Developing a Project Plan for Pre-Implementation of an EDRMS4th Annual Electronic Document & Record Management ConferenceWellington, New Zealand4 - 6 December 2006

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

Take Away Toolkit

Records Management Survey for BNA

Risk Management Identification & Analysis Tools

Strategic Communication Framework

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

Determining Business Needs

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

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)

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

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

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

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

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

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

Risk and Records

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

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

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

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

Which can lead to

Financial loss

Share market loss

Business closure

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)

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)

Example of Inability to Reconstruct Records & Business Information

World Trade Centre blown up. Vital records and all information goes with it (disaster)

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

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

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

Risk Management Objectives

Improves compliance

Reduces litigation

Preserves corporate reputation

Maintains business continuity

Provides safety of individuals

Risk ManagementCreates 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

Risk ManagementImproves 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

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

Risk ManagementRelationship 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

Selling your Soul or Services

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?

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

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

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

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…………….

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

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:

How to get your foot in the door withSenior 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

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

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

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

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