Transcript Successfully Implementing an Enterprise
Successfully Implementing an Enterprise-Wide Electronic Records Management Program
H. Larry Eiring, CRM, FAI
National Manager, Records and Risk Management & Corporate Information Strategist Littler Mendelson, P.C.
Session Agenda * * * * * * * * * Overview of today’s experience Review of the learning objectives First steps The project plan Training & user support Information migration Compliance Managing resources Ensuring success and additional resources
What You Are About To Experience * An fast-paced, interactive and enthusiastic learning experience * The sharing of knowledge gained through real-world, lessons-learned experiences * An opportunity to expand your professional knowledge and perspectives
A Thought To Remember “You can't always see things for what it is if you just stare at it, sometimes you have to step back, look at things from a different perspective and ask questions” ...
Leonardo Ruiz
Learning Objectives Upon completion of this session, participants will be able to: * Develop a solid project plan for implementing an enterprise-wide electronic records management program * Develop methodologies for effective training and support of users across the enterprise
Learning Objectives * Develop a methodology for migration of documents, records, and e-mail from a legacy records system to an e-records system * Develop a plan for connecting the organization’s compliance and risk management policies to the e-records program
Learning Objectives * Quantify and manage resources (labor, expense, systems) necessary for implementation of an enterprise-wise electronic records management program
Presentation is Important * * * * A records management initiative A risk management initiative A legal compliance initiative A technology initiative Be aware of your target audience !
An
Intensive Set of Tasks
* * * * * * Planning, analysis and design Records management policy and process Technology Compliance Training & user support Legacy document, email and records migration
Key
Success Factors
* * * * * * Did your program implementation include: An engaged, visible and supportive senior management sponsor A passionate, knowledgeable project manager A talented cross-sectional project team An effectively managed budget Proven and reliable applications End-to-end user involvement
Program Sponsor * * * Must be in a position of authority Able to communicate the strategic importance of the program Acts as the liaison to executive level management
The best sponsor is an engaged sponsor
The Project Manager * * * * * A leader and a manager Effective communicator Delegates Conceptual thinker Detail oriented
Necessary Attributes * * * * * * * * Vision...for the program Enthusiasm...for the effort Determination...to succeed Commitment...for excellence Passion...for the profession Dedication...to detail Focus...on results Leverage...all the skill, knowledge and experience you have to offer
The Project Plan
A realistic and comprehensive implementation plan is the foundation upon which the success of the program will be built upon
The Anatomy Of The Project Plan * * * Major phases Task sets of related tasks Tasks Sub-tasks Responsibility Resources Dependencies Timeline Critical path Deliverables
Major Project Phases * Planning & design * Pre-Implementation * Implementation * Post-Implementation There are hundreds of moving parts to manage!
Planning & Design Task Sets * Requirements gathering & analysis * Project scoping * Strategy & objectives development * Records classification, policy & process development * Technology assessment & design * Key methodology development
Pre-Implementation Task Sets * System development * System & integration testing * Training program development * Core support training
Implementation Task Sets * System / application production launch * User training * User support program * Legacy data migration
Post Implementation Task Sets * On-going user support * Implementation financial review & analysis * Implementation issue review & analysis * Project summary reporting * Project to program transition
Documenting and Reporting * High-level Project Task Plan * Detail Project Plan * Financial Plan * Training and Support Plan * Communication Plan * Issue Tracking Report * Project Status Report
Training & User Support Development and implementation of an effective training and support methodology will ensure long-term success of the eLECTRONIC Records program
Training Challenges * * Trainee retention: 40-50% after just 3 days Optimal attention span: 45 – 60 minutes * Easy to remember: Concepts * Difficult to remember: Technical functions * Trainee knowledge: Varies greatly * Trainee availability: Highly variable
Training Challenges * Funding: Often limited * Delivery capabilities: Broad ranging * Trainer availability: Challenging * Other constraints: Agency or NARA protocols
Critical Success Factors For Training Did your training program effectively: * Meet the needs of the trainee * Reinforce program value to users * Tune content to trainee ability * Utilize interactive training * Devote equal time to concept, policy and technical training * Maintain positive delivery
Training Program Basics
* Define scope * Identify audience(s) * Determine delivery method(s) * Build content outline(s) * Script program content * Conduct rehearsal * Develop program success measures
Target Audiences * End-users Management Support Staff * Key support groups Help /service support staff Records staff * Technical staff * Trainers
Delivery Mechanisms * Face-to face - trainer-to-trainee * Distance learning via live webinar * Recorded video * Online user-paced interactive programming * Electronic step-by-step resource guides
Training Content Areas
* * * * Policies & standards (Department / Agency) * * Records management / governance Records classifications eRecords system application * * Record profiling Search methods Corollary applications * Scanning User support
Measured Delivery
* * * * * * Conceptual overview – 30 days pre-imp Policy & standards – 15 days pre-imp Core training – day of implementation Corollary applications – 10 days post imp Scheduled on-going training – twice monthly Resource guides – always available
Maintaining & Measuring Success
* * * * Provide accessible resources & guides Plan for follow-up training Provide user feedback mechanism * * Dedicated email address Intranet blog / forum Monitor and respond to user issues
Information Migration Understanding the complexities of migrating legacy documents, records, and e-mail into an e-records system and developing an efficient migration methodology are critical to user satisfaction and confidence in the electronic Records program
Legacy Information – Everywhere!
* * * Paper files Electronic documents In legacy document or records management systems On shared drives in user-defined folders Residing on local drives E-mail Left in user’s inbox Filed in user-defined folders
Migration Challenges * Volume: can be significant * Candidate files: in multiple repositories * User assistance: typically not viable * Time required: varies greatly * Resources necessary: typically significant
Critical Success Factors For Information Migration * * * * * Were you able to successfully: Migrate only records of value Maintain user access to records during and after migration Ensure proper application of information governance policies and protocols Minimize user disruption and frustration Devote adequate resources to the migration effort
Migration Methodology * Determine what files need to be migrated How was this determination reached?
* Develop system rules for file migration * Identify migration paths for both migrated and non-migrated records * Identify how non-migrated records will be managed
Migration Criteria * Record value * Consider only records with direct value to the mission of the organization * Activity * Records with highest activity are priority * Compliance and retention mandates * Applicable records statutes and retention requirements must be considered
Migration Paths * * * * * Active paper files Scan .pdf/A image electronic records system Active legacy electronic records electronic records system Inactive legacy electronic records electronic records archive Active record-value eMail electronic records system Non-record value eMail electronic mail archive
Migration Support Options * * * User-managed pre-implementation * Guidance offered to users One-on-one user support * Provided during implementation by training staff Direct and remote migration * Provided by specialized migration staff post implementation
Compliance Systematic integration of the organization’s compliance and risk management policies with the electronic records system will contribute to long-term program success
Compliance Essentials * * * * Understand your organization’s business and strategic plan Know all you can about your records * * * Structure Content Location Understand how information is utilized and accessed across the organization Identify where / how PII is managed and accessed
Compliance Approach
* * * * * Complete electronic records inventory Identify and apply applicable legal statutes, regulations and retention rules Assign proper record value to all forms of electronic records Identify / apply access protocol based on privacy and security requirements Develop / implement / communicate compliant policies to all users
E-Compliance Policies * Record retention and disposition policy Legally supportable citations Compliant across the entire organization Applicable to all forms of electronic records * Information governance policy Compliant with government privacy laws Sets proper security rules to the document level
E-Compliance Policies
* eDiscovery policy & procedures Ensure litigation readiness Data back-up compliance with applicable statutes * Litigation hold policy and procedure * Ethical screening procedure
Ensuring On-going Compliance * Assign administration of compliance policies to qualified records staff * Connect compliance administration with legal counsel * Conduct periodic compliance audits and legal review
Managing Resources Effective management of resources (labor, expense, systems) is fundamental to the successful implementation of an enterprise-wide electronic records management program
Critical Success Factors For managing resources Did you effectively: * Identify / understand resource requirements during the planning phase * Solicit input from multiple sources * Identify and quantify tangible and intangible costs * Track, manage and report resource usage and cost at regular intervals
Quantifiable Resources – Easy!
* System Hardware & Software * System maintenance * User licenses * Consultants * Personnel * Travel & logistics expense * Support materials
Quantifiable Resources – Difficult!
Support and non-productive time * Dedicated team member offline-time * User input dedicated to effort * Non-team advice
Effective Resource Management * Develop mechanism for tracking resource utilization * Quantify and track costs for each plan task as they occur * Monitor and adjust resource usage as necessary * Advise sponsor and management of variances
Success IS Possible if you… * * * * Make your plan realistic – then follow it!
Leverage all available talent – work to team member’s strengths Constantly engage sponsor and users – their confidence and support is CRITICAL Maintain enthusiasm – yours and the team!
YOU CAN BE SUCCESSFUL
Helpful Resources * * The following resources are available: Today’s presentation Job Aid – Plan Checklist * Plan templates High-level task plan Communication plan Training plan
Contact Me
To request additional resources, guidance and to provide feedback email me at:
[email protected]
Successfully Implementing an Enterprise-Wide Electronic Records Management Program
Thank You
H. Larry Eiring, CRM, FAI National Manager, Records and Risk Management & Corporate Information Strategist Littler Mendelson, P.C