Transcript Slide 1
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Electronic Records Management System Implementation
Society of American Archivists Electronic Records Section Meeting August 6, 2004
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What’s Changed?
Paper-based Record keeping
1970 1980
PC
1990
EMAIL 2004 Digital based Record keeping
2000 2010
RII Business Pressures
• Business Process Advantages • Better and faster access / availability of information • Potential to share with anyone, anywhere • Faster communication • More efficient work • External • Reach more clients for less money • More control over client fulfillment
RII Business System Response
• • • • •
Document-based technologies
• • • •
Image Management Document Management Knowledge Management Content Management Tactical deployment to solve specific business issues Few truly enterprise-wide applications Most electronic records are controlled by individuals Largely ignore records management requirements
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Trouble Begins to Brew…
Sarbanes-Oxley – Fines and Jail Complex Regulatory Environment Cost of Discovery – Largest Uncontrolled Cost in American business Information Privacy/Security – HIPAA – California
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Business Reaction
Senior management attention Viewed as a problem to be solved Looking for quick fixes and fast results – turn to IT for solution IT has a tendency to apply technology to the problem without considering the impact on users
RII Why do Systems Fail?
Viewed as a technology problem Move from paper-based to digitally-based record-keeping without implementing requisite policies, standards and controls Fail to involve all of the stakeholders ERM is thrust upon users without proper conditioning and training
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Bias Against RM?
Tactical
versus
Strategic Clerical
versus
Management Inactive
versus
Information needed NOW Back office function
versus
integrated work management
Classic RM View RII RM Strategy Records Manager RM Program Components Business Strategy Business Activity Work Process File Operations / Archives User Record Retrieval Requirements RM Program
©Records Improvement Institute, LLC 2004
Business Process
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ERM Partnership
Management Support Information Technology Records Management Business
A
Owners
RII Prepare the Organization
Senior management Middle management All employees
Develop support and momentum for the transition to electronic records.
A high level consensus of need…
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1. Framework Document
Present Situation Estimate of Costs and Risks – Legal and Regulatory Risks – Link to Goals and Strategies of the Organization ERM Vision Change Management Framework – Resource Requirements over life of project AND program – Reasonable Timeline ~ 3 years Cross-functional Team – IT, Records Mgmt, Business Users
Part Business Case – Part Marketing Document
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2. Records Management Policies
Define “record” – What are you managing?
– Official
vs
. transitory – Work in process
vs
. “final” record Corporate Records Management Policy – Responsibility – Ownership – Scope (Electronic records, databases, e-mail)
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3. Records Management Standards
Govern how records will be managed Establish requirements for ERM system
Retention and Disposition Security and Authority Trust worthiness Metadata Standard Record Control
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Retention & Disposition
Foundation for ERM Basis for “declaring” a record
RM Strategy Records Manager RM Program Components Hard Copy File Operations / Archives Business Strategy Business Activity Work Process User Record Retrieval Requirements
Traditional Approach
Inventory of records RS Developed RS Reviewed/ Approved RS Implemented
Analyst / Dept. Rep.
Records Manager Managers, Legal, Tax Records Management
RII Business Process
Develop RS that is aligned to business processes
Business Life Cycle Analysis
Business Strategy Business Activity
What business are we in
Work Process
How do we do our business
User Record Retrieval Requirements
What records do we need
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New RS Development Model
Business Activity / High Level Function
Identified by Cross-functional team
Work Process 1
Identified by functional area managers
Work Process 2 Records Records Records Work Process 3 Work Process 4
Identified by business process owners and project team members though analysis of business process
New Development Model
Functions Identified Business activity analyzed Records and process requirements identified RS Developed RS Approved RS Implemented
Cross-functional Team Records Management, IT Business process owners, Records Management, IT Business process owners, Records Management Business owners, Legal, Tax, Compliance Business process participants w / ERMS
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New Model
Retention Schedules closely aligned with business process Identify requirements for ERM Identify opportunities for improvements to business process Establish priorities Build support for program
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Results
Business owners understand and accept retention schedule Users are prepare for transition to electronic record keeping Ensure that records of lasting value are identified
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4. Implementation Plan
Develop and communicate plan for implementation Establish roles & responsibilities – IT – Records Management – Business Owner – Vendor – Consultants Establish realistic timeframes Manage expectations – Management – Users
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5. Implementation - Pilot
Identify pilot processes Establish procedures & work instructions Implement system and customized as required Deliver training with user needs in mind – Policies, – Standards / Procedures – ERM system
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Implementation - Pilot
Conduct pilot Evaluate results Modify as required Continue to evaluate, refine and modify Communicate results
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6. Implementation – Role-out
Develop tactical plan for roll-out Phase role-out based upon established priorities Communicate results
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7. Program Management
Audit program to monitor compliance Schedule review and maintenance Records review and disposition Technology & media review and migration
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Opportunities
E-record challenge present opportunity that we have never had before Careful planning, communication and participation are keys to successful implementation