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Edrms ark april 2007


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  • 1. Establishing a governance structure to control document management behavior Ark EDRM Evolution Conference April 18-20 Sydney 2007
  • 2. What are governance structures?
    • U.S. Department of Justice, Office of Justice Programs definition
    • “ as the set of organizational regulations and standards exercised by management to provide strategic direction and ensure that objectives are achieved, risks are managed appropriately, and resources are used responsibly. “
    • Two types;
        • Govern behaviour
        • Govern communication about behaviour
  • 3. Technical governance structures….
    • Audit trails
    • Server data management/transfer including backups
    • Security matrix
    • Confidentiality level
    • Policy and procedures on how to create, store, save, share and dispose of electronic information
  • 4. Communication governance structures…. Steering Committee Project Manager Working party Funding body Users Project team Records Manager Records staff
  • 5. Why are governance structures important?
    • You can add new text slides by clicking on the ‘new slide’ icon at top or by clicking Insert then New slide
    • You can use the multiple slide view at the bottom to copy and paste slides.
  • 6. Benefits of governance structures…………
    • Stakeholders have buy in by feeling they are heard
    • Formalises and documents decision making
    • Effectively implement complex IT projects
    • Ensure a united vision of the outcome
    • Channeling staff behavior to be legally compliant
    • Harnesses expertise of many instead of one
  • 7. Influencing document control behavior…..
    • Hardcopy
        • Enforced policy and procedures
        • Caveats
    • Electronic
        • 1. Documented business rules
        • 2. Automate processes
    • Technical
        • Security matrix (example hardcopy)
  • 8. Who controls the documents?
    • Hardcopy
        • Records Manager
        • Librarian
    • Electronic
        • 1 . Systems Administrator
        • 2. Document controller - policy
  • 9. Who governs document management?
    • During implementation
        • Working party confirm
        • Steering Committee endorse
        • Change controls
        • Documentation ISO 10013-2003 compliant
    • After implementation
        • Different staff have different roles defined by document control procedure
  • 10. Communicating compliance culture
    • Change management most important aspect of project
        • 80/20 budget breakup
    • Staged awareness/training program
    • Reinforcement
    • Report non compliance
  • 11.
    • Automate, automate, automate processes
    • Report non compliance
    Aligning compliance and business
  • 12. Managing secure access
    • Legislation
    • IT ISO/AS standards
    • Records regulations
        • “ The ERMS should support as a minimum the security categories outlined in the Commonwealth Protective Security Manual.”
        • From National Archives of Australian ERMS specifications and guideline documents (2006) at
  • 13. References
    • Hutton, D. (1994). The change agents handbook:A survival guide for quality improvement champions. ASQC Quality Press:Milwauke Image and Data Manager Jan feb 2007
    • The federal Privacy Commissioners site at is an excellent resource of guidelines, precedent and interpretations
    • National Archives and Records Administration (2005).Electronic Records Management Initiative:Guidance for Building an Effective Enterprise-wide Electronic Records Management (ERM) Governance Structure
    • NT Government Records Management Standard - Records Security and Access (issued October 2003)
    • ISO 10013-2003 Guidelines for quality management system documentation
  • 14. Contact details C HARLES DARWIN UNIVERSITY Anastasia Govan BA(IM)GradDip(Mgt)PCP AIMM MACS AALIA MRMAA Senior Lecturer Charles Darwin University Information & Kowledge Management Director & Consultant Whitehorse Strategic Group Chair Australian Computer Society NT Executive Council PO Box 2096, Darwin, NT, Australia, 0801 Phone 0428836405 [email_address]
  • 15.