EDRMS Pre implementation project plan


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EDRMS Pre implementation project plan

  1. 1. Developing a Project Plan for Pre-Implementation of an EDRMS 4 th Annual Electronic Document & Record Management Conference Wellington, New Zealand 4 - 6 December 2006
  2. 2. Learning Outcomes <ul><li>Assess if your business is ready for EDRMS </li></ul><ul><li>Identify early risk factors to ensure successful EDRMS implementation </li></ul><ul><li>Widely promote the benefits of electronic recordkeeping from the top down </li></ul>
  3. 3. Take Away Toolkit <ul><li>Records Management Survey for BNA </li></ul><ul><li>Risk Management Identification & Analysis Tools </li></ul><ul><li>Strategic Communication Framework </li></ul>
  4. 4. Presentation Outline <ul><li>Determining Business Needs – preparing in advance for an EDRMS </li></ul><ul><li>Risk and Records – it makes good business cents </li></ul><ul><li>Selling your Soul or your Services - how to get your foot in the door with senior management </li></ul>
  5. 5. Determining Business Needs
  6. 6. Determining Business Needs <ul><li>gain a holistic view of how the business operates from the top down </li></ul><ul><li>develop a ‘business benefits’ mindset to promote the importance of good records management regardless of their media </li></ul><ul><li>be prepared for senior management negativity, especially when you need to ask for a share in the budget for EDRMS </li></ul>Understanding your organisation in context will assist you to
  7. 7. Determining Business Needs <ul><li>Administrative Nature – Who are you? (corporate culture/identity) What is the core business that you do? (business objectives / outcomes) Why do you provide a service </li></ul><ul><li>Legislative Environment – Who are you accountable to? What are your legal obligations, Why be compliant (risks – financial and other) </li></ul>Discover the WWW (Who, What & Why)
  8. 8. <ul><li>Business Framework – Who do you report to? What do you look like (organisation structure), Why do you exist? (internal & external stakeholders/customers) </li></ul><ul><li>Social Scene – Who uses your services? What are the expectations (community needs, internal & external interests), Why create, maintain and preserve your records (use & access beyond today) </li></ul>Determining Business Needs
  9. 9. Determining Business Needs Key Steps involved in conducting a BNA <ul><li>Consult with senior management to gain a cultural understanding of corporate values, goals and expectations </li></ul><ul><li>Read annual reports, business / strategic plans, policy, procedure, websites, intranets </li></ul><ul><li>Undertake a Records Management Survey to assess staff awareness and identify areas for improvement </li></ul><ul><li>Review other business systems and information systems </li></ul>
  10. 10. <ul><li>Align your outcomes to business goals, strategies, best practice standards, policy, community expectations </li></ul><ul><li>Document your findings in a formal report for tabling to senior management </li></ul>Determining Business Needs
  11. 11. Determining Business Needs A comprehensive BNA will Identify <ul><li>The functions and activities performed by the organisation </li></ul><ul><li>Key stakeholders and customers </li></ul><ul><li>Potential business risk </li></ul><ul><li>Peoples perceptions to recordkeeping, records management and business information </li></ul><ul><li>Exposure of weaknesses in business information systems </li></ul><ul><li>Commitment and resources required to implement an EDRMS </li></ul><ul><li>An action plan for best practice records and information management </li></ul>
  12. 12. Determining Business Needs RIM and Business Analysis <ul><li>Underpins best practice for effective recordkeeping and management of business information (data, documents, objects, information, records) </li></ul><ul><li>Assists in the development of policy, procedures, guidelines and business rules to maintain consistency </li></ul><ul><li>Supports the development of records management tools (business classification scheme, thesauri, records disposal schedules) </li></ul><ul><li>Provides the foundation for reviewing work process and automation of workflow in EDRMS to improve business productivity and efficiency </li></ul>
  13. 13. Determining Business Needs <ul><li>How many electronic documents will the system store = space, configuration & cost </li></ul><ul><li>How many users will use the system concurrently = licences, server size </li></ul><ul><li>Will all business groups use the system, is there public interfaces = classification, security </li></ul><ul><li>Review of existing business process = functional requirements </li></ul><ul><li>Regulatory environment = compliance </li></ul><ul><li>Integration with other business systems = software issues, migration platforms </li></ul>EDRM and Business Analysis
  14. 14. Risk and Records
  15. 15. Defining Risk <ul><li>What it is: </li></ul><ul><li>the chance of something happening that will have an impact upon objectives </li></ul><ul><li>What it means: </li></ul><ul><li>risk is measured in terms of consequence and likelihood </li></ul>
  16. 16. <ul><li>Records (both paper and electronic) can not be found and made available in the event of litigation therefore exposing the organisation to potential legal claims and financial ruin </li></ul><ul><li>Records are not systematically disposed of using an approved records retention and disposal schedule in order to meet legal and regulatory obligations </li></ul><ul><li>Records are not covered under a security policy to prevent unauthorised access or misuse </li></ul>Risk Can Arise if
  17. 17. Risk Can Arise if <ul><li>Records are not protected in the event of disaster arising from environmental, personnel or equipment failure </li></ul><ul><li>The integrity and authenticity of records can not be relied upon as evidence of accountable business operation, therefore leading to issues relating to their legal admissibility and evidential weight in a court of law </li></ul>
  18. 18. Mismanagement of Business Records and Information can lead to <ul><li>Injury or Death </li></ul><ul><li>Business interruption </li></ul><ul><li>Loss of original records with cultural and historical significance </li></ul><ul><li>Inability to reconstruct vital records, data or information </li></ul><ul><li>Unacceptable cost for record or data reconstruction </li></ul><ul><li>Inability to defend or initiate litigation </li></ul><ul><li>Compliance penalties </li></ul><ul><li>Damage to public image </li></ul>
  19. 19. Which can lead to <ul><li>Financial loss </li></ul><ul><li>Share market loss </li></ul><ul><li>Business closure </li></ul>
  20. 20. Examples of Injury or Death <ul><li>Mine shaft in Quecreek, Pennsylvania floods. Twelve men trapped (record versioning issue) </li></ul><ul><li>Barricade collapse in Australian mine. Three miners killed (authentic format issue) </li></ul><ul><li>Boiler explosion in oil and gas processing plant. One man killed (maintenance records incomplete) </li></ul>
  21. 21. Examples of Business Interruption <ul><li>Tenement licence renewal forgotten. Operations cease forthwith (reliance on corporate memory not documentation) </li></ul><ul><li>Oil rig exploration permit expires. No one knows. An Act of Parliament required to reinstate a ‘special permit’, so 140 people don’t lose their jobs (compliance obligations unknown) </li></ul>
  22. 22. Example of Inability to Reconstruct Records & Business Information <ul><li>World Trade Centre blown up. Vital records and all information goes with it (disaster) </li></ul>
  23. 23. Unacceptable Cost for Record Reconstruction <ul><li>Private national company pays $15million from </li></ul><ul><li>1990 – 2005 re-creating records it cannot find </li></ul><ul><li>AWB pays $16 million to find documents for the Cole inquiry </li></ul>
  24. 24. Examples of Compliance Penalties <ul><li>Enron demise leads to sackings, suicide, plea bargaining and jailing for Enron employees and executives also resulting in Arthur Andersen collapsing </li></ul><ul><li>Martha Stewart found guilty of insider trading. She faces one to twenty years in prison </li></ul><ul><li>In New York, the defence begins closing arguments on the trial of former top officers of Tyco International </li></ul>
  25. 25. Reducing Risk <ul><ul><li>Reduction of direct costs </li></ul></ul><ul><ul><li>Gains in productivity and efficiency </li></ul></ul><ul><ul><li>Protection from future costs </li></ul></ul><ul><ul><li>Generation and maximisation of income </li></ul></ul><ul><ul><li>Increased value of intellectual assets </li></ul></ul><ul><ul><li>Enhanced compliance procedures </li></ul></ul><ul><ul><li>Explicit support of corporate goals and objectives </li></ul></ul><ul><ul><li>Synergy with other improvement initiatives </li></ul></ul>Strategic Business Benefits
  26. 26. Risk Management Objectives <ul><ul><li>Improves compliance </li></ul></ul><ul><ul><li>Reduces litigation </li></ul></ul><ul><ul><li>Preserves corporate reputation </li></ul></ul><ul><ul><li>Maintains business continuity </li></ul></ul><ul><ul><li>Provides safety of individuals </li></ul></ul>
  27. 27. Risk Management Creates Business Value <ul><ul><li>Decreases in current costs </li></ul></ul><ul><ul><li>Increases in income through acquisitions and divestments being made easier, faster and more profitable </li></ul></ul><ul><ul><li>Prevention of future costs </li></ul></ul><ul><ul><li>Protection of valuable assets </li></ul></ul>
  28. 28. Risk Management Improves Corporate Culture <ul><ul><li>Boosts morale of employees by being seen to respond to genuine business needs in a timely manor </li></ul></ul><ul><ul><li>Facilitates accountability and transparency </li></ul></ul><ul><ul><li>Improves corporate knowledge sharing </li></ul></ul><ul><ul><li>Relevant to strategic and operational areas of business </li></ul></ul>
  29. 29. Risk Management Relationship with RIM <ul><li>Continual build up of paper archives brought under control because guidelines for what must be kept and what may be safely disposed of are provided </li></ul><ul><li>Easy to decide whether the paper or electronic version of a document is the ‘official record’ </li></ul><ul><li>Controlled access to records and documents to preserve confidentiality and protect from tampering and destruction, whether accidental or deliberate </li></ul>
  30. 30. Risk Management Relationship with RIM <ul><ul><li>Saves expensive server and office space by getting rid of unnecessary duplicates (both paper and electronic) </li></ul></ul><ul><ul><li>Provides a complete view of organisation’s essential records and documents </li></ul></ul><ul><ul><li>Assists business process review and workflow design for business groups </li></ul></ul><ul><ul><li>A key component of business case for the implementation of EDRMS </li></ul></ul>
  31. 31. Selling your Soul or Services
  32. 32. Strategic Communication <ul><ul><li>Why do you need to market to senior management? </li></ul></ul><ul><ul><li>What is it you are selling? </li></ul></ul><ul><ul><li>What messages do you want them to hear? </li></ul></ul><ul><ul><li>What can you do to become visible? </li></ul></ul>
  33. 33. Why you need Senior Management <ul><ul><li>Recognition of worth and value of the information you manage </li></ul></ul><ul><ul><li>Competition for budget $’s </li></ul></ul><ul><ul><li>Align RIM with Strategic Management </li></ul></ul><ul><ul><li>Get RIM into Strategic and Corporate Plans </li></ul></ul>
  34. 34. What is it you are selling? <ul><ul><li>Organisational responsibilities </li></ul></ul><ul><ul><li>Improved business performance and productivity </li></ul></ul><ul><ul><li>Continuous improvement to meet changing needs of the business </li></ul></ul><ul><ul><li>Compliance </li></ul></ul><ul><ul><li>Corporate governance </li></ul></ul><ul><ul><li>Your professionalism and credibility </li></ul></ul>
  35. 35. Communicating Value & Worth The success of your ability to sell best practice EDRM is going to rely on how effectively YOU market and promote the strategic benefits to senior management <ul><li>You have to believe in the Value & Worth of Records and Information Management </li></ul><ul><li>You have to believe in the Value and Worth YOU as an individual have within your organisation </li></ul><ul><li>You have to believe in the Value & Worth of your EDRMS </li></ul><ul><li>Influence through strategic direction, passion and positivity </li></ul>
  36. 36. Promoting organisational responsibilities <ul><li>determine requirements for retrieving, using and transmitting records between business processes and other users and how long they need to be kept to satisfy those requirements </li></ul><ul><li>decide how to organise records and information to support requirements for access and use </li></ul><ul><li>assess the risks to provide accurate and reliable evidence of business activity </li></ul><ul><li>preserve records and make them accessible over time, in order to meet business requirements and community expectations </li></ul>You do more than just file paper…………….
  37. 37. Promoting organisational responsibilities <ul><li>comply with legal and regulatory requirements, organisational policy and best practice standards </li></ul><ul><li>ensure that records and information are maintained in a safe and secure environment </li></ul><ul><li>ensure that records are retained only for as long as needed or required </li></ul><ul><li>identify and evaluate opportunities for improving business effectiveness, efficiency and quality of processes </li></ul>
  38. 38. What messages do you want SM to hear? <ul><li>Integrating business processes and systems </li></ul><ul><li>Promoting information sharing and removing information silos </li></ul><ul><li>Managing born digital records and information in digital format </li></ul><ul><li>Enhancing accountability & transparency </li></ul><ul><li>Mitigating risks & liability </li></ul><ul><li>Providing audit / quality control measures </li></ul><ul><li>Reducing cost of storage, printing and floor space </li></ul>Effective EDRM improves business performance and productivity through:
  39. 39. How to get your foot in the door with Senior Management Develop a Communication Strategy <ul><li>A well written communication strategy will become the foundation for keeping all staff informed of the EDRMS Project and encourage their active participation and support in the process </li></ul><ul><li>A consistent approach with communication will provide staff with the confidence to move from ‘old process’ to ‘new process’ for managing records in an electronic environment </li></ul>
  40. 40. Developing a Communication Strategy Key Elements <ul><li>Introduce business goals and objectives of RIM and the EDRMS project </li></ul><ul><li>Identify stakeholders </li></ul><ul><li>Outline key project stages and milestones </li></ul><ul><li>Identify project team responsibilities and contact details </li></ul><ul><li>Describe communication channels and resources </li></ul>
  41. 41. Developing a Communication Strategy <ul><li>Requires senior management support and approval </li></ul><ul><li>Builds confidence and credibility in the project </li></ul><ul><li>Sets the right expectations </li></ul><ul><li>Prepares people in advance </li></ul><ul><li>Addresses rumours early in the project </li></ul><ul><li>Raises awareness and increases user acceptance </li></ul><ul><li>Updates people on a timely and regular basis </li></ul><ul><li>Provides a forum for discussion and feedback </li></ul><ul><li>Keeps the project alive and energises project team </li></ul>Strategic Benefits
  42. 42. Communication Tools <ul><li>Promote via intranet website </li></ul><ul><li>Provide regular articles in newsletters, bulletin boards </li></ul><ul><li>Conduct regular face to face information sessions </li></ul><ul><li>Form communications reference group </li></ul><ul><li>Develop FAQ’s, fact sheets, feedback forms, online polls </li></ul>
  43. 43. References <ul><li>AS ISO 15489.2 – 2002 Information and documentation Records Management – Part 2: Guidelines </li></ul><ul><li>AS 5090 – 2003 Work Process Analysis for Recordkeeping </li></ul><ul><li>AS/NZS 4360: 2004 Risk Management </li></ul><ul><li>DIRKS – A Strategic Approach to Managing Business Information, National Archives of Australia www.naa.gov.au </li></ul><ul><li>Adequate Records Management Standard, State Records of South Australia www.archives.sa.gov.au </li></ul>