EDRMS Pre implementation project plan
- 1. Developing a Project Plan for Pre-Implementation of an EDRMS 4 th Annual Electronic Document & Record Management Conference Wellington, New Zealand 4 - 6 December 2006
- 2. Learning Outcomes Assess if your business is ready for EDRMS Identify early risk factors to ensure successful EDRMS implementation Widely promote the benefits of electronic recordkeeping from the top down
- 3. Take Away Toolkit Records Management Survey for BNA Risk Management Identification & Analysis Tools Strategic Communication Framework
- 4. Presentation Outline Determining Business Needs – preparing in advance for an EDRMS Risk and Records – it makes good business cents Selling your Soul or your Services - how to get your foot in the door with senior management
- 6. Determining Business Needs gain a holistic view of how the business operates from the top down develop a ‘business benefits’ mindset to promote the importance of good records management regardless of their media be prepared for senior management negativity, especially when you need to ask for a share in the budget for EDRMS Understanding your organisation in context will assist you to
- 7. Determining Business Needs Administrative Nature – Who are you? (corporate culture/identity) What is the core business that you do? (business objectives / outcomes) Why do you provide a service Legislative Environment – Who are you accountable to? What are your legal obligations, Why be compliant (risks – financial and other) Discover the WWW (Who, What & Why)
- 8. Business Framework – Who do you report to? What do you look like (organisation structure), Why do you exist? (internal & external stakeholders/customers) Social Scene – Who uses your services? What are the expectations (community needs, internal & external interests), Why create, maintain and preserve your records (use & access beyond today) Determining Business Needs
- 9. Determining Business Needs Key Steps involved in conducting a BNA Consult with senior management to gain a cultural understanding of corporate values, goals and expectations Read annual reports, business / strategic plans, policy, procedure, websites, intranets Undertake a Records Management Survey to assess staff awareness and identify areas for improvement Review other business systems and information systems
- 10. Align your outcomes to business goals, strategies, best practice standards, policy, community expectations Document your findings in a formal report for tabling to senior management Determining Business Needs
- 11. Determining Business Needs A comprehensive BNA will Identify The functions and activities performed by the organisation Key stakeholders and customers Potential business risk Peoples perceptions to recordkeeping, records management and business information Exposure of weaknesses in business information systems Commitment and resources required to implement an EDRMS An action plan for best practice records and information management
- 12. Determining Business Needs RIM and Business Analysis Underpins best practice for effective recordkeeping and management of business information (data, documents, objects, information, records) Assists in the development of policy, procedures, guidelines and business rules to maintain consistency Supports the development of records management tools (business classification scheme, thesauri, records disposal schedules) Provides the foundation for reviewing work process and automation of workflow in EDRMS to improve business productivity and efficiency
- 13. Determining Business Needs How many electronic documents will the system store = space, configuration & cost How many users will use the system concurrently = licences, server size Will all business groups use the system, is there public interfaces = classification, security Review of existing business process = functional requirements Regulatory environment = compliance Integration with other business systems = software issues, migration platforms EDRM and Business Analysis
- 14. Risk and Records
- 15. Defining Risk What it is: the chance of something happening that will have an impact upon objectives What it means: risk is measured in terms of consequence and likelihood
- 16. Records (both paper and electronic) can not be found and made available in the event of litigation therefore exposing the organisation to potential legal claims and financial ruin Records are not systematically disposed of using an approved records retention and disposal schedule in order to meet legal and regulatory obligations Records are not covered under a security policy to prevent unauthorised access or misuse Risk Can Arise if
- 17. Risk Can Arise if Records are not protected in the event of disaster arising from environmental, personnel or equipment failure The integrity and authenticity of records can not be relied upon as evidence of accountable business operation, therefore leading to issues relating to their legal admissibility and evidential weight in a court of law
- 18. Mismanagement of Business Records and Information can lead to Injury or Death Business interruption Loss of original records with cultural and historical significance Inability to reconstruct vital records, data or information Unacceptable cost for record or data reconstruction Inability to defend or initiate litigation Compliance penalties Damage to public image
- 19. Which can lead to Financial loss Share market loss Business closure
- 20. Examples of Injury or Death Mine shaft in Quecreek, Pennsylvania floods. Twelve men trapped (record versioning issue) Barricade collapse in Australian mine. Three miners killed (authentic format issue) Boiler explosion in oil and gas processing plant. One man killed (maintenance records incomplete)
- 21. Examples of Business Interruption Tenement licence renewal forgotten. Operations cease forthwith (reliance on corporate memory not documentation) Oil rig exploration permit expires. No one knows. An Act of Parliament required to reinstate a ‘special permit’, so 140 people don’t lose their jobs (compliance obligations unknown)
- 22. Example of Inability to Reconstruct Records & Business Information World Trade Centre blown up. Vital records and all information goes with it (disaster)
- 23. Unacceptable Cost for Record Reconstruction Private national company pays $15million from 1990 – 2005 re-creating records it cannot find AWB pays $16 million to find documents for the Cole inquiry
- 24. Examples of Compliance Penalties Enron demise leads to sackings, suicide, plea bargaining and jailing for Enron employees and executives also resulting in Arthur Andersen collapsing Martha Stewart found guilty of insider trading. She faces one to twenty years in prison In New York, the defence begins closing arguments on the trial of former top officers of Tyco International
- 25. Reducing Risk Reduction of direct costs Gains in productivity and efficiency Protection from future costs Generation and maximisation of income Increased value of intellectual assets Enhanced compliance procedures Explicit support of corporate goals and objectives Synergy with other improvement initiatives Strategic Business Benefits
- 26. Risk Management Objectives Improves compliance Reduces litigation Preserves corporate reputation Maintains business continuity Provides safety of individuals
- 27. Risk Management Creates Business Value Decreases in current costs Increases in income through acquisitions and divestments being made easier, faster and more profitable Prevention of future costs Protection of valuable assets
- 28. Risk Management Improves Corporate Culture Boosts morale of employees by being seen to respond to genuine business needs in a timely manor Facilitates accountability and transparency Improves corporate knowledge sharing Relevant to strategic and operational areas of business
- 29. Risk Management Relationship with RIM Continual build up of paper archives brought under control because guidelines for what must be kept and what may be safely disposed of are provided Easy to decide whether the paper or electronic version of a document is the ‘official record’ Controlled access to records and documents to preserve confidentiality and protect from tampering and destruction, whether accidental or deliberate
- 30. Risk Management Relationship with RIM Saves expensive server and office space by getting rid of unnecessary duplicates (both paper and electronic) Provides a complete view of organisation’s essential records and documents Assists business process review and workflow design for business groups A key component of business case for the implementation of EDRMS
- 31. Selling your Soul or Services
- 32. Strategic Communication Why do you need to market to senior management? What is it you are selling? What messages do you want them to hear? What can you do to become visible?
- 33. Why you need Senior Management Recognition of worth and value of the information you manage Competition for budget $’s Align RIM with Strategic Management Get RIM into Strategic and Corporate Plans
- 34. What is it you are selling? Organisational responsibilities Improved business performance and productivity Continuous improvement to meet changing needs of the business Compliance Corporate governance Your professionalism and credibility
- 35. Communicating Value & Worth The success of your ability to sell best practice EDRM is going to rely on how effectively YOU market and promote the strategic benefits to senior management You have to believe in the Value & Worth of Records and Information Management You have to believe in the Value and Worth YOU as an individual have within your organisation You have to believe in the Value & Worth of your EDRMS Influence through strategic direction, passion and positivity
- 36. Promoting organisational responsibilities determine requirements for retrieving, using and transmitting records between business processes and other users and how long they need to be kept to satisfy those requirements decide how to organise records and information to support requirements for access and use assess the risks to provide accurate and reliable evidence of business activity preserve records and make them accessible over time, in order to meet business requirements and community expectations You do more than just file paper…………….
- 37. Promoting organisational responsibilities comply with legal and regulatory requirements, organisational policy and best practice standards ensure that records and information are maintained in a safe and secure environment ensure that records are retained only for as long as needed or required identify and evaluate opportunities for improving business effectiveness, efficiency and quality of processes
- 38. What messages do you want SM to hear? Integrating business processes and systems Promoting information sharing and removing information silos Managing born digital records and information in digital format Enhancing accountability & transparency Mitigating risks & liability Providing audit / quality control measures Reducing cost of storage, printing and floor space Effective EDRM improves business performance and productivity through:
- 39. How to get your foot in the door with Senior Management Develop a Communication Strategy A well written communication strategy will become the foundation for keeping all staff informed of the EDRMS Project and encourage their active participation and support in the process A consistent approach with communication will provide staff with the confidence to move from ‘old process’ to ‘new process’ for managing records in an electronic environment
- 40. Developing a Communication Strategy Key Elements Introduce business goals and objectives of RIM and the EDRMS project Identify stakeholders Outline key project stages and milestones Identify project team responsibilities and contact details Describe communication channels and resources
- 41. Developing a Communication Strategy Requires senior management support and approval Builds confidence and credibility in the project Sets the right expectations Prepares people in advance Addresses rumours early in the project Raises awareness and increases user acceptance Updates people on a timely and regular basis Provides a forum for discussion and feedback Keeps the project alive and energises project team Strategic Benefits
- 42. Communication Tools Promote via intranet website Provide regular articles in newsletters, bulletin boards Conduct regular face to face information sessions Form communications reference group Develop FAQ’s, fact sheets, feedback forms, online polls
- 43. References AS ISO 15489.2 – 2002 Information and documentation Records Management – Part 2: Guidelines AS 5090 – 2003 Work Process Analysis for Recordkeeping AS/NZS 4360: 2004 Risk Management DIRKS – A Strategic Approach to Managing Business Information, National Archives of Australia www.naa.gov.au Adequate Records Management Standard, State Records of South Australia www.archives.sa.gov.au