Successfully Implementing an Enterprise-Wide Electronic Records Management Program

1. H. Larry Eiring, CRM, FAI • National Manager, Records and Risk Management • & • Corporate Information Strategist • Littler Mendelson, P.C. Successfully Implementing an Enterprise-Wide Electronic Records ManagementProgram

2. 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

3. 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

4. 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

5. 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

6. 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

7. Learning Objectives • Quantify and manage resources (labor, expense, systems) necessary for implementation of an enterprise-wise electronic records management program

8. Presentation is Important • A records management initiative • A risk management initiative • A legal compliance initiative • A technology initiative • Be aware of your target audience !

9. 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

10. 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

11. 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

12. The Project Manager • A leader and a manager • Effective communicator • Delegates • Conceptual thinker • Detail oriented

13. 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

14. The Project Plan A realistic and comprehensive implementation plan is the foundation upon which the success of the program will be built upon

15. The Anatomy Of The Project Plan • Major phases • Task sets of related tasks • Tasks • Sub-tasks • Responsibility • Resources • Dependencies • Timeline • Critical path • Deliverables

16. Major Project Phases • Planning & design • Pre-Implementation • Implementation • Post-Implementation • There are hundreds of moving parts to manage!

17. Planning & Design Task Sets • Requirements gathering & analysis • Project scoping • Strategy & objectives development • Records classification, policy & process development • Technology assessment & design • Key methodology development

18. Pre-Implementation Task Sets • System development • System & integration testing • Training program development • Core support training

19. Implementation Task Sets • System / application production launch • User training • User support program • Legacy data migration

20. Post Implementation Task Sets • On-going user support • Implementation financial review & analysis • Implementation issue review & analysis • Project summary reporting • Project to program transition

21. 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

22. Training & User Support Development and implementation of an effective training and support methodology will ensure long-term success of the eLECTRONIC Records program

23. 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

24. Training Challenges • Funding: Often limited • Delivery capabilities: Broad ranging • Trainer availability: Challenging • Other constraints: Agency or NARA protocols

25. 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

26. 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

27. Target Audiences • End-users • Management • Support Staff • Key support groups • Help /service support staff • Records staff • Technical staff • Trainers

28. 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

29. Training Content Areas • Policies & standards (Department / Agency) • Records management / governance • Records classifications • eRecords system application • Record profiling • Search methods • Corollary applications • Scanning • User support

30. 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

31. 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

32. 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

33. 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

34. Migration Challenges • Volume: can be significant • Candidate files: in multiple repositories • User assistance: typically not viable • Time required: varies greatly • Resources necessary: typically significant

35. 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

36. 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

37. 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

38. 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

39. 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

40. Compliance Systematic integration of the organization’s compliance and risk management policies with the electronic records system will contribute to long-term program success

41. 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

42. 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

43. 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

44. E-Compliance Policies • eDiscovery policy & procedures • Ensure litigation readiness • Data back-up compliance with applicable statutes • Litigation hold policy and procedure • Ethical screening procedure

45. 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

46. Managing ResourcesEffective management of resources (labor, expense, systems) is fundamental to the successful implementation of an enterprise-wide electronic records management program

47. Critical Success FactorsFor 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

48. Quantifiable Resources – Easy! • System Hardware & Software • System maintenance • User licenses • Consultants • Personnel • Travel & logistics expense • Support materials

49. Quantifiable Resources – Difficult! • Support and non-productive time • Dedicated team member offline-time • User input dedicated to effort • Non-team advice

50. 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