simplifying records management policies into best...
TRANSCRIPT
July 25, 2019
Linda Iggulden
Simplifying Records
Management Policies
into Best Practices
Agenda
• Fast Facts – BC Hydro & Project Delivery
• Records Management Policies
• Simplifying into Best Practices
• Communication & Change Management
• Training Delivery Model
• Compliance
• Lessons Learned
• Continuous Improvement
BC
Hydro
Fast
Facts
6 Key
Business
Units
approx. 6,500
employees
Project
Delivery
Fast
Facts
Project Delivery
approx. 500
employees
Project
Management
community
approx. 1,300
members
Project Delivery
Document Controls
62 employees
Many Records Management related
policies, standards, practices, procedures
and guidelines across the organization
400 active
Capital projects
Document Controls
manages approx.
900,000 electronic
records per year
Archive
approx.
90,000
electronic
records per year
Records Management
Policies
Records and Information Management Policy
Records Management Policy
Disposal of Transitory Records Policy
Information Security Classification Policy
Information Security Compliance Policy
Access Controls Policy
Copyright & Intellectual Property Policy
Electronic Signature Policy
Records Management
Policies
“Corporate records must be managed in an approved BC Hydro recordkeeping system and must
be systematically managed in a way that ensures their reliability, accuracy and trustworthiness
for as long as they are needed, as defined in the Retention Schedules.”
Some key requirements from the Records Management Policy:
“Records must be managed throughout their entire lifecycle including
• Creation or receipt from an external party
• Classified in accordance with records and security protocols
• Controlled access, use and protection
• Retention and disposition.”
“Roles and Responsibilities
• All BC Hydro employees, contractors, and service providers have a duty for acting in
accordance with this Policy including:
• Documenting decisions and BC Hydro business (creating Corporate Records)
• Keeping Corporate records safe
• Not destroying Corporate records before their disposition date
• Ensuring users can find information and manage in a way that facilitates protection
and use within an approved BC Hydro system.”
Records Management
Policies
Categorize the key requirements:
1. Records lifecycle
2. Classification of records
3. Security, access and use
4. Retention and disposition
5. Roles and responsibilities
6. Creating, managing and maintaining corporate records
7. Use and management of information in an approved BC
Hydro system.
1. Defined the “Functions”
• What “Practices” do we need to manage capital project work?
• Must be agnostic to company’s organizational structure
2. Identified the audience
• Who does the work?
• Who needs to review the work?
• Who needs to consume the information?
3. Assigned Practice Leads
• In the functional areas
• Developed roles & responsibilities
4. Started development of the Practices
• Practices “What & Why”
• Processes “When & Who”
• Procedures “How”
5. Set up a Practices Development and Review Committee
Simplifying into Best
Practices
Simplifying into Best
Practices
Consulted with each Practice Lead
• Learned about their functional area
• Do they have any unique document and records management
requirements?
• What are their photo management requirements?
• Any other technology requirements?
• How do I stay informed of changes?
• Are there any impacts?
• What about any exceptions?
Simplifying into Best
Practices
1. Collect and review key requirements
• Records Management policies
• Practice functional areas
• Technology
• Document Management
• Photo Management
• Enterprise Content Management
2. Categorize into ‘themes’
3. Review stage
• Solicit feedback
• Make changes, review, make changes, and review some more!
4. Once finalized - ready to publish
Simplifying into Best
Practices
Document & Records
Management is “global”
Document & Records
Management Practice
Some examples of what to include:
Overview of the Practice
• Scope
• Intended audience
• Requirements
• Organizing principle
• Security
Roles and Responsibilities
• Ensure to capture all key roles
Document and Records Guidance
• Internally created documents
• Collaborating with external contractors
• Documents of external origin
Filing documents
Creating a document
Document naming
Collaborating on a document
File types
Release governance
Publishing a document
Project documentation close-out
Retention & disposal
Procedures
Developed an “Information Centre”
• Established framework
• Organizes the information
• Fundamentals
• How to navigate
• Guidance documents
• Deliverables
• Learning
• Governance
• Who to contact for help
Repository for Practices
Communication &
Change Management
• How are you going to let users know about new or updated
Practices?
• What‘s the right medium?
• Who’s the right audience?
• What’s the right timing?
• Are there any impacts?
• Is change management required?
Training Delivery Model
• Who needs training?
• How will training get delivered?
• Face to face
• Live Meeting
• Self-directed learning
• E-Learning
• When is the best time to deliver?
• Who will deliver the training?
• Who is going to develop the training materials, work instructions and job aids?
• Who will update materials going forward?
• Who will track the training results?
Compliance
• Important users are aware of the Practice
• Users have had training and understand the basics
• They understand the importance of following the Practice
• We perform “quarterly” Compliance Audits based on 3
attributes from the Document & Records Management
Practice 1. Document existence on the document management system
2. Document management (proper naming & filing)
3. Document is signed following one of the approved Project
Delivery signing methods (if there is a signature block)
• Communicate results to senior leaders
• Perform corrective action as required.
Lessons Learned
Challenges
• Many changes over the years with business process and tools
• How to train on the Practice material
• Finding the time to make the Practice updates
• Communicating the importance of the Practice
• Users following the Practice
Opportunities
• Network with Practice Leads and Business Leads
• Be open to feedback and changes
• Creativity with delivering training
• Shortened the Practice when we moved to MapCap Flare
• Set timeframe and be proactive with making content changes
• Hired a Tools & Practices Trainer to help
• Compliance audits, communication and corrective action.
Continuous Improvement
• Collaborate and network with Practice
Leads and Records Management office
• Seek feedback from Document Controls
team – what’s working & what’s not
• Practices naturally evolve over time as
the business undergoes changes
• Look for opportunities to continually
improve
• Set timeframe to ensure regular reviews
• Seek feedback from users
• Build feedback mechanisms into
communications.
Summary
Thank you for attending “Simplifying Records
Management Policies into Best Practices”
Any questions?
To get a copy of the Practice:
Log in to the ARMA Vancouver Chapter website:
http://vancouver.arma.org/events.html
Available on the “Events” page for one week
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