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

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  • Development?!?!? If so, not a software acquisition project; policy and customization exercise
    Implement: technical part handled by integrator or IT group;
    It’s not an end in itself
    What matter is what surrounds and makes the implementation a success
    What are your expectations?
  • Information Ecosystem: study of the creation, distribution, abundance and relations of data and their interactions with the environment
  • Focus on Documents (unstructured data)
  • Documents exist at all stages and need to be managed appropriately (destruction is part of management…)
    What do you want your DMS to do? Identify functionnalities/manage expectations
  • What is the IMA?
    Why? As is
  • Multidisciplinary and cross-functional
    Level A to B
    Define individual roles and responsibilities within the project
  • Identify objectives and triggers for each BU/Admin functions (all different – find common smallest denominator)
  • Often confirmed during in-depth needs analysis
  • Not necessarilly written
    Technos: hard and software
  • Future State minus Current State
    Identifying primary operational barriers that can be targeted for improvement within your organization
    Staff Skills: "poor", "basic", "good" and "strong"
  • Won’t talk about the workflows and processes which are different from one org to the other
    • Review and MAP existing workflows and processes for the creation, retention and destruction of documents (help for change management and sourcing exercise re functionalities
  • 1 retention policy (techno agnostic) – procedure will defer based on media (presented with IT backend approach)
    Do not confuse end-users more about the different between document type and format

    Record vs transitory document vs Original
    Ownership + responsibility
    Calendar – Next slide
    Archiving – Costs, maintenance, integrity, risks (not email only…)
    Destruction vs deletion – cf e-discovery
    Compliance = Auditing + Sanction
  • Ensure the information maintains its integrity and evidentiary value
  • • Clearly define what records your organization needs to keep
    Includes Classification Schema
    Legislation
    International
    National
    Provincial
    Local
  • Terminology
    Options: mandatory; click roll or text
  • Scanning/Printing
    Substitution transfer (destruction of original) - confidential
  • • Ensure the information maintains its integrity and evidentiary value
    Integrate the old system with the new
  • integrity
  • Against policies and procedures
  • Successful implementation
  • In-depth master class: developing and implementing a document management system

    1. 1. Developing and Implementing a Document Management System In-Depth Master Class
    2. 2. Ecology of Information
    3. 3. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 3 Hierarchy
    4. 4. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 4 Information Lifecycle Create Receive RetainDestroy Classify Use ArchiveRetrieve Preserve Protect
    5. 5. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 5 Information Management System Implementation Process Assess Plan Implement Review  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. MATURITY ASSESSMENT POLICIES, PROCEDURES AND PROTOCOLS  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. TECHNOLOGY INFRASTRUCTURE AND SOLUTIONS  Training for Employees about IM, RM and IT solution.  General Employee awareness training and communication. TRAINING AND DEVELOPMENT Communicate
    6. 6. Information Management Assessment
    7. 7. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 7 Project Team  Records / Archive Management  Information Technology / Security  Compliance / Audit  Risk Management  Legal  Communication  Business Units  Administrative Functions
    8. 8. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 8 Objectives vs Triggers Objectives Triggers Departments Improve Collaboration Siloing of knowledge All Retain information Compliance Legal / Risk Management / Compliance audit Improve Communication Multiplicity of channels Communication Control Creation / Retention of Records Information overload Records Management Reduce Operating Costs Costs IT / Finance Improve Efficiency Productivity Business Units / Administrative Functions Support Management Decision Making Bad decisions Higher Management Preserve Corporate Memory Staff turn around and work force attrition Records Management / Human Resources
    9. 9. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 9 Technology  Case / Matter Management System  Document Management  Retention Manager  Knowledge Management  Document Automation  Workflow Automation  Collaboration  Archiving  Journaling  Data Destruction  Legal Hold Management  Enterprise Search  Collection …
    10. 10. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 10 Framework Governance Culture Technology
    11. 11. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 11 Current State Governance • Existing policies, procedures and documentary workflows • Committee • Responsibility Technologies • Information Management related • Information Life Cycle Culture • IM and Tech savvyness • Compliant • Hierarchy
    12. 12. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 12 Maturity http://mike2.openmethodology.org/wiki/File:Information_maturity_model_en.jpg
    13. 13. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 13 Gap Analysis Policies / Procedures Processes Map Physical Architecture Logical Architecture Staff Skills
    14. 14. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 14 Recommandations Draft and Modify Policies and Procedures Document and Review Processes Acquire, Upgrade and Decommission Hardware Acquire, Upgrade, Update, Patch, Customize and Decommission Software Educate, train and sanction staff
    15. 15. Implement
    16. 16. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 16 Framework Policy Culture Technology
    17. 17. Develop the right policies, procedures and processes
    18. 18. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 18 Information Management Framework Employee Guide Information Technology Management Policy Decommissionning Procedure Information Security Policy Hiring/Departing Employee Procedure Information Security Measures Inventory Information Security Audit Procedure Document Management Policy Archiving Procedure Destruction Procedure Taxonomy Mobile Telephony Procedure Transfer Procedure Document Retention Policy Classification Schema Project/Case Management Procedure Project/Case Management Policy Reasonable Use Policy Hard/Software Inventory Network Map Saving Procedure
    19. 19. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 19 Information Management Policy
    20. 20. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 20 Records Retention Policy Record Ownership Calendar ArchivingDestruction Compliance
    21. 21. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 21 Records Retention Policy Purpose Principles Scope (exceptions/exclusions) Authority Responsibility Saving Archiving Security Destruction Definitions (Document, record, transitory record, integrity, reliability, retention, etc.)
    22. 22. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 22 Retention Calendar Inventory all Documents Identify Document Types Classify Documents Identify Records Standardize Terminology Define applicable laws and regulations Business needs …
    23. 23. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 23 Supertypes – Subtypes • Functional • Function • Activity • Transaction • Subject • Organisational • Department • Division • Unit Design: Taxonomy
    24. 24. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 24 Metadata Simple Dublin Core Metadata Element Set (DCMES) http://dublincore.org/documents/dces/ Title Format Creator Identifier Subject Source Description Language Contributor Relation Publisher Coverage Date Right Type
    25. 25. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 25 Transfer Procedure  Document Types  Preparation and Unitization  Batches  OCR  Indexing  Automatic  Manual  Quality control  Destruction  Audit  Retention  Security
    26. 26. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 26 Legal Hold Procedure
    27. 27. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 27 Archiving Procedure Online Nearline Offline
    28. 28. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 28 Destruction Procedure Paper eDocuments Hardware Confidential Private
    29. 29. Sourcing
    30. 30. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 30 Needs Analysis Needs Questionnaire Survey Interviews Live Assessment
    31. 31. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 31 Request for Proposal
    32. 32. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 32 Analysis Grid Hierarchy Criterion Priority (0-10) SUP MOD 3RD CST FUT NS Vendor Comment User comments 1 Others 1,1 Language (display and messages): French and English 1,2 Ability to choose the language at the installation 1,3 Ability to togle between display language after the installation 1,4 Licence total cost for 200 users 2 Administration 2,1 The software allows power users, administrators and scanning/imaging specialists to categorize information using pre-defined metadata schemas. 2,2 Documents accidentally deleted by users (with delete permissions) can be quickly recovered by Library Administrators. 2,3 The software provides administrators with a flexible authorization management that allows for roles or features to be enabled or disabled based on business need. Administrators can limit functionality of the document software and add features to the user experience over time to minimize training and complexity. 3 Efficiency 3,1 The document software has the ability to create bookmarks or shortcuts to documents frequently accessed. Rating Legend Response Explanation SUP Supported as delivered "out-of-the-box" MOD Supported via modifications (screen configurations, reports, GUI tailoring, etc) 3RD Supported via a third party solution CST Supported via customization (changes to source code) FUT Will be supported in a future release NS Not supported Priority 0 to 10, where 10 is most important
    33. 33. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 33 Software Implementation Software End-User Power- User Integrator Project Manager • Incremental • Iterative Modular • User driven • Incentive Momentum
    34. 34. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 34 Document Migration Past Future All Nothing
    35. 35. Education
    36. 36. Audit
    37. 37. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 37 Compliance Buy-In • Higher Management • Employee Governance • Committee • Policies and Procedures Education • Communication • Training Automation • Document Management System • Retention Manager Audit • Regular internal and independant • Sanction
    38. 38. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 38 10 DMS Implementation Tips 1) DMS implementation is not an IT project, its a change management process 2) Define what is an original within the organisation 3) Reinstate the notion of ownership 4) Develop easily understandable policies 5) Clarify rules around destruction 6) Automate policies and procedures 7) Education is not about using a software but understanding RM 8) Mimic employees habits as much as possible 9) DMS should be the same for paper and eDocs 10) Invest 30% for governance, 30% technology and 30% Culture
    39. 39. © [year] [legal member firm name], a [jurisdiction] [legal structure] and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. 39 Standards & Best Practices ANSI/ARMA 9-2004, Requirements for Managing Electronic Messages as Records ANSI/ARMA TR31-2004, Legal Acceptance of Records Produced by the Information Technology Systems ANSI/ARMA 8-2005, Retention Management for Records and Information DOD5015.2, Functional Requirements for ERM Software European Commission (2001), Model Requirements for the Management of Electronic Records ISO 15489, Information & Documentation – Records Management ISO 238081, Information and documentation - Processes and Metadata ISO 46/SC 11 N730, Information and documentation – Processes for records ISO 22957, Document management — Analysis, selection and implementation of electronic document management systems (EDMS) CAN/CGSB-72.34 – 2005 Electronic Records as Documentary Evidence
    40. 40. Questions? Dominic Jaar National Leader, Information Management and eDiscovery djaar@kpmg.ca 514.212.9348

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