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In-depth master class: developing and implementing a document management system

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Workshop offered at the Canadian Institute's Document Management and Retention

Workshop offered at the Canadian Institute's Document Management and Retention

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  • Information Ecosystem:study of the creation, distribution, abundance and relations of data and their interactions with the environment
  • 1 retentionpolicy (techno agnostic) – procedurewilldeferbased on media (presentedwith IT backendapproach)Do not confuse end-users more about the differentbetween document type and formatRecord vs transitory document vs OriginalOwnership + responsibilityCalendar – NextslideArchiving – Costs, maintenance, integrity, risks (not email only…)Destruction vs deletion – cf e-discoveryCompliance = Auditing + Sanction

In-depth master class: developing and implementing a document management system In-depth master class: developing and implementing a document management system Presentation Transcript

  • Developing and Implementing a Document Management System
    In-Depth Master Class
  • Infosystem
    Ecology of Information
  • Hierarchy
    Knowledge
  • Information Lifecycle
    Protect
  • Information Management System Implementation Process
    MATURITY ASSESSMENT
    TECHNOLOGY INFRASTRUCTURE AND SOLUTIONS
    TRAINING AND DEVELOPMENT
    POLICIES, PROCEDURES AND PROTOCOLS
    • Training for Employees about IM, RM and IT solution.
    • General Employee awareness training and communication.
    • Assessing the current state of governance, technology and culture components of information management using standardized maturity models.
    • An investigative analysis of a business, typically including: existing policies, procedures and practices, technology environment, risk profile, management information, systems and controls and employees’ use of information.
    • Review of existing corporate, legal and IT policies to identify gaps and opportunities for improvement.
    • Development of effective processes and supporting tools to allow for maximum compliance.
    • Identifying the correct solutions based on need.
    • Vendor selection and Integration.
    • Managing the project.
    • Optimizing the User Experience.
  • Information Management Assessment
  • Project Team
    • Records / Archive Management
    • Information Technology / Security
    • Compliance / Audit
    • Risk Management
    • Legal
    • Communication
    • Business Units
    • Administrative Functions
  • Objectives vs Triggers
  • Technology
    • Case / Matter Management System
    • Document Management
    • Retention Manager
    • Knowledge Management
    • Document Automation
    • Workflow Automation
    • Collaboration
    • Archiving
    • Journaling
    • Data Destruction
    • Legal HoldManagement
    • Enterprise Search
    • Collection
  • Framework
  • Current State
    Maturity
  • Maturity
    http://mike2.openmethodology.org/wiki/File:Information_maturity_model_en.jpg
  • Gap Analysis
    • Policies / Procedures
    • ProcessesMap
    • Physical Architecture
    • Logical Architecture
    • Staff Skills
  • Recommandations
    • Draftand ModifyPoliciesand Procedures
    • Document and ReviewProcesses
    • Acquire, Upgrade and Decommission Hardware
    • Acquire, Upgrade, Update, Patch, Customizeand DecommissionSoftware
    • Educate, train and sanction staff
  • Implement
  • Framework
  • Develop the right policies, procedures and processes
  • Information Management Framework
    Employee Guide
    Information Security Policy
    Project/Case Management Policy
    Document Management Policy
    Reasonable Use Policy
    Project/Case Management Procedure
    DecommissionningProcedure
    Hiring/DepartingEmployeeProcedure
    Information Security MeasuresInventory
    Information Security Audit Procedure
    Hard/Software Inventory
    Network Map
    ArchivingProcedure
    Destruction Procedure
    Taxonomy
    Mobile TelephonyProcedure
    Transfer Procedure
    Document Retention Policy
    Classification Schema
    SavingProcedure
    Information Technology Management Policy
  • Information Management Policy
  • Records Retention Policy
  • Records Retention Policy
    • Purpose
    • Principles
    • Scope (exceptions/exclusions)
    • Authority
    • Responsibility
    • Saving
    • Archiving
    • Security
    • Destruction
    • Definitions (Document, record, transitory record, integrity, reliability, retention, etc.)
  • RetentionCalendar
    • Inventory all Documents
    • Identify Document Types
    • Classify Documents
    • Identify Records
    • StandardizeTerminology
    • Define applicable laws and regulations
    • Business needs
  • Taxonomy
  • Metadata
    Simple Dublin Core Metadata Element Set (DCMES)
    http://dublincore.org/documents/dces/
  • Transfer Procedure
    • Document Types
    • Preparation and Unitization
    • Batches
    • OCR
    • Indexing
    • Automatic
    • Manual
    • Quality control
    • Destruction
    • Audit
    • Retention
    • Security
  • Legal HoldProcedure
  • Archiving Procedure
  • Destruction Procedure
  • Sourcing
  • NeedsAnalysis
  • Request for Proposal
  • AnalysisGrid
  • Software Implementation
  • Document Migration
  • Education
  • Audit
  • Compliance
  • 10 DMS ImplementationTips
    DMS implementationis not an IT project, its a change management process
    Definewhatis an original within the organisation
    Reinstate the notion of ownership
    Developeasilyunderstandablepolicies
    Clarifyrulesarounddestruction
    Automate policies and procedures
    Educationis not about using a software but understanding RM
    Mimicemployees habits as much as possible
    DMS shouldbe the same for paper and eDocs
    Invest 30% for governance, 30% technologyand 30% Culture
  • Standards & Best Practices
  • Questions?
    Dominic Jaar
    National Leader, Information Management and eDiscovery
    djaar@kpmg.ca
    514.212.9348