business practices. The establishment of a coherent filing system provides for faster and systematic filing, faster retrieval of information, greater protection of information, and increased administrative stability, continuity and efficiency.

Requirements of a good filing system
  • The system should be kept simple to reduce errors and to facilitate all employees use of the system. It should, therefore, be designed for the normal requirements of the organization and not for remote or exceptional possibilities.
  • Files should contain information which is linked to the activities and functions which they document.
  • The system should have a structured numeric or alphanumeric referencing system in which each element equates with a function of the file title to a maximum of four elements. Types of file referencing systems include:

– alphabetical

– numerical

– alpha-numeric (for example, AB 12 / 1)  

 – keyword

The most common of these systems is the alphanumeric. An attraction of this is that the letters can indicate the function or business process covered by the files.

Suitability:

The system should meet the individual users/departments needs.

Good Maintenance:

In order to maintain a filing system the following are required:

  • A good follow-up system (e.g. tracer cards).
  • Adequate security.
  • A definite “weeding” policy.
  • Proper control of record creation and filing additions.
  • Secure and adequate storage for archived material.
Adaptability:

The system should be sufficiently flexible to meet the future needs of the organization.

 Accessibility:

The system must enable the user to classify records in any desired manner and to retrieve them with certainty and without delay.

Accountability:

There should be an in-built audit mechanism whereby failure to adhere to established practices and procedures is identified and rectified.

Filing systems can fail to operate effectively for a number of reasons such as overloading, duplication, lack of cross-referencing, obsolete correspondence, absence of a tracer system, inappropriate equipment, lengthy retrieval times, filing backlogs and an overall ad hoc approach to review and storage.

Opening a file:

Before opening a file:

  • Determine that there is a need to open a file, for example, files should not be opened for the storage of non-record material; then
  • Ensure that a file with the same or similar subject does not already exist in the Department. Duplicate files should not be opened.
When a file is opened, it should be given:
  • A unique reference ID in the series
  • A unique file title – plain simple language should be used in the file title. The intended title should not overlap with an existing file title. Ambiguous words – such as miscellaneous, general, correspondence, and issues – should be avoided, as their use inevitably results in large untidy catchall files being created.

The quality of individual records can suffer for a number of reasons and the following measures should be observed in maintaining the system:

  • Files should not be overloaded with documents. Avoid unnecessary bulk by removing and destroying earlier drafts and duplicate copies of documents. Duplication should be kept to a minimum. Only one copy of any piece of information should normally be placed on any one file. Avoid copying the same papers onto several different files.
  • Documents should be properly secured i.e.

 – Ensure documents and attached to file cover by way of treasury tag or other assembly device

– Do not file in sub-standard cabinets or other storage equipment,

– Avoid retaining files on desks or other open areas for an unnecessary length of time

– Ensure storage conditions are adequate i.e. avoid damp, poorly heated and unsecured areas

File size: Files should not exceed 5 CMS in width or 250 pages. Ideally, all files should be reviewed at intervals to ensure that they are kept within the recommended width. Records should only be added to the latest volume. If the file exceeds the approved width, it will be necessary to remove the oldest records and place them in a properly indexed transfer case or other storage method for on-site storage. When this process is carried out it is imperative that the file index is amended to show date of transfer to storage as well as the transfer case number. When a new file is opened, careful thought should be given to the file title and its reference number having regard to the file classification system in use. For example, if the file classification system is service area based the file should be assigned to the appropriate service area and the file index updated accordingly and immediately.

File security:

 Maintaining record security is an important element in good records management practice. The fact that we are now operating in a more open structure having regard to Freedom of Information legislation, as well as striving for a quality service, does not dilute the importance of ensuring record security.

 Security considerations should inform us in our choice of, inter alia, layout and design of storage areas, storage equipment and systems. In file system design, regard should be given to the need to protect the records from theft, invasion of privacy or damage from fire and flood.

Documentation

 Documentation describing the file system should include and clearly state the authority for the system’s functions, such as referencing and indexing, and maintenance of the system.  The following information should be documented when a file is created:

  • file reference
  • file title
  • Where it can be anticipated, disposal action and date. Where this action cannot be anticipated, mechanisms must be in place to ensure that this action takes place when the file is closed

Create a file guide with a description of your filing system and instructions for the user so new personnel can continue to use the filing system easily. This will also avoid the arbitrary creation of new file folders.

2. Project files are clearly named and structured to enable easy filing or retrieval.

Naming files and folders

Naming conventions are rules which enable the titling of electronic and physical folders, documents and records in a consistent and logical way. This ensures that the correct records can be located, identified and retrieved from a filing system in a timely fashion, and that they are stored in an appropriate secure location. Ideally, the best time to think how to name and structure the documents and directories you create is at the start of a project.

The principles of naming conventions can equally be applied to electronic and physical files/folders/material.

Benefits of naming conventions

Naming records consistently, logically and in a predictable way will distinguish similar records from one another at a glance, and by doing so will facilitate the storage and retrieval of data.  Through consistency and the application of logical standards we benefit from secure storage, and the ability to locate and access information.

File identifiability

Good practice dictates that all information (files, datasets, documents, or records) should be identifiable and traceable. This can be achieved by following good practices by applying referencing to all documents/files.

Document/file references will include:

  • File name, or full file path including file name
  • Name/role of file author(s) or originator(s)
  • Date of creation, edit or event which is the subject of the document/file
  • Version number if applicable
Suggested file and folder naming conventions
  1. Keep file and folder names short, but meaningful.
  2. Avoid unnecessary repetition and redundant words in file names and file paths.
  3. Use capital letters to delimit words, not spaces.
  4. When including a number in a file name always give it as a two-digit number rather than one, i.e. 01, 02 … 99, unless it is a year or another number with more than two digits.
  5. If using a date in the file name always state the date ‘back to front’, and use four digit years, two digit months and two digit days: YYYYMMDD or YYYYMM or YYYY or YYYY-YYYY.
  6. When including a personal name in a file name give the family name first followed by the initials.
  7. Avoid using common words such as ‘draft’ or ‘letter’ at the start of file names, unless doing so will make it easier to retrieve the record.
  8. Order the elements in a file name in the most appropriate way to retrieve the record.
  9. The file names of records relating to recurring events should include the date and a description of the event, except where the inclusion of any of either of these elements would be incompatible with rule 2.
  10. The file names of correspondence should include the name of the correspondent, an indication of the subject, the date of the correspondence and whether it is incoming or outgoing correspondence, except where the inclusion of any of these elements would be incompatible with rule 2.
  11. The file name of an email attachment should include the name of the correspondent, an indication of the subject, the date of the correspondence, ‘attach’, and an indication of the number of attachments sent with the covering email, except where the inclusion of any of these elements would be incompatible with rule 2.
  12. The version number of a record should be indicated in its file name by the inclusion of ‘d’ followed by the version number and, where applicable, ‘d’ indicating ‘draft version’.
  13. Avoid using non-alphanumeric characters in file names.

3. An inventory for the project documentation is prepared and maintained.

What is in an Inventory Management System

An inventory management system has several critical components. At its core, inventory control works by tracking the two main functions of a warehouse: receiving (incoming) and shipping (outgoing). Other activities such as the movement or relocation of inventory also take place. Raw materials are decremented and finished goods are incremented.

  • Incoming shipments
  • Outgoing orders
  • Inventory
  • Suppliers
Inventory System Database Design

Typically, an inventory system has four basic elements: products, purchases, orders, and suppliers. Each element must be tracked based on its location, SKU, and quantity. Current inventory, or products on hand, is updated by tracking incoming shipments and outgoing orders. Order alerts can be set to trigger when inventory levels fall below custom-defined minimum levels.

Setting up the Inventory Manager Database

Download the Inventory Manager. sql SQL script from this tutorial’s GitHub repo, and then execute the script using a MySQL tool such as MySQL Workbench. This will create a new database named Inventory Manager as well as the tables needed for this tutorial.

A Side Note on ZenBase

The Inventory Management System is also one of the many application templates readily available at ZenBase (built on the top of phpGrid) for anyone — with or without coding skills — to use and customize for their own needs.

Creating the User Interface (UI)

Inventory system comprises four pages:

  • Current Inventory
  • Incoming Purchases
  • Orders to Ship
  • Reports

Menus

The include file for the menu is stored in an inc folder named menu.php. The code for the menu is straightforward. For the sake of focus, we will not go into great detail. Feel free to look at the code inside the inc folder. 

Pages

Pages use the same page template we used for the CRM and Project Management tutorials.

Current Inventory 

 

Start with the Current Inventory page.

Incoming purchases increase the inventory while outgoing orders decrease it. From a master-detail perspective, the Current Inventory has not one, but two detail datagrids — the Purchases (incoming purchases) and the Orders(outgoing orders).

So the Current Inventory page is composed of one master grid (the Current Inventory in stock) and two detail grids (Incoming Purchases and Outgoing Orders). We can easily present these relationships using the phpGrid one master and multiple detail datagrids feature.

If you have read the last tutorial Building a Donation Manager from Scratch, you will have no problem following the code below.

Note the use of the set_col_format() function used to format the integers.

That’s it for the Current Inventory datagrid. Here’s what it looks like so far:

Make a few changes to enhance our Product data grid.

First of all, we will add some conditional formatting: whenever the Inventory On Hand is set to zero or a negative value, it is displayed using a different background color. We will use the set conditional format() function for this purpose.

The above code adds a display condition so that whenever the Inventory On Hand field has a value that is less than (lt) one, the text color changes to red and the background color to dark gray (#DCDCDC).

Secondly, whenever the Inventory On Hand is less than the value shown in Minimum Required, we would like to alert the user by displaying it in a prominent background color such as gold. To compare values between two fields, we must switch to Java script because the set conditional format() function only works with a single field.

The code below uses a for loop to iterate through each row in the Products data grid. It compares the inventory On Hand with the minimum Required and, when the condition is met, it will use the set Cell function to change the background color.

You can learn more about comparing multiple cell values on the phpGrid support website.

Next, on the same page, we need to see the purchases coming in (Incoming) and orders going out (Outgoing) for a specific product.

Purchases Detail Grid (Incoming)

Orders Detail Grid (Outgoing)

Both detail grids use the same foreign key ProductId to link to the master datagrid (Products).

Finally, our complete code to manage the Current Inventory page is:

Here’s a snapshot of the inventory page:

Incoming Purchases

The next page is the Incoming Purchase page. It is similar to the Purchase Detail Grid we saw when setting up the Current Inventory page. We group the purchases by Product and display the sum in Number Received. Any incoming purchases will increase the inventory.

The complete code:

Here’s a screenshot of our Incoming Purchases page with grouping enabled:

Outgoing Orders

The next page is the Outgoing Orders page. It is similar to the Orders Detail Grid from the Current Inventory page. Here, we will introduce an advanced function called set grid method.

An audit trail for project documentation is selected and maintained.

 

It is a general principle that well-managed audit trails are key indicators of good internal business controls. Audit trails have transitioned from manual to automated electronic logs that make this historical information more accurate, readily accessible, and usable. Successful audit trails demand a top down commitment by upper management, affected departments, and IT personnel. The more quickly an abnormal change or addition to information is “red-flagged,” the better the response to mitigate against negative influences such as cyber-threats, security breaches, data corruption, or misuse of information.  

What is an audit trail?

Audit trails are the manual or electronic records that chronologically catalog events or procedures to provide support documentation and history that is used to authenticate security and operational actions, or mitigate challenges. Numerous industries use versions of an audit trail to provide a historical record of progression based on a sequence of events. These records provide proof of compliance and operational integrity. Audit trails can also identify areas of non-compliance by providing information for audit investigations. Whether it is logging the design changes of a product build, keeping the record of financial transactions for an e-commerce site, communication transactions, healthcare activity, or legitimizing the outcome of an election, an audit trail validates actions and outcomes. Audit trail records will contain details that include date, time, and user information associated with the transaction.

IT plays an important role in the general process of industry- or regulation-specific audit logs and trails. However, the department itself has a unique and densely populated log process where the numerous and varied activities of users, systems, and applications are constantly monitored to prevent misuse, hacking, or corruption of information. IT professionals use this system for validation as an essential tool to analyze operations and technical controls for computer systems. Used to validate and monitor activity, an audit trail provides a tool to maintain information and system integrity.

Auditing vs. Logging

Sometimes used interchangeably, the terms auditing and logging can mean a variety of things. Systems can also maintain different types of audit trails and logs for different purposes. Logging most often has to do with program level events, such as administrative actions and abnormal related events that technical staff use for debugging software problems. This identifies system problems before they are big enough to cause harm, such as system outages or failures, which can hinder productivity. By contrast, auditing most often refers to user level transactions, such as a change to a financial record that was made by ‘Joe Smith’ at ‘10:00am’ on ‘December 21, 2016.’

Most solutions have two separate sets of logs that are maintained concurrently, including cloud platforms. For example, Google’s cloud solution maintains an administrator activity log which tracks API calls and changes to configurations, and a data access log that records updates or changes to user-provided data.

Types of audit trail activities and contents of an audit trail record

An audit trail provides basic information to backtrack through the entire trail of events to its origin, usually the original creation of the record. This may include user activities, access to data, login attempts, administrator activities, or automated system activities. Audit records contain elements defined by the company which include:

  • What the event was
  • What user, system, or application launched the event (this information may include IP address and device type)
  • The date and time the event occurred 

Some audit trails look more closely at actions within certain applications to chronicle more than a simple system or application launch. These logs can pinpoint elements such as specific changes to a database or information contained therein, and can also detect improper web-browsing or email use. Many IT departments have more than one audit trail that can be system-, application-, or event-defined. Highlighting abnormal activities or use deemed “out of the ordinary” can initiate an investigation. An accurate and well-defined audit trail provides the evidence to find answers and solve issues.

How long do you maintain an audit log?

Long term maintenance of audit logs can prove difficult for many organizations because the logs can occupy extensive storage space that may not be readily available. However, if possible, maintain the audit trail for the life of the records. These can be extremely useful in historical reporting and solving problems in the future.

Sample events that should be audited/logged

IT Audit Trails are constructed to address numerous activities that make up an event or series of events that can be investigated to find areas of concern. Problem activities include security breaches from hackers, in-house or out-of-house authentication problems, unauthorized usage, unusual levels of activity, or system failures. Records include the automated events scheduled through the operating system (OS), network access, application events, and manual activities of the various users. Normal activity may include accessing applications and system authentication. 

However, when an unusual or abnormal use is detected such as large-scale data change, application failures, or unauthorized access, the system provides means to follow a trail to identify the problem and then remediate. Other unusual activity that could arise may be inconsistent patterns of activity by users, attempts to bypass systems or protocols, large scale changes to the information, and unusual internet activity. 

How often do you review an audit log?

The National Institute of Standards and Technology (NIST) promotes conducting a periodic review using a timeline that is appropriate for the security needs of the company. Each industry and organization will vary with their review plans, but regulations may dictate a specific time frame in which logs must be reviewed. For example, if you have an audit committee involved with your business, they may define a regularly scheduled review, such as bi-annually or annually.

Types of industries that rely on audit trails

The need to support compliance, security, and operations is found in most (if not all) industries. The laws that both mandate and regulate the use of electronic records make audit records an important element in defending against security breaches, supporting compliance reporting, and ultimately passing numerous kinds of internal and external audits. Industries that have provisions to track information integrity include government agencies and universities who maintain sensitive, confidential information, and any company that uses electronic records containing confidential information. Each industry, whether tracking records or transactions, will benefit from maintaining accurate audit logs. 
Industry uses of audit trails include: 

  • Financial, accounting, and billing records
  • Manufacturing design controls
  • Health information
  • Clinical research data
  • IT helpdesk records
  • Content management version control
  • University student records
  • E-commerce sales
  • Legal and research investigations
  • Nursing medical records
  • Ballot-keeping and voting records

To that end, there is a growing need for industries as well as government and educational agencies to maintain and provide accurate and auditable information. If an organization is utilizing a database management system to manage records, chances are high that they record audit trails. 

The importance of an audit trail

The audit trail provides a “baseline” for analysis or an audit when initiating an investigation. The purpose or importance of an audit trail takes many forms depending on the organization: A company may use the audit trail for reconciliation, historical reports, future budget planning, tax or other audit compliance, crime investigation, and/or risk management.

Who uses an audit trail?

As previously mentioned, audit trails are commonly managed by staff within the IT department, such as a security manager or network administrator. A key point to keep in mind is that any user, whether a manager, employee, end-user, legal staff, an accountant, or others who touch an electronic record, will be included in the audit trail of the record. This user may be a human who makes an update to a record or accesses a system, or it may be a system that automatically makes updates/changes, such as restarting a computer. 

Benefits of an audit trail

The ability to follow records back to their origin provides numerous benefits, including transparency and a defense of records for compliance, record integrity and accuracy, system protection from misuse or harm, and security of sensitive or vital information. These are achieved through these four areas:

  • User Accountability: A user is anyone who has access to the system. Implementing audit trails promotes appropriate user behavior, which can prevent the introduction of viruses, improper use of information, and unauthorized use or modifications. In addition, the user knows that their actions are automatically recorded and tied to their unique identity.
  • Reconstruction of Events: When an investigation is warranted or triggered, the first step to remediate a problem is knowing the “when,” the “how,” and the “what” of the event. Visibility into this information can aid in problem detection and prevent future occurrences of things such as hacking, system failures, outages, or corruption of information. 
  • Intrusion Detection: Audit trails aid in identifying suspicious behavior or actions. Unauthorized access is a serious problem for most systems. Many regulations now have mandates for the security of information and maintaining confidentiality. Protection also extends to intellectual property, designs, personnel information, and financial records. 
  • Other Problem Identification: Through real-time monitoring, you can use automated audit logs to identify problems that indicate system implementation issues, operational issues, unusual or suspicious activities, or system and operator errors. 
The importance of audit trails for compliance

Since most industries today fall under several regulatory statutes either in the U.S. or internationally, those entities, especially those that keep electronic records, should maintain a strong and accurate audit log and trail system. The IT department plays a vital role in the maintenance, security, availability, and integrity of the records to provide auditable information for the defense of industry compliance. 

Regulatory statutes such as the Health Insurance Portability Act (HIPAA), Sarbanes-Oxley (SOX), and Gramm-Leach-Bliley Act (GLBA) not only have demands for the proper maintenance of electronic records, but also mechanisms for proper compliance and audit. Most industries use the support of IT services to maintain their electronic records in order to control record keeping, provide appropriate and protected user access, and strong privacy controls that they can track and mitigate. The industries most in need of sound audit trail policies include financial services, communications, e-commerce sites, universities, and health care services and providers. 

Tips to keep in mind

Audit trails are most effective if they are automated. While many systems emphasize protection from outside breaches, real-time audit trail reports can also red-flag suspicious in-house activity or misuse. Where the logs reside and who has access is also critical when maintaining audit trail integrity. Knowing what information to include in the logs is another key issue. It is recommended that the logs include basic information, at a minimum, such as who was involved, date and time, and what happened, but there may be other specific information to add which is dependent on security needs, industry expectations, and reporting requirements.

Important tips regarding audit trails include:

  • Ensure audit trail information is stored in a secure location and backed up regularly.
  • Only collect useful and necessary information in the audit trail to avoid storage capacity issues.
  • Review audit logs on a scheduled basis in order to mitigate risk.
  • Coordinate with system stakeholders to ensure the security and availability of their system’s audit trails.
  • Keep IT and leadership across appropriate business departments informed on all audit activity.
Tools for analyzing audit trails

The sheer number of events included in an audit trail calls for automating the collection of audit trail information. Tools that have trend analysis and detections for unusual use can catch hostile or non-hostile breaches. Red-flag warnings for unauthorized log-ins (whether successful or not) provide attack detection. Functions that follow defined user activities can identify misuse to prevent the theft or corruption of valuable data. Identifying application or system failures is also a key aspect for continuous operations and to prevent unscheduled outages or downtime. 

The NIST Handbook contains a list of principles and practices for securing IT systems and includes a section on audit trails. NIST defines an audit trail as “a record of system activity by system or application processes and by user activity.” NIST recommends the following considerations in order to effectively review audit trails:

  • The ability for reviewers to recognize both normal and unusual activity
  • The ability to query and filter audit records for specific information
  • The ability to escalate audit trail reviews if a problem is detected
  • The development of review guidelines in order to identify unauthorized activities
  • The use of automated tools to keep audit trail information at a minimum and also extract useful information from the collected data
Best practices for the audit trail maintenance and review

Throughout this article, we’ve mentioned the importance of maintaining and reviewing audit trails. There are no guidelines that define a specific timeframe for maintaining records or review. However, the ability to access an audit trail associated with a current or historical record may help solve a problem. Therefore, it’s important to maintain the audit trail record for the life of the record. If you do not struggle with storage capacity issues, maintaining audit trails as long as possible can prove beneficial. 

As mentioned, audit trail reviews will vary by organization and may take place quarterly or annually during a security audit. NIST recommends developing review guidelines specific to the organization in order to ensure a review takes place regularly. 

Challenges associated with maintaining/managing an audit trail

Although audit trails are common practice and automated in most technology solutions, challenges exist in maintaining or managing an audit trail including the location used for storage, size, and access. The logs may be cumbersome to navigate as they increase in size, which can cause storage cost challenges. Access may be too broad, which can compromise the integrity of the data. Occasionally, additional challenges are found in the limitations of applications. Finally, there can be disagreement on how long to keep records. 

Audit trails provide the means to backtrack a vast array of problems associated with information security, access, and system optimization. The balance between system protection and operational performance should be maintained at industry appropriate levels. 

Defining “normal” operations can help simplify audit trail processes by highlighting only the unusual activities that can cause harm. In this way, you can reduce the time spent reconstructing events, writing reports, and interviewing employees on events that are within the “business as usual” sphere. 

However they are used, audit logs provide needed information when dealing with integrity, security, and access. Breaches or loss through inappropriate use, hacking, theft, or corruption can cost a company dearly through direct damage to profits and reputation, the costs associated with stolen proprietary or confidential information, or the pitfalls of regulatory and legal defense. When used effectively, audit logs and trails can identify problem areas, provide the means to find remedies, and protect the company from the problems associated with computer and electronic record keeping challenges. 

Improve audit trail management with Smartsheet for IT & OPS

IT departments are tasked with ensuring audit trails and reviews are a routine part of their workflow even if the process is automated. They need a tool that can help them keep track of changes, provide critical information for reviews, and ensure that the integrity of their systems are not in jeopardy. Smartsheet is a work management and automation platform that enables enterprises and teams to work better. The world’s leading IT professionals rely on Smartsheet to help increase throughput and operate at maximum efficiency. 

Use Smartsheet to improve accuracy with real-time plans, increase collaboration with internal and external teams, and boost efficiency with resources centralized in one location. Quickly resolve reported issues, gain visibility into issue patterns, and maintain auditable records without additional work.

Preparation of an audit trail (at level of each beneficiary)

 

  1. Identification of all processes leading to expenditure (internal procedures and involved actors e.g. for staffing, purchase of services/supplies, etc.);
  2. Identification of information and financial flows:
  • Technical (e.g. studies, technical reports, etc.);
  • Financial/administrative (e.g. invoices, bank statements, tender documents).
  1. Identification of procedures for archiving as well as location of all documents. 
Preparation of an audit trail (at project level)

 

  1. Identification of information and financial flows:
  • Technical/financial (progress reports and annexes, including all Confirmations of Control, bank statements for the transfer of ERDF from LP to PPs, etc.).
  • Administrative (subsidy contract/partnership agreement and their amendments, Application Forms, etc.).
  1. Identification of procedures for archiving as well as location of all documents.

All files and documentation are current, up-to-date, neat, clean and carefully maintained. 

 

Files Management Planning

The object of proper files management is to be able to find the record you need quickly and economically, regardless of its format. Our Files Management Planning manual provides guidance for establishing and maintaining the records of your office by the most efficient and economical means available. 

Benefits of Files Management

 

A well designed filing system:

 

  • must make filing less difficult, tedious, and unattractive
  • must offer quick and easy filing and retrieval of information
  • must ensure integrity and continuity of record keeping despite changes in office personnel
  • must have uniform practices
  • must allow for the easy identification and purging of inactive records
  • should provide clear and simple file categories
  • should be expandable and flexible enough to meet everyone’s needs
Higher productivity, Lower Costs

Higher productivity and lower costs are the main benefits of good files management.  The right filing system produces important tangible results and eliminates costs associated with poor procedures.

Time savings:
  • faster filing and retrieval of information
  • fewer misfiles
  • higher staff efficiency and productivity
Cost savings:
  • less frequent purchase of filing equipment and supplies
  • less office space used for filing equipment
  • less time spent on filing
  • less likelihood of litigation losses resulting from lost documents
  • less likelihood of lost documents leading to unfavorable audit findings and penalties
  • less costly recovery of vital records 
Specific benefits
  • Establishing and maintaining control over files will bring specific benefits:
  • easier training of new personnel
  • expandability and flexibility to meet the needs of the office
  • standard procedures for disposal of obsolete records
  • improved service to clients/public
  • protection of vital records
  • compliance with legal and audit retention requirements
Develop a plan

A good filing system is developed through a basic file plan. Planning is important because it establishes direction and control, ensures that everyone involved has a common understanding of purpose and goals, provides guidelines, and identifies the elements of a project.

Plan elements in logical order
  1. Assign responsibility
  2. Obtain support
  3. Collect information: inventory records
  4. Analyze records
  5. Develop a filing system
  6. Implement system
  7. Train users
  8. Monitor implementation, follow up and revise system
Assign responsibility

One individual should be assigned the responsibility for developing and coordinating the new filing system. This task usually falls to the Records Coordinator. The Records Coordinator may work in conjunction with the Records Authority or with a committee established for that purpose. The Records Coordinator may implement the system or may supervise others in its implementation.

The first step in developing or improving a filing system is to gain the support of both the administration and the users of the system. Administrative support legitimizes the project and ensures the cooperation of all members of the office.

Every member of the office must understand the purpose and scope of the project. Everyone should be involved in the process. The creator of a record may provide important insight useful during the analysis of the records. Office members can help determine which features or aspects of the present system work well and should be retained. Office members can also help identify specific problems within the present system that must be changed. Most importantly, involving others in the process makes them more amenable to using the system once it is implemented.

The Records Inventory: Collect information 

Any changes to a filing system must begin with an inventory. An inventory is a detailed listing of all existing files in an office. Without information gained through an inventory, it would be impossible to develop or make changes to a filing system. The inventory is the foundation of a filing system.

Conducting the inventory         

Before beginning, it is very useful to create a map of each room to be inventoried. The map should identify individual filing cabinets, shelves, desks, computers, and other areas where information may be stored.  For future reference, the files listed on the inventory should correspond to file locations identified on the map.

An inventory should list the title and dates of each file created within the office. Within each room, inventory the files in a systematic manner. Start at one end of the room and work around the perimeter of the room. Once the perimeter is complete, inventory the files stored in the center of the room. Do not forget to inventory files on top of and under file cabinets, desks, shelves and other furniture.  Finally, inventory each PC.

Analyze records

Once records have been inventoried, they can be analyzed. Before a filing system can be designed, a thorough understanding of WHAT records are created, WHY they are created and HOW they are used is a necessity. An analysis begins with a careful consideration of the following questions:

  • who creates the records
  • who uses the records
  • how are records requested
  • how often are various types of records requested
  • what is the volume of records created
  • how long do records remain current
  • how many people need access to the records
  • how much equipment is available to store the records
  • how much space is available for equipment/growth
  • which records are confidential
  • are there legal requirements for retaining the records
  • which are the vital records

There are no set answers to these questions. Effective analysis requires that a common-sense approach be taken. The goal is to make a new system work, not just look good on paper. Analysis is the process of reviewing all information which has been collected, manipulating that information within the functional and operational requirements of the office, and then drawing conclusions.

The most efficient and economical filing system is one that works well for the office and is easily understood by its users. Very often the simplest method is best. Final factors to bear in mind when establishing a filing system: ready identification and retrieval of individual records and files; segregation and security of information requiring special protection.

Primary classification

Classification is a tool of analysis. It is a method of sorting information into like groups. Identifying primary classifications within each office and sorting files identified on the inventory into those primary classifications is the first step in the development of a filing system.

Primary classification describes the broadest and most fundamental distinctions to be made between the records of an office. All records are created as the result of functions and responsibilities which reflect purpose, mission, projects, activities, and programs.

The primary file classifications that are found in most offices are:

  • Administrative files — document the internal administration and operation of an office
  • Organizational files — document the relationship of an office with other offices and departments within the University
  • Program files — document basic activities and programs
  • Case files — document a specific event, project, person, transaction

Just as each office is different, so may their primary file classifications differ. It is not unusual for administrative and organizational files to fall into the same primary classification. Some offices will have program files but not case files, while for others the reverse may be true. Primary file classifications should be based on the function of the office.  Remember, identifying primary classifications is only a tool.  It is not the final goal.

Secondary classification: record series 

Within the four primary classifications, files are sorted into record series. Identifying appropriate record series is the second and most important step in developing a filing system.

A record series is a group of records that are created, used and filed as a unit because they relate to a particular subject or function, result from the same activity, or have a particular physical form.

All files must be classified by record series. A paper filing system is managed on the basis of its record series, not by individual folders. Examples of common record series are: Committee Files; Personnel Files; Time Records for Classified and Professional Staff; Payroll Records for Grants/Contracts; Purchase Records — Internal; and Planning Files.

Retention schedules

A major consideration in the development of a filing system is the retention of the records. Record retention periods provide valuable clues for sorting files into the appropriate record series. Many times records with the same retention will belong to the same record series. Record retention periods are found on a Records Retention Schedule. Retention schedules clearly state how long a record must legally be kept and whether the record is archival. Retention schedules also provide guidelines for moving files to inactive storage and for purging obsolete records.

Managing correspondence and email

Although correspondence may comprise only a small percentage of the total volume of records, it poses the most problems for many offices. Correspondence consists of unique documents which are often difficult to classify. Each office may have a different attitude toward how correspondence should be filed and different requirements for retrieving information from the file system.

Correspondence may consist of incoming and/or outgoing letters and memoranda. Classically, correspondence has been filed in chronological order.  Retrieval depended on remembering the date of receipt or of transmittal. For many people this is very difficult. Information is rarely retrieved on the basis of occurrence. 

Email is similar to correspondence in many ways.  Emails are sent or received based on date and time, not on content.  This is one of the characteristics that make email so difficult to manage.  Each email is different than the one sent before and will be different than the email sent after.  Managing emails by date is rarely effective. Like correspondence, it is much easier to manage emails based on content or creator.

Information is most commonly retrieved on the basis of content or creator. It is, therefore, most logical to file correspondence or email either by subject (with related information); by creator; by department from which it is received; or by department to which it is directed. It must be kept in mind that each office function is different, and it is necessary to tailor the management of correspondence files and email to respond to individual requirements.

Some offices, as a cross-reference, find it useful to file a second copy of outgoing correspondence chronologically. When following this practice, it is important to remember that this second set of correspondence is a duplicate and can be destroyed at any time.

Correspondence may be filed in paper format or kept electronically. The goal is to standardize official format. Either all correspondence within a specific record series is printed, or all correspondence within that series is maintained electronically. Any duplication, whether paper or electronic, falls under “Material That May Be Disposed Of Without A Specific Retention Period.”

Purging

At this time, email may be either printed and integrated into the paper filing system or may be kept within the email system (email client).  If maintained electronically, email should be moved from the inbox and sent mailbox into appropriately labeled folders.  These folder titles should match the titles used in the paper filing system.

Records which have reached the end of their retention period and are not archival can be considered obsolete. Obsolete records should be purged on a regular basis.

Purging serves several purposes:

  • reduces the number of files in an office
  • facilitates the retrieval of information as there are fewer files to search
  • avoids last minute crash programs to clean out office or storage areas
  • ensures compliance with records retention schedules
  • reduces the risk of litigation loss
  • reduces the risk of unfavorable audit findings

Duplicates and other material that may be disposed of without a specific records retention period can be purged at any time. Confidential records must be shredded.

Vital records

Vital records are recorded information, regardless of medium or format, that must be protected in case of disaster.  Major considerations in establishing a filing system are the identification and protection of vital records.

Completing the analysis

Once the analysis is complete, a filing system can be developed. A filing system should be developed on paper before it is physically implemented. Folders should be sorted, on paper, into the appropriate primary classification. Within each primary classification folders are sorted, on paper, into record series.

There are always some records that don’t fit neatly into a record series.  In many cases they are really either “Material That May Be Disposed Of Without A Specific Retention Period” or unsolicited material.  Neither should be included in the filing system.  Materials without a specific retention period can be destroyed or should be managed separately.  Unsolicited material can be destroyed.

In the case of electronic records – word processing or email – the records can be saved to a directory which would be the electronic equivalent of sorting the files into primary classifications.  Within each directory files can be sorted into folders which would be the same as sorting paper files into record series.

Arrangement 

Within each individual record series, files are arranged in an order best suited for rapid retrieval and disposition. A feature or characteristic of the record series is chosen as the basis for the arrangement. This feature is most easily identified by determining how various types of records are requested. Features may include subject, a name associated with the record, a number which identifies the record, a title. It is best to use an existing feature rather than creating something arbitrary. The most common arrangements are:

  • Alphabetic –arranging records in alphabetical order is most helpful when records are retrieved by name or topic. However, it must be remembered that even the simplest alphabetic system requires establishing consistent and uniform filing standards. As the record series grows, the subjects must become more specific.
  • Chronological — a chronological system is most useful for records that are created and monitored on a daily basis. Folders are arranged by sequential date order. It is, however, recommended that chronological filing be avoided. Retrieval can be slow and difficult as few people tend to remember dates accurately. The date of occurrence is rarely the basis for retrieval of information.
  • Geographical — information is arranged alphabetically by geographical of place name.
  • Numerical — numerical files are most easily managed through the following systems:
  • Serial number — used for files which have a preprinted number. Works best for records that are assigned a number on creation, e.g., invoices and purchase requests.
  • Digit filing — uses an applied number to identify folders, e.g., social security number, student number, patient number, budget number. Works best for record series containing large numbers of records.
Centralized filing systems

Centralized filing places all records series in one central location in an office. It is most useful when the majority of individuals within an office require access to a majority of the files. The electronic equivalent to centralized filing would be a shared directory like an  I drive.

In a centralized file system:

  • there is greater control over the files
  • uniformity and consistency is easier to maintain
  • all important information is located in a central location
  • all information regarding a specific subject is located in a central location
  • the need for duplicate files is eliminated
  • storage of records requires less equipment and space
Decentralized filing systems

Decentralized filing physically locates record series in different places within an office. It is most useful when only one individual requires access to a specific record series. The electronic equivalent would be an individual’s access to their PC. In this case, it works only if the creator of the files is the only user of the files.

In a decentralized file system:

  • there is less chance of folders being misfiled into the wrong record series
  • limited access to a record series leads to greater security and confidentiality
  • the record series is physically located closer to the user

It is possible for an office to have both a centralized and decentralized filing system. The majority of the record series may be filed centrally, while a specific record series is located near its primary user. A centralized system should not be imposed on records accessed by one individual, nor should individuals within an office have to routinely search several physical locations to find the record they need. Remember, filing systems should reflect the function and organization of an office.

Implement System 

There is no easy way to implement a new filing system. It is a very labor intensive task. If at all possible, it is recommended that the filing system be implemented in stages, by primary classification–one record series at a time.

Steps in the implementation process include:

  • sorting paper files into primary classification
  • sorting electronic files into directories
  • sorting paper files into record series
  • sorting electronic files into folders
  • arranging files within each record series
  • assigning a physical location within the filing system to each primary classification and its attendant record series
  • re-labeling folders or creating folders to reflect the new file system
  • if necessary, the purchase of new filing supplies/equipment
Training users

Filing systems will fail if all users do not follow uniform and consistent procedures. Training is necessary to ensure a thorough understanding of, and compliance with, new procedures. Training is best conducted through “live” sessions.

Training sessions should be conducted by the Records Authority/Coordinator or by the individuals responsible for developing the new filing system. Records Management Services staff are available to assist in preparing and/or presenting a training session.

Before presenting a training session:
  • develop the system thoroughly
  • work out flaws so that the system has credibility
  • allow developers time to become familiar with the system
Training sessions should:
  • offer user opportunity to ask questions
  • present system goals
  • explain new procedures
  • assign staff duties and responsibilities
  • stress commitment to constant system improvement

 



SESSION 2

SO 2

USE STANDARDS FOR IDENTIFYING, SECURING AND FINDING DOCUMENTATION.

Learning Outcomes

(Assessment Criteria)

All documents are named and filed to agreed standards.

Filing system is structured and indexed reflecting project, sub-project, phase and stage levels, management, quality and specialist (technical) products.

Multiple versions of documents are correctly filed and annotated.

Back-up and archive process are identified and utilized.

Sensitive documents are kept in safe custody and unauthorized access denied.

 

All documents are named and filed to agreed standards. 

 

Why you want a file naming convention

A file naming convention is a systematic method for naming files. Your file naming convention will always be your most powerful and easy method for organizing and retrieving your documents. You want to get this right the first time, so it is important to invest enough time to think about this carefully.

A consistent and descriptive file naming convention serves many purposes, often related to branding, information management, and usability. The overall goal of intentional file naming is to increase readability in file names. It empowers people new to the content to navigate files more easily, makes searching and finding documents easier by having our filenames reflect file contents, and guides file authors to develop each document around a single, concrete purpose, which reduces clutter. More concretely, it allows you to:

  • Know the content of a document without opening it.
  • Retrieve and filter documents very quickly using the search/filter function of your computer.
  • Store documents in a single folder without losing their context, if you need to.
  • Find and identify documents even if they are no longer in their original folder.
  • Easily browse long lists of files to inventory or check for missing documents.
  • Manage documents more easily on your website (often content management systems store documents in a single “uploads” directory).

As you can see, there are many situation in which it is helpful to have a file naming convention. You will want one to organize your organization’s files so staff can find what they are looking for. You’ll definitely want one if a project requires the management of many files (such as digitizing and organizing scanned documents).

Not sure if any of this applies to you? One way to know if you need to pay some extra attention to the way you are naming your files is to take this golden test of a good file naming convention: Imagine if you take all your files from your whole organization, and put them into one single folder. Can you still quickly filter down to what you want by scrolling through the file list? Or by searching for elements of file names? If the answer is yes, your file naming is good. If not, your file naming still needs some work. So read-on!

Five tips for designing your file naming convention
  1. Consider how you want to retrieve the files

How you want to retrieve the files will help determine the right file naming convention for that file type.  Keep in mind that file sorting will read from left to right!

  • Starting your filename with the most important parameter/component will allow you to organize documents alphabetically (or chronologically) with that parameter without having to do any searching. For example, if your primary method of accessing a litigation case file is its number, then this should be the first element in your file naming convention: when you sort your documents in the file manager, you will see them order by case number first.
  • For dates, use YYYY-MM-DD (or YYYYMMDD, or YYMMDD, or YYMM). To ensure that files are sorted in proper chronological order the most significant date and time components should appear first followed with the least significant components. If all the other words in the filename are the same, this convention will allow us to sort by year, then month, then date. Some conventions have the date in the front of every filename because that is the most logical way for their team to retrieve files.
  • Versioning: use _v1 or -v1. If the document will be maintained over time, use the convention v1, v2, v3, etc. to depict its place in the sequence of versions. You may want to separate the “v” from the content type with an underscore (“_”). As versions are made and updated, change the version #, but keep the file name the same.
  • Sequential numbers: Make sure that, if there are going to be more than 9 files with that name (versioning, photos), it should be 01, 02, 03,.. so that it can be sorted in chronological order. Same if it is more than 99 files, it should be -001, …. -060, ..-099, ..-100
  1. Use relevant components in your filename to provide description and context

The filename should contain the essential elements of each file, dependent upon what is suitable for your retrieval needs. File names should outlast the records creator who originally named the file, so think about what information would be helpful to someone in 15 years. Potential components for human rights organizations include:

  • Name of organization
  • Program or theme
  • Type of document
  • Geographic scope
  • Date or period
  • Language of document
  • Content type, such as “Invoice” or “Report”. This will help to maintain consistency of filenames across program areas and staff.

Keep in mind you will most likely want to use agreed-upon abbreviations for these components in order to keep the filenames short.

For example, a file naming convention may include the following components, in the following order:

[YYMMDD]_[Project]_[Country]_[Event]-[number].xxx

Examples of filenames based on this convention:

  • 160301_HRC_Geneva_launch-001.jpg
  • pdf
  • rtf
  • 160219_SRJI_Moscow_meeting-001.jpg
  1. Keep the filename a reasonable length

Long file names do not work well with some types of software so it’s best to keep them short. To achieve this, you could consider:

  • Shortening the year to 2 numbers
  • Abbreviate file name components (e.g. use “inv” instead of “invoice”, or “fr” instead of “francais”)
  • Use as few words as possible to convey the identity of the document
  1. Avoid special characters and spaces
  • Special characters such as  ~ ! @ # $ % ^ & * ( ) ` ; < > ? , [ ] { } ‘ ” and | should be avoided.
  • Do not use spaces. Some software will not recognize file names with spaces. Use these alternatives instead:
  • Underscores (e.g. file_name.xxx)
  • Dashes (e.g. file-name.xxx)
  • No separation (e.g. filename.xxx)
  • Camel case, where the first letter of each section of text is capitalized (e.g. FileName.xxx)
  1. Document and share your file naming convention, and get your team on-board!

Make it easy on your time to understand, use and find the file naming convention by documenting it and putting in a place that is easy to find. You might want to include this documentation in a readme.txt file in the main shared folder. See the example file naming convention txt file under the examples below.

Hold a short (and fun?) internal training session to explain why the new file naming convention is so important to use, and how it works. Create a video that goes through the key points of the convention.

The good, the bad, and the inconsistent:
Examples of file naming conventions
Example of a file naming convention for human rights organizations

As mentioned in the introduction to this article, we worked with the African Commission on Human and Peoples’ Rights (ACHPR) and the International Commission of Jurists (ICJ) to create file naming conventions in preparation for file migration and digitization projects. We are sharing documentation of both conventions so that you can see how different organizations approach this effort.

  • File naming convention for the ACHPR
  • File naming convention for the ICJ
Filing system is structured and indexed reflecting project, sub-project, phase and stage levels, management, quality and specialist (technical) products.

 

Projects, by definition, have a beginning and an end. They also have defined phases between the project kickoff and project closeout. A phase represents a grouping of similar activities that has a very loosely defined beginning and end. Phases are typically sequential, where the prior phase is essentially complete before the beginning of the next phase; however, phases do not have clear-cut end dates and some activities in an early phase of the project will continue into the later phases. This is in contrast to project beginning and ending dates and milestone dates, which do have clearly defined dates with the expectation that these dates will be met.

The Project Management Institute (PMI) identifies four major phases of a project as characteristics of the project life cycle. These four life-cycle phases are initiation, planning, execution, and project closeout. The knowledge, skills, and experience needed on the project can vary in each phase. During the early phases of a project, the project leadership needs good conceptual skills, the ability to build a team, and the experience to build a project roadmap. During project closeout, the project leadership provides a high degree of motivation and attention to details. On a large project, lasting two or more years, it is common to see the project management team change leadership to provide skills that are appropriate to the final phases of the project.

Initiation

The initiation phase, which PMI labels “starting the project,” includes all the activities necessary to begin planning the project. The initiation phase typically begins with the assignment of the project manager and ends when the project team has sufficient information to begin developing a detailed schedule and budget. Activities during the initiation phase include project kickoff meetings, identifying the project team, developing the resources needed to develop the project plan, and identifying and acquiring the project management infrastructure (space, computers). On projects where the scope of work for the project is not well defined, the project team will invest time and resources in developing a clearer scope of work. On projects where the major project stakeholders are not aligned, the project team will expend resources and time creating stakeholder alignment.

Unlike project milestones, some activities associated with project initiation may be delayed without delaying the end of the project. For example, it is advantageous for the project to have the major project stakeholders aligned from the beginning, but sometimes it is difficult to get the commitment from stakeholders to invest the time and resources to engage in an alignment process. Sometimes it is only after stakeholders begin observing progress on a project that the project manager can facilitate the stakeholder alignment processes.

Planning

The planning phase, which PMI labels “organizing and preparing,” includes the development of more detailed schedules and a budget. The planning also includes developing detailed staffing, procurement, and project controls plans. The emphasis of the planning phase is to develop an understanding of how the project will be executed and a plan for acquiring the resources needed to execute it. Although much of the planning activity takes place during the planning phase, the project plan will continue to be adjusted to respond to new challenges and opportunities. Planning activities occur during the entire life of the project.

Execution

The execution phase, labeled by PMI as “carrying out the work,” includes the major activities needed to accomplish the work of the project. On a construction project, this would include the design and construction activities. On an information technology (IT) project, this would include the development of the software code. On a training project, this would include the development and delivery of the training.

Closeout

The closeout phase—or using PMI’s nomenclature, “closing of the project”—represents the final stage of a project. Project staff is transferred off the project, project documents are archived, and the final few items or punch list is completed. The project client takes control of the product of the project, and the project office is closed down.

The amount of resources and the skills needed to implement each phase of the project depends on the project profile. Typically, a project with a higher-complexity profile requires more skills and resources during the initiation phase. Projects with a profile that indicates problems with alignment among key stakeholders or political and legal issues will require specialized resources to develop plans that address these issues early in the project. A project with a lower complexity level will invest more resources in the execution phase to complete the project as effectively and efficiently as possible.

Project Phases on a Large Multinational Project

During the planning phase, the project team developed an integrated project schedule that coordinated the activities of the design, procurement, and design teams. The project controls team also developed a detailed budget that enabled the project team to track project expenditures against the expected expenses. The project design team built on the conceptual design and developed detailed drawings for use by the procurement team. The procurement team used the drawings to begin ordering equipment and materials for the implementation team; to develop labor projections; to refine the construction schedule; and to set up the campus site. Although planning is a never-ending process on a project, the planning phase focused on developing sufficient details to allow various parts of the project team to coordinate their work and to allow the project management team to make priority decisions.

The execution phase represents the work done to meet the requirements of the scope of work and fulfill the charter. During the execution phase, the project team accomplished the work defined in the plan and made adjustments when the project factors changed. Equipment and materials were delivered to the work site, labor was hired and trained, a learning center site was built, and all the development activities, from the arrival of the first computer to the installation of the final light switch, were accomplished.

The closeout phase included turning over the newly constructed campus to the operations team of the client. A punch list of a few remaining items was developed and those items completed. The office in Catamarca was closed, the office in Buenos Aries archived all the project documents, and the Chilean office was already working on the next project. The accounting books were reconciled and closed, final reports written and distributed, and the project manager started on a new project.

Key takeaways
  • The phases of a project are initiation, planning, execution, and closeout.
  • The initiation phase, which PMI calls “starting the project,” includes activities such as holding alignment and kickoff meetings, identifying the project team, developing the resources needed to develop the project plan, and identifying and acquiring the project management infrastructure.
  • The planning phase, which PMI calls “organizing and preparing,” includes developing detailed staffing, procurement, and project controls plans.
  • The execution phase, which PMI calls “carrying out the work,” includes the major activities needed to accomplish the work of the project.
  • The closeout phase, which PMI calls “closing of the project,” includes transferring staff, archiving documents, closing offices, completing punch list tasks, and turning over the results of the project to the client

Multiple versions of documents are correctly filed and annotated.

 

Annotating documents

Annotations are comments, notes, explanations, or other types of external remarks that can be attached to a Web document or to a selected part of a document. As they are external, it is possible to annotate any Web document independently, without needing to edit the document itself. From a technical point of view, annotations are usually seen as metadata, as they give additional information about an existing piece of data. Amaya uses a special RDF annotation schema for describing annotations.

Annotations can be stored locally or in one or more annotation servers. When a document is browsed, Amaya queries each of these servers, requesting the annotations related to that document. Amaya presents an annotation with an icon  that is visually embedded in the document. If you single-click this icon, the text that was annotated is highlighted. If you double-clicks the icon, the annotation text and other metadata are presented in a separate window.

An annotation has many properties including:
  • Physical location: is the annotation stored in the local file system or in an annotation server
  • Scope: is the annotation associated to a whole document or just to a fragment.
  • Annotation type: ‘Annotation’, ‘Comment’, ‘Query’, …
Local and remote annotations

Amaya can store annotation data in a local file system (local annotations) or it can store annotations remotely, on annotations servers accessed through the Web (remote annotations).

You do not need a server to create local annotations. Local annotations are stored under your AmayaHome directory, in a special directory called annotations, and they can be seen only by their owner (according to the system access right setup).

This directory contains three kinds of files:
  • index: Associates URLs with the files containing the metadata of the annotations.
  • index + random suffix: Stores the metadata of the annotations related to a given URL. The metadata is specified in RDF. 
  • annot + random suffix.html: Contains the body of an annotation, stored as XHTML.

At any time, you can convert a local annotation to a shared one by choosing Post to server from the Tools/Annotations submenu. Once this is completed, the local annotation is deleted because it has been moved to an annotation server.

Remote annotations

You can store remote annotations in annotation servers so that the annotations can be downloaded by anyone having the correct access rights, such as is the case of other HTML documents.

Remote annotations are referred to as shared or public annotations, because they can be seen by other people. If you wish to install your own annotation server, please refer to Annotation-Server-HOWTO.

Creating an annotation

Before creating an annotation, it is recommended to set some parameters in the Preferences (see section Configuring annotations).

Amaya supports two kinds of annotations: annotations that apply to a whole document and annotations that apply to a specific position or a selection in a document.

  • To annotate an entire document, choose Annotate documentfrom the Tools/Annotations menu.
  • To annotate a position, put the insertion point at that position in the document and choose Annotate selection from theTools/Annotations menu.
  • To annotate a selection, make a selection in the document and choose Annotate selection from the Tools/Annotationsmenu.

After these operations, an annotation document  is displayed, with some inital metadata and an empty body.

The metadata consists of the title of the annotation, the author’s name, the title of the annotated document, the annotation type, the creation date, and the last modification date.

Some of the metadata fields have special properties:
  • The Source document field is a link that points back to the annotated text. If the user double-clicks it, as when following any other link with Amaya, the annotated document will be displayed with the annotated text highlighted.
  • The Annotation types field lets you classify the annotation and change its type. Double-click on the text Annotation type to see the list of types available.
  • The Last modified field is updated automatically each time that an annotation is saved.

Below the header area is the annotation body area. It shows the current content and can be edited like any other HTML document.

Some commands that can be applied to a document in the Amaya document window also can be applied to an annotation document in the Annotation window. For example, the body of an annotation can be printed by choosing Print from the File menu, or reloaded by choosing Reload document from the File menu.

Saving an annotation

Saving an annotation is the same as saving any other document with Amaya: choose Save from the File menu (or use its equivalent shortcut or button) or press the Save button.

Local annotations are saved to the annotations directory and remote annotations are saved to the annotation post server, if the user has write access.

To convert a local annotation into a shared one, choose Post to server from the Tools/Annotations menu to save the annotation to the Post server as defined in the Configuration for Annotationsdialog. If this operation is successful, the local annotation will be removed and future Save operations will go directly to that annotation server.

Deleting an annotation

The Delete command on the Tools/Annotations submenu enables you to delete the current annotation. You can invoke this command from an annotation window.

You can also delete an annotation from the annotated document. Select the icon of the annotation and call the same command from the Tools menu in the annotated document window.

Loading and presenting annotations

The Tools/Annotations/Load command tells Amaya to load the annotations that are associated with the URL of the current document. Amaya will query the annotation servers, using the settings from Preferences/Annotations, and ask for any relevant annotation.

Annotations may also be loaded automatically whenever a new page is viewed by selecting the Autoload remote annotations check box in Preferences/Annotations.

Querying an annotation server returns all the annotations that are associated with a document.

Annotations in the Links window

The link view of the annotated document shows all the annotations.

As with the document window, annotations are identified by a pencil icon. A single-click on the icon selects the annotated text in the document window and a double-click opens the annotation.

Replying to annotations / discussion thread

Annotations can be seen as comments to web pages. TheTools/Annotations/Reply to annotation command enhances the collaborative workspace by allowing users to reply to annotations or to other replies.

The Reply to annotation command of the Tools/Annotationssubmenu lets you create a reply to an existing annotation or to a reply. You can invoke this command from an open annotation or a reply window.

As a result a new annotation document opens. The fields in a reply annotation can be edited just like in any other annotation as explained under Creating an annotation.

When the reply is ready, you can post it to a server with theTools/Annotations/Post to server command or you can save it locally using the File/Save command. To delete a reply, you can use the Tools/Annotations/Delete command.

Replies can also be annotated like any other document, as explained in Creating an annotation.

All replies related to an annotation are shown at the bottom of this annotation, in a thread section. Each item in the thread gives the date of the reply, the author, and the title of the reply.

The content of any of these replies can be retrieved by double clicking the replies in the thread. The selected reply is highlighted and presented in a reply tab. When another selection is made the same reply tab is used.

Known issues with annotations and modified documents

When you use annotations with live documents (documents whose contents can be modified), you may encounter two kinds of problems: orphan annotations and misleading annotations. To explain these problems, we must first describe how Amaya attaches annotations to documents.

Amaya uses XPointer to indicate where an annotation should be attached to a document. XPointers are based in the structure of the document. To build an XPointer for a selection, for example, Amaya starts from the first point of the selection and walk backwards through the document’s structure, until it finds the root of the document. If an element has an id attribute, Amaya stops building the XPointer and considers the element with the id attribute value to be the beginning of that XPointer.

For example, if you look at the HTML source for this document, you’ll notice that this section is enclosed within a div element that has an id attribute with the value “Issues” Here’s an extract of the source code:

  <div id=”Issues”>

  <h1>Issues with ….</h1>

  <p>If you are using…</p>

  <p>Amaya uses <strong>XPointer</strong>…</p>

  …

  </div>

This XPointer points to the second paragraph:xpointer(id(“Issues”)/p[2])

The above XPointer points to the second p element, from the element parent having an id attribute with value “Issues”.

Note that the use of the id attribute enables the document author to move the entire reference by the XPointer to another location within the document, without needing to update the XPointer. The XPointer does not depend on the elements that precede it.

Orphan annotations

An annotation becomes an “orphan” when it can no longer be attached to a document, that is, when the XPointer does not resolve to any element in the structure. This happens when a document’s structure is modified. Amaya displays a warning if it detects any orphan annotations while downloading a set of annotations from an annotation server. All orphan annotations are visible from the Links view and are associated with an icon that shows a question mark superimposed on the annotation pencil.

Misleading annotations

An annotation becomes “misleading” when it points to a wrong piece of information. This problem is common when you annotate a portion of text that may change. In the first release, Amaya does not warn the user if an annotation is misleading. A future release may notify users of the potential for an annotation to be misleading.

What can you do to avoid this?

As the author of a document, try to use the ID attribute in strategic places, for example, inside <DIV> and p elements. For example:

  <p id=”Amaya”>Amaya uses…</p>

An XPointer that points to this paragraph is: xpointer(id(“Amaya”))

Thus, the Xpointer will point to the same paragraph, regardless of its position in the document’s structure.

Amaya enables you to automatically associate with or remove an IDattribute to/from a set of elements by choosing Add/Remove IDsfrom the Links menu.

Back-up and archive process are identified and utilized.

 

Data Backup vs. Archive

The data stored in a backup is a copy of the current and active operational data in use by a business. This includes files which are currently being accessed and changed on a regular basis. The files stored on an archive are generally no longer in use, not changing frequently and not required on a regular basis. As such, employees will not be affected if these files are moved from a business’s regular storage. However, through file stubbing, files stored in an archive can still be made easily accessible to employees.

Location

A backup is simply a copy of the current and active information stored on your servers. When a backup copy of your data is created, the original files are not affected and still reside in the same location. While an archive is also a copy of your data, the archiving process relocates the data from your business’s primary storage location and moving it on to less expensive and more long-term storage locations.

Speed

As the purpose of a backup and an archive are different, the features valued in each are also different. With a backup, speed is an important attribute. As backups are often made regularly to keep them current, it is essential that they can be completed quickly. Equally as important is the ability to quickly recover and restore data in the event of data loss as a quick backup procedure allows your business to limit the operational impact.

Searchability

The ability to easily search for and locate a file is of vital importance with a data archive. An archive can potentially contain a huge amount of data built up over several years and it is unlikely that the location of specific files and folders will be known. It is incredibly important that these files can be found in a quick and efficient manner not only for compliance reasons but also in the event that a legal request is made.

Duration

The length of time the data stored in a backup is much shorter than an archive. Depending on its operational importance, the data stored in a backup may be updated as frequently as daily or even multiple times a day. As such, the data is only required for a short period of time. Archives on the other hand may store large amounts of data for many years. For this reason, the integrity of retained data over longer time periods is of great importance.

Sensitive documents are kept in safe custody and unauthorized access denied.

 

Hiding your sensitive information

One issue with keeping a safe in your home or office, to say nothing of carrying one in your pocket, is that it tends to be quite obvious. Many people have reasonable concerns about incriminating themselves by using encryption. Just because the legitimate reasons to encrypt data outnumber the illegitimate ones does not make this threat any less real. Essentially, there are two reasons why you might shy away from using a tool like VeraCrypt: the risk of self-incrimination and the risk of clearly identifying the location of your most sensitive information.

Considering the risk of self-incrimination

Encryption is illegal in some countries, which means that downloading, installing or using software of this sort might be a crime in its own right. And, if the police, military or intelligence services are among those groups from whom you are seeking to protect your information, then violating these laws can provide a pretext under which your activities might be investigated or your organization might be persecuted. In fact, however, threats like this may have nothing to do with the legality of the tools in question. Any time that merely being associated with encryption software would be enough to expose you to accusations of criminal activity or espionage (regardless of what is actually inside your encrypted volumes), then you will have to think carefully about whether or not such tools are appropriate for your situation.

If that is the case, you have a few options:

  • You can avoid using data security software entirely, which would require that you store only non-confidential information or invent a system of code words to protect key elements of your sensitive files.
  • You can rely on a technique called steganography  to hide your sensitive information, rather than encrypting it. There are tools that can help with this, but using them properly requires very careful preparation, and you still risk incriminating yourself in the eyes of anyone who learns what tool you have used.
  • You can try to store all of your sensitive information in a secure webmail account, but this demands a reliable network connection and a relatively sophisticated understanding of computers and Internet services. This technique also assumes that network encryption is less incriminating than file encryption and that you can avoid accidentally copying sensitive data onto your hard drive and leaving it there.
  • You can keep sensitive information off of your computer by storing it on a USB memory stick or portable hard drive. However, such devices are typically even more vulnerable than computers to loss and confiscation, so carrying around sensitive, unencrypted information on them is usually a very bad idea.

If necessary, you can employ a range of such tactics. However, even in circumstances where you are concerned about self-incrimination, it may be safest to use VeraCrypt anyway, while attempting to disguise your encrypted volume as best you can.

If want to make your encrypted volume less conspicuous, you can rename it to look like a different type of file. Using the ‘.iso’ file extension, to disguise it as a CD image, is one option that works well for large volumes of around 700 MB. Other extensions would be more realistic for smaller volumes. This is a bit like hiding your safe behind a painting on the wall of your office. It might not hold up under close inspection, but it will offer some protection. You can also rename the VeraCrypt program itself, assuming you have stored it as you would a regular file on your hard drive or USB memory stick, rather than installing it as a program.

Considering the risk of identifying your sensitive information

Often, you may be less concerned about the consequences of ‘getting caught’ with encryption software on your computer or USB memory stick and more concerned that your encrypted volume will indicate precisely where you store the information that you most wish to protect. While it may be true that no one else can read it, an intruder will know that it is there, and that you have taken steps to protect it. This exposes you to various non-technical methods through which that intruder might attempt to gain access, such as intimidation, blackmail, interrogation and torture. It is in this context that VeraCrypt’s deniability feature, which is discussed in more detail below, comes into play.

VeraCrypt’s deniability feature is one of the ways in which it goes beyond what is typically offered by file encryption tools. This feature can be thought of as a peculiar form of steganography that disguises your most sensitive information as other, less sensitive, hidden data. It is analogous to installing a subtle ‘false bottom’ inside that not-so-subtle office safe. If an intruder steals your key, or intimidates you into giving her the safe’s combination, she will find some convincing ‘decoy’ material, but not the information that you truly care about protecting.

Only you know that your safe contains a hidden compartment in the back. This allows you to ‘deny’ that you are keeping any secrets beyond what you have already given to the intruder, and might help protect you in situations where you must reveal a password for some reason. Such reasons might include legal or physical threats to your own safety, or that of your colleagues, associates, friends and family members. The purpose of deniability is to give you a chance of escaping from a potentially dangerous situation even if you choose to continue protecting your data. As discussed in the Considering the risk of self-incrimination section above, however, this feature is much less useful if merely being caught with a safe in your office is enough to bring about unacceptable consequences.

VeraCrypt’s deniability feature works by storing a ‘hidden volume’ inside your regular encrypted volume. You open this hidden volume by providing an alternate password that is different from the one you would normally use. Even if a technically sophisticated intruder gains access to the standard volume, he will be unable to prove that a hidden one exists. Of course, he may very well know that VeraCrypt is capable of hiding information in this way, so there is no guarantee that the threat will disappear as soon as you reveal your decoy password. Plenty of people use VeraCrypt without enabling its deniability feature, however, and it is generally considered impossible to determine, through analysis, whether or not a given encrypted volume contains this kind of ‘false bottom’. That said, it is your job to make sure that you do not reveal your hidden volume through less technical means, such as leaving it open or allowing other applications to create shortcuts to the files that it contains. The Further reading section, below, can point you to more information about this.

 



SESSION 3

SO 3

PREPARE AND PROVIDE PROJECT TEMPLATES TO TEAM MEMBERS

Learning Outcomes

(Assessment Criteria)

Templates and their components are identified and explained in terms of how they meet the needs of the project.

How and where to locate project documentation documents is documented and communicated.

Templates are prepared in accordance with requirements and accepted standards.

Templates are assembled and presented to enhance use and understanding.

 

Documentation is key to successful business processes. It allows you to have procedures in place to expand your company with ease as you face anything from employee conflict to crisis communications.

  1. Constantly review and optimize.

With each client program, always have a timeline or plan that itemizes each action and milestone. continually reviewing and optimizing with each program so that it can take insights from previous work and apply them to the next. Process is something that is continuously evolving; sticking to the same routine each time prevents growth.

  1. Take advantage of collaboration technology.

If you’re working with a distributed team, especially globally, collaboration technology is life saving and project saving. Simple project management tools like Asana and Basecamp provide visibility into full project plans, accountable parties and dependencies. This can make a huge difference in efficiency and communication.

  1. Keep a repository of on-brand messaging.

Don’t reinvent the wheel. Keep a running list of the messaging, stats and milestones that best represent your brand and tell your story. You’ll be both more efficient and more consistent.

  1. Start with the basics.

While it may be time consuming, documenting your workflow is extremely effective for managing your time, your message and your business. It helps to start with the basics: Identify your audience, break down everything step by step, assign responsibility and clearly state the end goal. Something as simple as a checklist can help create a process and streamline communications quickly.

  1. Rinse and repeat.

Creating a repository of templates and process documents has enabled us to scale communications globally. Communication champs can leverage repeatable processes to scale and adapt templates to ensure global consistency while also acknowledging local nuances. By retaining this repository, updates to both processes and templates can be made in real time.

  1. Enlist process managers and workflow tools.

Campaigns and ongoing tasks need a dynamic process or project manager with a robust workflow tool the entire team views, and that sends automated alerts when updates occur or actions are required. Depending on the project’s scope, this person can be an experienced professional, PR agency or even intern who assesses progress and recommends next steps to optimize and scale communications.

  1. Use cloud software for real-time updates.

By using software that allows for real-time updates saved to the cloud, teams contribute to the mission faster and more effectively with fluid communication and ongoing updates. While this tech amplifies our communication, nothing will replace the effectiveness of our in-person or televideo status meetings to create alignment.

Forbes Communications Council is an invitation-only community for executives in successful public relations, media strategy, creative and advertising agencies. 

  1. Create a network of local experts.

For repetitive communications, such as training materials, we have a “super user” on each team who can orient a new person and teach them what’s available and how to use it. In essence, we have a few key people who are our “documentation.” By decentralizing the information, we can share it faster.

  1. Know who to ask and when.

Compose and maintain an internal subject matter expert list that is available to your entire team. This ensures everyone knows exactly who to contact and is particularly handy when creating features or blog posts. You should also document an agreed-upon review process for each type of communication, illustrating how high each should go up the chain. This will help create speed and agility.

  1. Socialize processes.

Documentation of good processes is foundational, but processes have greater value when they are easy to understand and there is both organizational understanding and buy in. Coworkers could struggle to embrace processes that are lengthy or complex unless time is taken to socialize and practice the process in question. This rings as true for communications as elsewhere in the company.

  1. Create a handbook.

The best way to approach communications is to have a content and brand handbook. Make sure it includes editorial and branding guidelines, as well as a review of audience and content insights. This will help your teams stay on brand and be audience centric when drafting communications. Practice to ensure there’s an approval flow outlined for each type of communication.

  1. Automate your workflow.

By streamlining and automating workflow, you can eliminate back-and-forth emails, phone calls and manual processes that waste time and money. Additionally, you provide all stakeholders visibility and documentation throughout the process. Simply put, there is no downside to automating workflow.

  1. Make it habitual.

Every year, our team works on a list of habits we will follow. We set rules and procedures everyone must follow in order to track accomplishments and benchmarks. Examples include whether newsletters will be weekly or monthly, if reports will happen every quarter, when personnel evaluations will take place, etc. Establishing a habit helps everyone know when to slow do wn and when to pick up the pace.

  1. Use recipe cards.

Digital communications methods are constantly evolving. When refining a new process, I find that the concept of recipe cards to be extremely useful and practical, from listing out the main ingredients (tools, content types, hours of work) to mapping out execution steps, and what the results should be, using real-life examples. This approach is also highly effective for internal buy-in.

How to Use Project Templates:

Word documents are great for when you’re taking your initial steps to project planning and communications, while Excel spreadsheets lend themselves more to tracking and reporting on a project.

But these static and standalone documents really start to show their worth when incorporated in your online project management tool. You can import them and they can then run on your computer. There are several ways to integrate downloadable templates into your PM tools.

If you import these documents into your online PM tools, you’re going to find that you’ll be saving time and money. Why is that? Jennifer has four answers to that question.

  • Online tools provide consistency. Everyone on your team will be using the same templates, so your processes will be streamlined. You won’t have to translate data from one person’s documents into another.
  • Online tools allows off-line options, too. You can easily export your online data into offline spreadsheets. Or even download your word documents, too. 
  • Online tools give you the ability to mobilize quickly. Store all your templates in one centralized location, and create new templates based on project plans you have in place. This allows you to quickly start up new projects in minutes, without having to manually create new projects task by task every time. Additionally, your whole team has access to the same plans and documentation, so they can all start working easily and quickly.
  • Online tools can update status changes in real-time. This is the real difference between using templates downloaded on your desktop and importing your templates into your online tools and using them collaboratively with your team. Every time a document is updated, it’s updated for everyone across the organization. And every time a project template is edited, everyone can see the changes. All the data is updated in real-time, so there’s no time lost by having to communicate new project updates to everyone on the team.

Templates are a great tool, but the technology has advanced to such an extent that they are now merely a stepping stone to a greater tool, that being online project management software.

1.    Learning Unit 4

 



SESSION 4

SO 4

PREPARE PROJECT DOCUMENTS FOR HAND-OVER AT THE END OF A PROJECT.

Learning Outcomes

(Assessment Criteria)

Hand-over project documents are prepared in correct format and within agreed time frame.

Hand-over project documents are complete, concise and in the required location and are handed over to appropriate individuals.

A person stepping into your shoes needs core information documented in a concise way.

This sets clear expectations and explains the level of involvement needed once you’re gone (ranging from a very light touch to daily contact). In other words, project handover documents serve as a master checklist and information hub, detailing aspects of the project that are critical to its success.

Project handoff notes should at least cover:

  • Who’s working on your projects
  • What they’re doing
  • A list of key meeting dates or milestones
  • The client’s contact details (and contact preferences).
When do you need to create a handover document?

Handover notes should always be written if you’re taking more than three consecutive days off. If you’re merely taking a long weekend, get people within the team to cover the basics of your role, e.g., running your morning scrum.

Handover letters can also be repurposed; usually copy recent notes and update them with just a few tweaks. Much of the information should still apply if your project portfolio hasn’t changed, meaning simple updates to the status and details, and removing projects you’re no longer looking after.

Project handover checklist

 

Step 1: The prep work

A good handoff process entails:

  1. Informing relevant parties/stakeholders of your absence in advance
  2. Doing prep work with the client before you leave
  3. Creating and sharing your notes at least one day ahead of time
  4. Running through projects in person with your stand-in
  5. Meeting for an official handover back to you
  6. Reviewing and improving the process.

It really helps if your company has an official handover template.

At White October, we use a standardized project handover template across the entire company. This structure holds people accountable and ensures that information is covered at the right level. If your company doesn’t have its own template, now’s the perfect time to create one.

Your first handoff template doesn’t have to be perfect or final. If you keep refining it over time, you’ll end up with something that’s invaluable to your whole company.

Step 2: Keys to a good handoff

Setting up handover notes does not need to be done in one sitting; information that stays relatively unchanged can be added to your notes ahead of time, such as contact information, priorities, important dates, file locations, and a listing of staff and/or resources on the project. Adding to your notes incrementally makes for an easier process and better accuracy. 

Always inform your client

At least a week before you go, tell clients that you’re going to be away and introduce them to the main point of contact who will be your stand-in. If the client knows ahead of time that you’ll be gone, they might be able to adjust their plans and minimize the amount of work being done during that time or delay meetings on the calendar during your absence.

Ask your client if there are any deliverables they need from you beforehand. Larger clients may want to have a planning meeting to draft the next sprint or change dates of meetings to ensure your involvement.

If your client is apprehensive at the thought of someone else managing their project, include your stand-in during these early discussions to help build a rapport. You could also undertake a basic risk analysis to determine what the client is concerned about, then discuss these points with your stand-in. Together, you can formulate a plan on how the team should work to mitigate these issues.

Always do an in-person walk through

Share your handover notes at least a day before you leave and walk through them with everyone you’ve listed as responsible for the project. It’s important you do this in person (or on a call) so you can clarify ambiguities and answer questions before you go. At White October, we also share handover notes more widely with our fellow production colleagues.  

Always ensure that every action has an owner

Things won’t get done if no one is held responsible. If your handover document mentions someone, make sure you’ve had an in-person run through to cover what you’re asking from them.

Always prioritize

Think about the most important activities for this client and make them known. In most cases, the person stepping in for you is managing their own work on top of helping you out. They might even have a different job role and be unfamiliar with how to fill your position.

One way to prioritize situations for them is to think about the biggest risks, such as

  • Not meeting a deadline
  • Exceeding the budget
  • Missing a weekly status update for the client.

Which of these would have the biggest impact on the project? Determine critical scenarios that could affect the project, then decide how to rank them.

Step 3: Picking up when you get back
Pre-book a status meeting

Before you go away, schedule a meeting for the date you return to the office and include the people overseeing your work. This official handoff helps you get back up to speed with your projects and gives them a chance to inform you on everything that happened while you were away. Another significant benefit is that it helps ensure you’re prioritizing the right clients and activities during those first days back. When you have hundreds of emails in your inbox, it’s difficult to know where to concentrate your time and energy. A quick review of each project will help you focus where it’s needed most.

Request updated handover notes

Another way to ease the transition is for your colleague to prepare a set of handover notes for you. Using your original notes as a reference should not only clarify changes that have occurred, they can even be used as a guide in your status meeting!

Check in with your client

Don’t forget to email clients when you return, no matter how tempting it is to lay low and ease into your routine. It’s professional and courteous to confirm that you’ve returned and that you’re once again their main point of contact. If the client is expecting you to immediately transition to full speed, you may need to reassure them that they are a high priority, then explain that you want to be thorough in catching up on communications related to their project. Many will be fine after hearing that, enabling you to hold off until later in the week after you’ve made a dent in your backlog.

Step 4: Plan ahead for next time

Don’t forget to ask people for feedback on your handover notes—what was useful, what was missing, etc.—so you can continue to improve your template. This also provides an opportunity to personally thank each person for their contribution to your project while you were away. Whether you’re a producer, project manager, team lead, or resource manager, handovers will train you to see projects in a new light. Having to distill the most critical aspects of your project into a concise guide will ultimately improve how you write documentation and coordinate project plans going forward.  

 



SESSION 5

SO 5

DESCRIBE AND EXPLAIN PROJECT DOCUMENTATION MANAGEMENT PROCESS.

Learning Outcomes

(Assessment Criteria)

The documentation system requirements are explained in relation to quality, access and traceability.

Document control requirements are explained.

Storage and retrieval functions and processes are explained.

Benefits of project documentation management are explained in terms of system design and use.

Requirements Documentation

Projects cannot be implemented without the proper requirements. Requirements documentation in project management describes how each requirement meets the business needs for the project. Requirements should be measurable, traceable, consistent, complete and acceptable to the stakeholders.

There are many benefits of this particular project management output. It captures the project requirements and ensures that they meet the expectations of the stakeholders. It helps understand what is needed to produce the desired result of the project or the final product. Moreover, the requirements also help the project team plan on how they should implement the quality control for the project.

There are several components of the requirements documentation that project managers need to know and these include the traceability of the business and project objectives, rules for the organization and its guiding principles.

The requirements documentation need to follow a specific format. The format can range from a simple document that lists the requirements that are categorized by the stakeholder or it can be elaborate and contain a detailed description of the project, an executive summary, and several attachments to support the project.

Traceability is the capability to trace something. In some cases, it is interpreted as the ability to verify the history, location, or application of an item by means of documented recorded identification.

Other common definitions include the capability (and implementation) of keeping track of a given set or type of information to a given degree, or the ability to chronologically interrelate uniquely identifiable entities in a way that is verifiable.

Traceability is applicable to measurement, supply chain, software development, healthcare and security.

Document control requirements are explained.

 

Document Control Requirements

Document control is used to increase the efficiency of a particular organization by controlling the versions of a particular document that are released. This ensures employees all have the right versions of a particular document. ISO standards are a set of international standards that help standardize processes within businesses and also help businesses keep adequate records, according to Intelex. Companies must understand what standards apply to their particular business and use document control measures to ensure these standards are followed.

Minimizing Papers

Document control often seeks to reduce or eliminate paper documents so the documents have less impact on the environment and reduce company costs, according to Intelex.

Ease of Access

Ease of access is also an important aspect when dealing with document control. Companies will have an easier time keeping information up-to-date if they can, for example, easily access that information from the Internet.

Categorization

Documents must be organized into logical categories. By doing so, the appropriate documents for a given situation can be found. These documents are often organized into categories such as policy, procedure, work instruction and forms and records, according to 9000 World. The ISO requires relevant documents be available when needed.

Expertise

Documents must be reviewed extensively before they are finalized. In many cases, these documents should be reviewed by more than one individual, both for oversight purposes and to ensure mistakes are not made by having an extra pair of eyes to catch the mistakes, according to 9000 World. The review cycle should include workers involved in the particular documents and managers who oversee them, since they will have more expertise and will be able to understand mistakes. ISO requires documents be approved for adequacy prior to issue.

Revision Status

ISO standards require documents be reviewed and updated whenever necessary. Conditions in a particular company will inevitably change, and updates must be added to the documents when logical. The revision status must be placed on the document, according to 9000 World. These statuses include draft, review and approval. Obsolete documents that are kept by the company for whatever reason must be identified as obsolete.

Legibility

 Documents must always be readable and accessible by those who need them, according to 9000

World. ISO requires the documents be updated when they receive wear or damage.

Distribution

Not only should documents that originate from a company be controlled, but the documents originating out of the country should also be controlled, according to 9000 World. Many documents, such as user documents for products and machinery owned by the company, must be clearly marked and distributed to the right individuals in the company.

Storage and retrieval functions and processes are explained.

 

Electronic Document Management Systems include the digitization, indexing, storage, processing, and retrieval of document images configured to meet the user’s work process needs. Document Management includes managing workflow. Workflow includes both the flow of documents and the flow of the user’s work. Workflow Analysis requires a thorough understanding of user’s business process (system) and the costs related to the work process. It also includes an understanding of the costs of reengineering the work processes to optimize productivity and minimize operational costs, relative to the user’s application.

The goal of document management is to minimize operating costs and optimize the value of information. The ultimate goal is to increase a user’s competitiveness in the enterprise or global economy (marketplace).

An Electronic Document Management System (EDMS) when properly designed and integrate, will minimize the cost of document processing while increasing the value of the information on the documents (images) being processed. Information Services manages this function and the information on the documents. They are driven by the same motivation as other who use information in their business or enterprise. The success of information enterprises depends on the ability to capture, store, and retrieve the information contained on the documents within the EDMS. Information stored in Electronic Document Management Systems have additional value since it is in image format and can be retrieved as required by all qualified users. This information is available to all qualified users on the network who have the required level of security and have access to the passwords.

Thus, the understanding of the convergence of a number of enabling Information and Image Technologies and Strategic Business Factors are essential for the successful implementation of an Electronic Document Management System. This knowledge is prerequisite for Information Managers of the next millenium and next year.

Imaging an enabling technology in a EDMS converts paper-based documents and transforms them into digital images for storage and retrieval. Over the last decade; document imaging has evolved from a basic storage and retrieval application into the management of images and associated text and data files in workflow enhanced, Electronic Document Management Systems (EDMS). The EDMS Systems Methodology is today fully integrated into an enterprise’s work processes. EDMS have evolved from standalone systems to automated electronic digital systems processing complex “real world” forms in “real time”. These systems are a far cry from the initial proprietary desktop systems. Yet, these single function systems receive most of the misleading press and cause most of the confusion and turbulence in the Imaging and Information Industry. This paper is premised on business applications that require accurate data capture, reliable forms processing, and sound and effective information indexing, storage, and retrieval.

Scanning

The system input component for digitizing images is the scanner. Scanners convert the physical image on a document into a digital image that can be processed at high speed by the computer. Document images are compressed into a standard image file format to minimize storage and bandwidth issues.

With current client/server architectures, scanners are often integrated with a dedicated scanning workstation or server. When scanning offline; the images may be stored on magnetic disk, magnetic tape, or optical disk. When required they can be transmitted to optical disk storage (optical disks are storage devices for images). The images transmitted offline storage are usually retrieved for later processing. Today, users have many choices of how to store images on the system. Scanners are capable of both image scanning and data capture. These components contain forms processing and OCR capabilities which is mostly in the form of software or hybrid electronics. After the image is digitized, it must be indexed. Image indexing involves the entering of data or symbols which describes or tags the image for subsequent retrieval and use. This index data can range from serial numbering, to a bar code, to lengthy alpha numeric contexture description. Traditionally, index data is keyed by operators manually from a keyboard. However, with the current scanners using OCR technology manual indexing can be automated and the cost substantially reduced through recognition of specific zoned areas or bar codes on the document. Indexing data is stored in a database tagged to the unique images. This indexing data is used to retrieve images. The “data index” is a function of the image database. Some index databases record the image transaction history. Some index databases link the image files to existing databases from other applications.

Storage

With EDMS, two factors influence the selection of storage components:

(1) how long the images need to be stored and

(2) how often the images need to be retrieved.

For long term storage, microfilm or optical storage is usually preferred over magnetic storage. Magnetic storage is used in applications that require a high retrieval rates but relatively low volume. Optical storage is recommended for high-volume, high-retrieval rate environments. The choice of rewritable versus write-once (WORM) optical disks depends on the user application.

Compact disks and optical disk platters are manufactured in standard sizes. The most popular sizes are 5.25″ and 12″. Optical Disks use a high-power laser beam to etch data into the disk; a low-power laser beam is used to read the data. A 12″ disk can usually hold about 2GB of data or about 50,000 images of standard business letters. This is about 25 filing cabinets full of paper. Optical Jukeboxes, retrieve disks under program control from racks and load them onto drives under program control. Jukeboxes can store as many as 200 optical disks. This is equivalent to ten million paper business documents.

For long-term storage, optical disk storage has not been proven equal to magnetic tape for longevity. However, there storage limitation can be overcome through periodic backups. Records Management procedures that coordinates optical disk storage with paper and film use the image index database to locate documents.

To increase access speeds, the image index database is often stored on magnetic disk, in addition to optical disk. The index database may also be stored on a separate dedicated server or on a host mainframe, independent of the imaging system.

Market Leaders 

There have been many acquisitions and mergers. Many companies, from small operations to larger companies like LaserData (acquired by Kofax), have disappeared from the marketplace. Micro Dynamics was acquired by FormMaker Software. Metters Industries, Inc. acquired Blueridge Technologies. FileNet acquired Saros Corp. Digital Systems International, a leading call center supplier, acquired ViewStar Corp. The new company is known as Mosaix, Inc. Wang sold its software business to Eastman Kodak. TextWare acquired Symbus and then merged with Wheb Systems to become Captiva Software and the list goes on – the end is not insight until there are 3 or 4 viable suppliers.

Eastman Software

Eastman Software was formed in March 1997 when of Eastman Kodak acquired Wang’s software business. Eastman Software markets the OPEN software suite: OPEN/image, for document imaging; OPEN/cold, computer output to laser disk software; and OPEN/workflow workflow management software. OPEN/image is a suite of application development tools for building LAN-based imaging applications or modifying existing applications to incorporate images.

FileNet

FileNet a pioneer in document management products is a leading supplier of client/server-based solutions for document image management and workflow. FileNet ranks among the top independent software companies in the United States. The firm reports an installed base of approximately 1,200 systems at over 750 sites in 50 countries. Initially FileNet was a supplier of proprietary turnkey solutions. Today, FileNet’s is a leading global supplier of client/server-based, open document imaging systems to industrial and government organizations, worldwide.

IBM

IBM is a leading supplier of image processing systems and services, with over 2,300 ImagePlus installations worldwide. IBM’s imaging strategy is to integrate image and line-of-business applications into a common information infrastructure. IBM’s existing line of document image management systems includes ImagePlus VisualInfo, ImagePlus/400 WorkFolder Application Facility (WAF), and ImagePlus MVS/ESA Folder Application Facility (FAF). ImagePlus systems are based on standard operating systems, networking software, and database managers.

Optika Imaging Systems, Inc.

Optika provides high-performance, integrated client/server imaging software and development tools to users in paper-intensive industries worldwide. With FilePower, Optika provides a fully integrated suite of products based on a core set of document storage and delivery technologies. The firm has taken advantage of an open computing environment. Optika provides solutions to vertical markets, particularly retail, financial, insurance, and health care. Its software is designed for rapid installation and rapid return on investment. Optika’s plan includes the Internet. The firm has released FPweb and plans to fully support standard implementations of Web servers and browsers. Its workflow capabilities are also being extended to the Web.

Mosaix, Inc.

Mosaix, Inc. was formed from the merger of ViewStar Corp. and Digital System International (DSI). ViewStar is an early pioneer in PC LAN-based image and workflow management software. Mosaix is using the strengths of ViewStar and DSI to become a leader in the Enterprise Customer Management applications. Technological developments in computer telephony and the increasing use of the Internet and intranets for customer service have been addressed by Mosaix.

Market Trends

Today, users demand complete solutions for their Document Processing Applications that will enable them to store, retrieve, and use image-based information. These solutions require an integrated combination of imaging and information technologies. Based on this, the U.S. Information and Image Management Market this year will see the continued convergence of document imaging, document management, forms processing, workflow, and storage products in integrated systems what will be supplied primarily by Systems Integrators and VARs users.

The Internet is widely used and is being used more. Workflow on the Web and solutions for Web-enabled document management and imaging are being supplied by most of the major suppliers. This need was spawned by the emergence and explosive growth of corporate intranets, Web-enabled document management has become a major trend. In 1999, most EDMS products will be Web enabled.

Document Imaging will become a major application in the computing and communications industries. The imaging, document management, forms processing, storage, and workflow markets will continue to overlap and converge. The one factor likely to have the greatest impact, is the Internet, as Web and intranet applications are increasing exponentially. Most document management systems are expected to be Internet compliance before the start of the next millennium.

The “best-of-breed” philosophy for storage and retrieval is a reality. Customers demand complete reliable and proven solutions to “real world” business problems rather than technology promises. Systems Integrators today, are teaming with suppliers of storage and retrieval systems and services to create complete EDMS solutions utilizing best-of-breed components (i.e. indexing, storage, and retrieval) to serve the current and future needs of the user.

The Importance of Information Storage & Retrieval Systems in an Organization

Information is a critical business resource and like any other critical resource must be properly managed. Constantly evolving technology, however, is changing the way even very small businesses manage vital business information. An information or records management system — most often electronic — designed to capture, process, store and retrieve information is the glue that holds a business together.

Regulatory Compliance

Unlike a public company, a privately held business isn’t subject to most federal and state government compliance requirements. Despite this, many choose to comply voluntarily, both to provide transparency and enhance the business’s public image. In addition, small-business owners must store and maintain tax information so, in case of an audit, the information is readily accessible. A well-organized information storage and retrieval system that follows compliance regulations and tax record-keeping guidelines significantly increases a business owner’s confidence the business is fully complying.

Efficiency and Productivity

Any time a business owner or employees spend searching through stacks of loose files or spend trying locate missing or misfiled records is inefficient, unproductive and can prove costly to a small business. A good information storage and retrieval system, including an effective indexing system, not only decreases the chances information will be misfiled but also speeds up the storing and retrieval of information. The resulting time-saving benefit increases office efficiency and productivity while decreasing stress and anxiety.

Improve Working Environment

It can be disheartening to anyone walking through an office area to see vital business documents and other information stacked on top of file cabinets or in boxes next to office workstations. Not only does this create a stressful and poor working environment, but if customers see this, can cause customers to form a negative perception of the business. Contrast this with an office area in which file cabinets, aisles and workstations are clear and neatly organized to see how important it is for even a small business to have a well-organized information storage and retrieval system.

Electronic vs. Manual System

Although a very small business may choose to institute a manual system, the importance of electronic information storage and retrieval systems lie in the fact that electronic systems reduce storage space requirements and decrease equipment and labor costs. In contrast, a manual system requires budgetary allotments for storage space, filing equipment and administrative expenses to maintain an organized filing system. Additionally, it can be significantly easier to provide and monitor internal controls designed to deter fraud, waste and abuse as well as ensure the business is complying with information privacy requirements with an electronic system.

Benefits of project documentation management are explained in terms of system design and use.

 

Benefits of doing project documentation

Apart from the above reasons, project documentation offers additional valuable benefits to project managers, including:

  • Helping to create very detailed Work Breakdown Structures which result in drafting realistic, achievable schedules.
  • Reduction in unnecessary surprises and risks.
  • Helping to predict the project’s progress during execution and take pro-active measures to tackle challenges.
  • Providing a clear understanding of the project requirements to all the stakeholders.

Bottom line – change your perception about doing project documentation and start focusing more on this area.  You will start seeing the benefits in no time at all and you will increase the likelihood of project success with less stress on yourself and the project team.

In this post, discuss the top 7 benefits of document management systems, including:

  1. Reduced Storage Space
  2. Enhanced Security
  3. Improved Regulatory Compliance
  4. Easier Retrieval
  5. Better Collaboration
  6. Better Backup and Disaster Recovery
  7. And the “Intangibles”
  1. Reduced Storage Space

Commercial property costs are increasing and so is the expense to store paper documents. A software-based document management solution (DMS) that can reduce the need for file cabinets, boxes and storage bins is a valuable asset to any enterprise, freeing up precious office space. Documents that have to be kept as hard copies can often be stored in less expensive locations, such as an offsite warehouse or vault. 

  1. Enhanced Security

Document security is vital to many enterprises. DMS provides better control over sensitive documents. Access to documents can be controlled at the folder level for different groups or individuals. Also, a DMS leaves an audit trail of who has viewed a document, when it was accessed, and how it may have been modified. Managed documents are highly traceable and can be tagged to allow for automated alerts.

  1. Improved Regulatory Compliance

Compliance requirements for certain documents can be quite complex. Non-conformance can lead to fines, revoked licenses, and in some cases criminal liability. Federal and state regulatory regulations such as Sarbanes Oxley and HIPAA mandate strict security and privacy guidelines. DMS reduces the risk of non-compliance. Records retention schedules, for example, can be automated, and new documents can be more easily classified and stored.

  1. Easier Retrieval

Searching for and retrieving documents can be very time consuming – and we all know time is money. In fact, PWC published these statistics illustrating the costs related to the average time spent managing paper documents:

  1. Organizations spend R200 in labor to file a document, R1200 in labor to find a misfiled document, and R2200 in labor to reproduce a lost document.
  2. 7.5% of all documents get lost; 3% of the remainder get misfiled.
  3. Professionals spend 5 to 15% of their time reading information, and up to 50% of their time looking for it.

A document management solution, specific for your enterprise, can be a powerful, time-saving tool. Depending on the solution implemented, a DMS can retrieve files by a word or phrase in a document – full text search, or DMS can apply index categories to a document or folder. Easier integration with business applications facilitates access to critical information. DMS also gives the opportunity to access documents remotely. As long as there is internet connection, documents can be accessed from virtually anywhere. 

  1. Better Collaboration

With DMS, information sharing and collaboration can be a lot easier. Documents captured from different sources can be accessed from multiple locations. Electronic imaging makes sharing documents over a network via email or the Internet possible. DMS provides greater visibility to business processes and can allow for better workflow monitoring. Authorized access by external users can be allowed and monitored. DMS also offers Version Control which allows for older versions of the same document to be recovered if needed. This feature is important if several parties work on the same document and there are changes made to a document that were not authorized or meant to happen. 

  1. Better Backup and Disaster Recovery

Any document management solution should include a data backup and disaster recovery plan. With digital archiving as a backup, paper documents are protected from fire and flood and other disasters. With a DMS, documents are highly traceable and can be tracked within a range of criteria.

Also, because imaged documents are centrally stored they cannot be lost or misplaced after viewing. Documents are less likely to be misfiled, and if so they are easier to locate with cross-indexing. Documents can be digitized and archived at their point of entry into the system.

  1. The Intangibles

Just a few of the intangible benefits of a document management system include: 

  1. Flexibility
  2. Competitiveness
  3. Improved client relations
  4. Peace of mind

Time is valuable, and time saved is a definite benefit of DMS that often translates directly into increased productivity. Faster and more efficient document retrieval can boost staff morale and increase client satisfaction. Also, document management solutions are scalable to meet the changing needs of any enterprise.

Proper document management systems can bring many benefits to you and your office. Take initiative and schedule a demo today to see how a tailored document management solution can help you by improving business processes and increasing efficiency. 

 

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