Edrms ark april 2007


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Edrms ark april 2007

  1. 1. Establishing a governance structure to control document management behavior Ark EDRM Evolution Conference April 18-20 Sydney 2007
  2. 2. What are governance structures? <ul><li>U.S. Department of Justice, Office of Justice Programs definition </li></ul><ul><li>“ 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. “ </li></ul><ul><li>Two types; </li></ul><ul><ul><ul><li>Govern behaviour </li></ul></ul></ul><ul><ul><ul><li>Govern communication about behaviour </li></ul></ul></ul>
  3. 3. Technical governance structures…. <ul><li>Audit trails </li></ul><ul><li>Server data management/transfer including backups </li></ul><ul><li>Security matrix </li></ul><ul><li>Confidentiality level </li></ul><ul><li>Policy and procedures on how to create, store, save, share and dispose of electronic information </li></ul>
  4. 4. Communication governance structures…. Steering Committee Project Manager Working party Funding body Users Project team Records Manager Records staff
  5. 5. Why are governance structures important? <ul><li>You can add new text slides by clicking on the ‘new slide’ icon at top or by clicking Insert then New slide </li></ul><ul><li>You can use the multiple slide view at the bottom to copy and paste slides. </li></ul>
  6. 6. Benefits of governance structures………… <ul><li>Stakeholders have buy in by feeling they are heard </li></ul><ul><li>Formalises and documents decision making </li></ul><ul><li>Effectively implement complex IT projects </li></ul><ul><li>Ensure a united vision of the outcome </li></ul><ul><li>Channeling staff behavior to be legally compliant </li></ul><ul><li>Harnesses expertise of many instead of one </li></ul>
  7. 7. Influencing document control behavior….. <ul><li>Hardcopy </li></ul><ul><ul><ul><li>Enforced policy and procedures </li></ul></ul></ul><ul><ul><ul><li>Caveats </li></ul></ul></ul><ul><li>Electronic </li></ul><ul><ul><ul><li>1. Documented business rules </li></ul></ul></ul><ul><ul><ul><li>2. Automate processes </li></ul></ul></ul><ul><li>Technical </li></ul><ul><ul><ul><li>Security matrix (example hardcopy) </li></ul></ul></ul>
  8. 8. Who controls the documents? <ul><li>Hardcopy </li></ul><ul><ul><ul><li>Records Manager </li></ul></ul></ul><ul><ul><ul><li>Librarian </li></ul></ul></ul><ul><li>Electronic </li></ul><ul><ul><ul><li>1 . Systems Administrator </li></ul></ul></ul><ul><ul><ul><li>2. Document controller - policy </li></ul></ul></ul>
  9. 9. Who governs document management? <ul><li>During implementation </li></ul><ul><ul><ul><li>Working party confirm </li></ul></ul></ul><ul><ul><ul><li>Steering Committee endorse </li></ul></ul></ul><ul><ul><ul><li>Change controls </li></ul></ul></ul><ul><ul><ul><li>Documentation ISO 10013-2003 compliant </li></ul></ul></ul><ul><li>After implementation </li></ul><ul><ul><ul><li>Different staff have different roles defined by document control procedure </li></ul></ul></ul>
  10. 10. Communicating compliance culture <ul><li>Change management most important aspect of project </li></ul><ul><ul><ul><li>80/20 budget breakup </li></ul></ul></ul><ul><li>Staged awareness/training program </li></ul><ul><li>Reinforcement </li></ul><ul><li>Report non compliance </li></ul>
  11. 11. <ul><li>Automate, automate, automate processes </li></ul><ul><li>Report non compliance </li></ul>Aligning compliance and business
  12. 12. Managing secure access <ul><li>Legislation </li></ul><ul><li>IT ISO/AS standards </li></ul><ul><li>Records regulations </li></ul><ul><ul><ul><li>“ The ERMS should support as a minimum the security categories outlined in the Commonwealth Protective Security Manual.” </li></ul></ul></ul><ul><ul><ul><li> </li></ul></ul></ul><ul><ul><ul><li>From National Archives of Australian ERMS specifications and guideline documents (2006) at http://www.naa.gov.au/recordkeeping/er/erms/ERMSspecifications.pdf </li></ul></ul></ul>
  13. 13. References <ul><li>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 </li></ul><ul><li>The federal Privacy Commissioners site at www.privacy.gov.au is an excellent resource of guidelines, precedent and interpretations </li></ul><ul><li>National Archives and Records Administration (2005).Electronic Records Management Initiative:Guidance for Building an Effective Enterprise-wide Electronic Records Management (ERM) Governance Structure </li></ul><ul><li>NT Government Records Management Standard - Records Security and Access (issued October 2003)http://www.nt.gov.au/dcis/nta/recordkeeping/ntg_security.html </li></ul><ul><li>ISO 10013-2003 Guidelines for quality management system documentation </li></ul>
  14. 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]