DOCUMENTATION MANAGEMENT

A document is a tangible or digital form of information that captures and records various
events, transactions, or things in a structured manner to ensure that the information is preserved
and accessible for future reference or use. Documents serve as repositories of knowledge, data,
or evidence, facilitating communication, decision-making, and organizational memory.

 Usually, a document is written (text), but a document can also be made with pictures and
sound.

 Documents may also include audio and video files, emails, faxes, reports, photos, graphics and
other images, etc.

 Documents come in the form of both paper and electronic.

 Some documents are created by organizations while some documents are received by external
parties (Documents originated internally or externally.)
 TYPES OF DOCUMENTS

Externally Originated Documents:

Externally originated documents are those that originate from sources outside of the organization.
These documents are typically received by the organization from external parties such as
customers, suppliers, government agencies, or other stakeholders.

E.g. Quotation, Bank deposit slip, relevant acts enacted by the parliament

Internally Originated Documents:

Internally originated documents are those that are created, generated, or produced within the
organization for internal purposes. These documents are used to establish and communicate
policies, procedures, guidelines, instructions, records, or reports.

E.g. policies, procedures, work instructions, operational documents, and records.

TYPES OF DOCUMENTS IN TYPICAL ORGANIZATION

1. Policies (Top Management)

• Policies are formal, written statements that articulate the overall intentions, directions,
and principles established by top management within an organization.
• Policies provide the overarching framework within which an organization operates. They
establish guidelines, rules, and boundaries that govern various aspects of
organizational behavior, operations, and decision-making.
 • Policies communicate the commitment of top management to fulfill the organization's
vision, mission, values, and strategic objectives.
• Policies ensure that organizational goals and objectives are translated into actionable steps
and behaviors that are consistent with those goals. By establishing guidelines and
procedures, policies help direct efforts and resources toward achieving desired outcomes
and results that are compatible with the organization's strategic vision and mission.

EXAMPLES FOR SOME POLICIES USED IN ORGANIZATIONS

• Workplace Health and Safety Policy

• Employee Leave and Time Off Policy

2. PROCEDURES

Procedures are detailed step-by-step instructions or guidelines that outline the specific
actions, processes, or tasks to be followed to achieve a particular outcome or perform a specific
job function effectively and efficiently.

SOPs are a type of procedure that establishes a set of standardized instructions or protocols for
performing recurring tasks or operations within an organization. SOPs are designed to maintain
consistency, quality, and compliance with established standards.

Procedures, including SOPs, are adopted by employers and communicated to employees to ensure
that everyone understands how to perform their duties in accordance with company standards
and expectations. Employees are trained to use procedures with discretion, applying them
appropriately in their day-to-day work.
TYPES OF PROCEDURES

1. Business Procedures:

Business procedures are guidelines or instructions that dictate how various business
processes or operations should be conducted within an organization. These procedures are
typically aimed at achieving specific business objectives, such as improving efficiency,
ensuring compliance, or enhancing customer satisfaction.

2. Management Procedures:

Management procedures are protocols or guidelines that govern how managerial tasks and
responsibilities are carried out within an organization. These procedures are designed to facilitate
effective decision-making, coordination, and oversight of organizational activities.

3. Technical Procedures:

Technical procedures are instructions or protocols that specify how technical tasks or activities
should be performed within an organization. These procedures are often related to the use of
technology, equipment, systems, or specialized processes.
DIFFERENT BETWEEN POLICIES AND PROCEDURES

3. WORK INSTRUCTIONS

Work instructions are detailed, step-by-step guidelines that describe how specific tasks or
activities must be performed within an organization. These instructions provide precise
instructions for completing tasks accurately and efficiently.

Characteristics:

• Work instructions are typically written by individuals who perform the actual work,
ensuring that they are practical, relevant, and based on firsthand knowledge.
 • They are used to describe basic tasks within a process or procedure, providing clarity on
the sequence of steps, tools, methods, and required accuracy.
• Work instructions may be standalone documents or part of a broader procedure, serving
as a reference for employees to follow during task execution.
• Generally, work instructions have a similar structure to theprocedures and cover the same
elements; however, the work instructions include details of activities that need to be
realized, focusing on the sequencing of the steps, tools, and methods to be used and
required accuracy.

EXAMPLES

• Operating Procedures for Machinery

• Quality Control Checks

4. OPERATIONAL DOCUMENTS

Operational documents are essential tools used within organizations to manage and control
internal processes effectively. They encompass various types of paperwork, forms, registers,
books, and electronic documents that facilitate the smooth functioning of day-to-day operations.

EXAMPLES

Forms

Forms are structured documents designed to capture specific information or data relevant to
organizational processes. These may include job cards, purchase orders, expense reimbursement
forms, leave request forms, and incident report forms.

Registers

Registers are logbooks or record-keeping documents used to track and monitor various activities,
events, or transactions within the organization. Examples include customer complaints registers,
equipment maintenance registers, attendance registers, and inventory registers.
Books

Books refer to bound volumes or notebooks used for documenting financial transactions,
administrative records, or other organizational data. Common examples include voucher books
for recording financial transactions, receipt books for acknowledging payments received, and
logbooks for tracking shipments or deliveries.

e-Forms

e-Forms, or electronic forms, are digital documents used for capturing and processing data
electronically. These forms may include data entry forms for electronic invoices, online application
forms, customer feedback forms, or employee performance evaluation forms.

External Forms

External forms are documents obtained from external sources, such as government agencies,
regulatory bodies, or business partners. Examples include company registration forms, tax
declaration forms, import/export declaration forms, and licensing applications.

5. RECORDS

Records are essential documents that serve as evidence of past activities, transactions, or events
within an organization. They provide a historical account of operations, decisions, and outcomes,
serving various purposes such as documentation, compliance, analysis, and decision-making.

Characteristics:

• Records are typically organized, maintained, and stored according to established

procedures and retention policies to ensure accuracy, integrity, and accessibility.
• They may exist in various formats, including paper-based documents, electronic files,
databases, or multimedia recordings, depending on the nature of the information being
recorded.
• Records may be required for legal, regulatory, audit, or operational purposes, and they
must be kept confidential, secure, and accessible only to authorized personnel.
EXAMPLES OF RECORDS

1. Financial Records:

• Income statements, balance sheets, cash flow statements, and tax records
document financial transactions, expenditures, revenues, and assets of the
organization.

2. Employee Records:

• Personnel files, including employment contracts, resumes, performance

evaluations, training records, and payroll records, document employee history,
qualifications, and compensation.

3. Customer Records:

• Customer databases, sales orders, invoices, and customer service logs record
interactions, transactions, preferences, and feedback from customers.

4. Inventory Records:

• Inventory databases, stock registers, purchase orders, and shipping manifests

document the movement, quantity, and status of goods or materials within the
organization.

DOCUMENTS AND RECORDS DIFFERENT

ASPECT DOCUMENTS RECORDS

Purpose Offer guidance or explain actions Provide verification of things that
to be carried out have happened.
Communication Communicate information via Capture information on
policies, procedures, etc. worksheets, forms, labels, etc.
Changeability Need updating and can be Permanent, cannot be changed
changed
Usage Used for guidance, training, Used for historical reference,
reference, and decision-making auditing, and compliance
WHY DO PEOPLE SOMETIMES FAIL TO DOCUMENT ACTIVITIES OR EVENTS PROPERLY?

1. People don’t relate records to auditing:

• Some individuals may not understand the connection between documenting

activities and the auditing process. They may fail to recognize that thorough
documentation serves as evidence during audits to verify compliance, track
performance, and ensure accountability.

2. People don’t understand the legal requirement of documentation:

• Lack of awareness or understanding of legal requirements regarding

documentation can lead to inadequate record-keeping practices. Individuals may
not realize the importance of maintaining accurate records to comply with industry
regulations, contractual obligations, or legal standards.

3. People don’t clearly understand what, how, or when to document:

• Uncertainty or confusion about what information needs to be documented, how to

document it effectively, and when to create records can result in inconsistent or
incomplete documentation. Without clear guidelines or training on documentation
practices, individuals may struggle to capture relevant details accurately.

4. Procedures may not be completely understood or followed:

• Inadequate training or comprehension of organizational procedures and protocols

may hinder individuals from following established documentation processes. If
procedures are complex, poorly communicated, or not consistently enforced,
individuals may overlook or incorrectly execute documentation requirements.

5. People aren’t always held accountable:

• When there are no repercussions for failing to document activities or events

properly, individuals may perceive documentation as optional or low-priority.
Without accountability measures in place, there may be little motivation to
prioritize thorough and accurate record-keeping.
6. People will make mistakes:

• Human error is inevitable, and individuals may unintentionally overlook or

misinterpret documentation requirements, leading to incomplete or inaccurate
records. Mistakes such as omissions, errors in data entry, or misclassification of
information can compromise the integrity and reliability of documentation.

7. People don’t always make corrections properly:

• In cases where errors or discrepancies are identified in documentation, individuals

may lack clear procedures or guidelines for making corrections effectively. Failure
to address errors promptly and accurately can perpetuate inaccuracies and
undermine the reliability of the documentation.
 LIFECYCLE OF DOCUMENTS

The life cycle of documents encompasses various stages from creation to disposal, each crucial
for effective management and utilization of organizational records. Here's a description of each
stage:

1. Creation:

Documents are initially created to capture information, record transactions, or document activities
within the organization. This stage involves generating new content, whether it's drafting reports,
filling out forms, or generating electronic records.

2. Indexing:

Once created, documents are indexed or categorized to facilitate organization and retrieval.
Indexing involves assigning metadata or keywords to documents, enabling easy classification and
identification based on content, subject, or other relevant criteria.

3. Storing:

Documents are stored in appropriate repositories or storage systems for safekeeping and easy
access. This stage involves selecting suitable storage mediums, whether physical (file cabinets,
storage boxes) or digital (servers, databases), and organizing documents for efficient retrieval.

4. Access:

Authorized personnel are granted access to documents based on their roles, responsibilities, and
permissions. Access controls ensure that only individuals with the necessary privileges can view,
edit, or manipulate documents, safeguarding sensitive information and ensuring confidentiality.

5. Retrieval:

Documents are retrieved as needed for reference, analysis, or decision-making purposes. This
stage involves locating and accessing documents from storage repositories using indexing
systems, search tools, or retrieval methods tailored to the organization's needs.
 6. Repurpose:

Documents may be repurposed or reused for different contexts or purposes beyond their original
intent. This stage involves extracting relevant information, modifying content, or adapting
documents to meet evolving needs or requirements.

7. Distribution:

Documents are distributed to relevant stakeholders or recipients as necessary for communication,

collaboration, or compliance purposes. This stage involves disseminating documents through
various channels, such as email, intranet portals, or physical distribution methods.

8. Retention:

Documents are retained for a specified period based on regulatory requirements, organizational
policies, or business needs. This stage involves establishing retention schedules, determining the
duration of document storage, and ensuring compliance with retention guidelines.

9. Disposal:

At the end of their retention period or when no longer needed, documents are disposed of
securely to mitigate risks associated with unauthorized access or data breaches. This stage
involves shredding physical documents or deleting digital files in accordance with established
disposal procedures.

10. Preservation:

Documents of historical, legal, or archival significance may undergo preservation to ensure their
long-term accessibility and integrity. This stage involves applying preservation techniques, such
as digitization, conservation, or storage in controlled environments, to protect documents from
deterioration or loss.
BENEFITS OF DOCUMENTATION MANAGEMENT

1. Retention and Organization of Information:

Documentation management ensures that information is systematically organized and retained,

making it easier to locate, access, and reference when needed. This organized approach helps
prevent information overload and enables efficient information retrieval.

2. Ensures Reliable, Consistent Transfer of Information:

By documenting processes, procedures, and guidelines, organizations ensure that information is

transferred consistently and accurately among employees, teams, and departments. This reduces
the risk of miscommunication, errors, and misunderstandings.

3. Supports Effective External and Internal Communication:

Well-maintained documentation facilitates clear and effective communication both within the
organization and with external stakeholders. It serves as a reference point for conveying
information, instructions, policies, and expectations, fostering transparency and alignment.

4. Ensures the Security of Information:

Documentation management includes measures to safeguard sensitive or confidential information

from unauthorized access, disclosure, or tampering. This helps protect the organization's
intellectual property, proprietary data, and client information.

5. Maintains Organizational Memory and History:

Documentation preserves the collective knowledge, experiences, and achievements of the

organization over time. It serves as a repository of institutional memory, allowing future
generations of employees to learn from past successes, failures, and lessons learned.

6. Effectively Streamlines Office Environment:

A well-organized and documented office environment promotes efficiency, productivity, and

collaboration. It reduces clutter, minimizes time spent searching for information, and fosters a
culture of organization and professionalism.
 7. Saves Resources:

Efficient documentation management saves resources by reducing duplication of efforts,

minimizing errors and rework, and optimizing workflows. It streamlines processes, eliminates
unnecessary tasks, and maximizes the use of available resources.

8. Improves Productivity:

Clear and accessible documentation empowers employees to perform their tasks more efficiently
and effectively. It provides guidance, standardizes procedures, and reduces the need for constant
supervision, allowing employees to focus on value-added activities.

9. Supports Compliance:

Documentation management ensures that the organization adheres to regulatory requirements,

industry standards, and internal policies. It facilitates compliance by documenting processes,
tracking activities, and providing evidence of adherence to legal and regulatory obligations.

10. Standardizes the Business Process:

Standardized documentation establishes consistent processes, procedures, and workflows across

the organization. This promotes uniformity, reliability, and quality in operations, leading to
improved performance and customer satisfaction.

11. Helps Preclude Dishonesty and Fraud:

Transparent and well-documented processes and procedures help deter dishonesty and
fraudulent activities within the organization. Clear guidelines, accountability measures, and audit
trails discourage unethical behavior and promote integrity and trustworthiness.
 BENEFITS OF ELECTRONIC DOCUMENT MANAGEMENT SYSTEM

1. Improve Staff Productivity:

EDMS improves staff productivity by significantly reducing the time spent searching for
information. With advanced search functionalities and indexing features, employees can quickly
locate and retrieve documents, leading to faster decision-making and task completion.

2. Reduce Costs Associated with Manual Document Management:

Implementing an EDMS reduces costs associated with manual document management processes,
such as printing, storing, and distributing physical documents. By transitioning to digital
documents, organizations save on paper, ink, storage space, and administrative overhead.

3. Promote Sharing of Knowledge and Information:

EDMS facilitates the sharing and dissemination of knowledge and information across the
organization. With centralized document repositories and collaboration tools, employees can
easily collaborate on projects, share resources, and access up-to-date information, fostering
innovation and collaboration.

4. Enhance Corporate Transparency and Governance:

EDMS promotes corporate transparency and governance by providing a centralized platform for
managing and tracking document access, edits, and revisions. Version control features and audit
trails ensure accountability and compliance with regulatory requirements and internal policies.

5. E-mail and Fax Files Instantly:

EDMS enables users to electronically send documents via email or fax directly from the system.
This streamlines communication processes, eliminates the need for manual printing and scanning,
and ensures timely delivery of documents to stakeholders.

6. Access Documents While Traveling:

With EDMS, employees can access documents securely from anywhere, at any time, using
internet-connected devices such as laptops, tablets, or smartphones. This enables remote
workers, traveling employees, or field staff to stay productive and connected to important
information while on the go.
 7. Publish Documents to CD, DVD, or the Web, as Appropriate:

EDMS allows organizations to publish documents to various formats, including CD, DVD, or web-
based portals, based on their intended audience or purpose. This facilitates document distribution,
sharing, and dissemination to internal and external stakeholders effectively.

CHALLENGES WHEN GOING FOR ELECTRONIC DOCUMENTATION MANAGEMENT

SYSTEMS

1. Financial Costs:

One of the primary challenges of implementing EDMS is the financial investment required. This
includes costs associated with purchasing software licenses, hardware infrastructure,
implementation services, and ongoing maintenance and support. Organizations may face budget
constraints or difficulty justifying the upfront costs of transitioning to electronic documentation.

2. Resistance from Employees:

Resistance from employees can pose a significant challenge when transitioning to EDMS.
Employees may be hesitant to abandon familiar manual processes and adapt to new digital
workflows. Change management efforts are essential to address concerns, provide training and
support, and gain buy-in from staff members.

3. Computer Malfunctioning:

Reliance on technology introduces the risk of computer malfunctioning, system crashes, or

software glitches, which can disrupt document management processes and impede productivity.
Organizations must implement robust IT infrastructure, backup systems, and disaster recovery
plans to minimize the impact of technical issues.

4. New Technologies:

Implementing new technologies and software solutions, such as EDMS, often requires
organizations to navigate complexities associated with learning curves, compatibility issues, and
integration with existing systems. Keeping pace with evolving technology trends and selecting
the right solutions tailored to organizational needs can be challenging.
 5. Disaster Management/Backup in Different Media:

Safeguarding electronic documents against potential disasters, such as data breaches,

cyberattacks, or hardware failures, presents a critical challenge for EDMS implementation.
Establishing comprehensive disaster recovery plans, backup strategies, and redundant storage
systems across different media (e.g., cloud storage, on-premises servers) is essential to mitigate
risks and ensure data integrity.

6. Information Security/Privacy:

Ensuring the security and privacy of sensitive or confidential information stored in electronic
documents is paramount for organizations adopting EDMS. Addressing concerns related to data
breaches, unauthorized access, compliance with privacy regulations, and maintaining data
confidentiality requires robust security measures, encryption protocols, access controls, and
ongoing monitoring.

7. Administrative Procedures:

Transitioning to electronic documentation entails revising and updating administrative

procedures, policies, and workflows to align with digital processes. This includes establishing
document management protocols, naming conventions, version control practices, and access
permissions. Ensuring consistency, compliance, and user adherence to administrative procedures
can be challenging during implementation.