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Electronic Records Projects a Roadmap for Success

Electronic Records Projects a Roadmap for Success. Pilar C. McAdam , CRM, ERMm Partner, Information Governance Norman K. Weiner Partner, Information Technology. About Pilar C. McAdam , CRM, ERMm. Partner, Information Governance, Kaizen InfoSource LLC

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Electronic Records Projects a Roadmap for Success

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  1. Electronic Records Projectsa Roadmap for Success Pilar C. McAdam, CRM, ERMm Partner, Information Governance Norman K. Weiner Partner, Information Technology

  2. About Pilar C. McAdam, CRM, ERMm • Partner, Information Governance, Kaizen InfoSource LLC • Certified Records Manager (CRM) since 2006 • Electronic Records Management Master (ERMm) since 2006 • More than 30 years experience working with business support processes and concentrating on how organizations create, use, and maintain information. • Corporate • Manufacturing • Legal • Pharmaceutical • Local Government • Utilities

  3. About Norman K. Weiner • Partner, Information Technology, Kaizen InfoSource LLC • More than 30 years in executive IT positions as Consultant, CIO, and VP IT for information management through the use of technology • Leader and practitioner for strategic planning, implementation, and support for information management solutions • Assessment of business processes with a concentration on how organizations create, use, and maintain information • Consulting • Insurance • Technology • Legal • Municipal • County • Judicial • Water • Biotech • Pharmaceutical • Mining • Education

  4. Learning Objectives • Types of electronic records projects • Preparing for an E-Records project • Implementing E-Records • Common pitfalls

  5. Types of E-Records Projects

  6. E-Records Projects • Start from nothing • Use existing capabilities • Change applications • Add a new application

  7. Preparing for an E-Records Project

  8. Preparation • Project Ownership • Analysis • Functional file plan • Targeted partnering • Finding the right solution • Communication and Change Management

  9. Project Ownership • What business unit is responsible for the information? • What business unit defines rules about how the information is used? • Business unit with authority and credibility to propose, spearhead and implement project • RIM ownership with collaboration • Collaborate with IT for availability • Collaborate with departments for retention

  10. Analysis • Where is the need greatest? • Analyze current RIM processes • Decide how you want to do things in the future • Streamline (go LEAN)

  11. Analysis (continued) • Use/develop a data map; developed in close collaboration with IT as support service • Where the records are today (map to servers, databases and applications • Data formats • How does information move between systems • Is data duplicated (re-entered or copied elsewhere)? • Is same information stored in multiple systems/locations

  12. Analysis (continued) • Optimize information availability • Information as a single instance • Enter it once via: • Application integration • Manual upload of electronic information • Manual entry of information

  13. Functional File Plan • Types of information/data in your organization • Organized functionally – by area of business – rather than departmental (e.g. Finance, HR, Administration) • Business Process/functions don’t change, even when the organizational chart does • Retention applied evenly to all items in a category • Multiple departments can share categories • Use terminology that is commonly

  14. Functional Business Processes

  15. Categories within Functions

  16. Example Records within Categories

  17. Taxonomy • Retention schedule is what employees use (human readable) • Taxonomy is what computing applications use (machine readable) to apply the retention schedule to e-Records

  18. Taxonomy (continued) Applying retention to e-records is simple when: Taxonomy = File Plan = Functional Retention Schedule • Otherwise, logic and effort are needed to map and cross reference (time, resources,$) • Increases complexity without adding value • Reduces likelihood of successful implementation

  19. Targeted Partnering • Where is the organization’s “mission critical” information? • Which business function(s) has the most problems with managing data? • Who might benefit most from adding information management controls? • Identify key stakeholder(s) • If amenable to change, target them for near or at start or rollout

  20. Finding the Right Solution • Engage IT and other departments • Conduct needs assessment to develop requirements and priorities: • Business requirements • Functional requirements • Technical requirements • Develop request for proposal (RFP) • Send RFP to those who provide products and services that most closely match what you need

  21. Finding the Right Solution(con’t) • Look for software/applications that: • Enable and meet your organization’s needs • Provide required security • Minimize need for custom solutions • Key to success is selecting the software/application that best meets YOUR business process needs • Minimize customizations • Automation brings benefits only when it makes things simpler

  22. Finding the Right Solution(con’t) Essential IT collaboration / ownership: • Network infrastructure design • Network hardware • Network storage • Data communication • Information security • Business continuity / disaster recovery

  23. Finding the Right Solution(con’t) Network infrastructure design • Internal • Physical • Virtual • Cloud? • Hybrid - internal network and cloud? • Decision will drive the IT staff skill sets required to support new system

  24. Finding the Right Solution(con’t) Network hardware • Types and numbers of servers, scanners, printers, etc. to meet operational requirements • Servers: Physical or virtual? • Internal network or cloud? • Hybrid - internal network and cloud?

  25. Finding the Right Solution(con’t) Network storage • Required capacity for operations and growth • Virtual or physical? • Internal network? • Cloud? • Hybrid - internal network and cloud?

  26. Finding the Right Solution(con’t) Data communication • Internal data transfer requirements and redundancy • External data transfer requirements and redundant: • Carriers • Circuits • Central offices • Telco points of entry into building

  27. Finding the Right Solution(con’t) Business continuity / disaster recovery • Identify amount of data can be lost without suffering economic loss • Identify amount of time operations can be down without suffering economic loss • Implement systems to support findings above

  28. Communication and Change Management • Develop communication plan to tell the organization: • What’s coming • Why it’s important • How things will be different • Where to get more information

  29. Communication and Change Management (continued) • Plan for employee training, new/updated policies, procedures, how-to guides • Update job descriptions • Manage expectations • Implementation: 1 to 3 years • Support continues post-implementation • Not everyone will buy in

  30. Communication and Change Management (continued) • Initiate communication plan when project approved • Communicate often, but be brief and informative • First message should be from executive management; second from project sponsor • Continue to highlight • What’s changing • Why it’s important • Where to get more information

  31. Communication and Change Management (continued) • Begin drafting documentation • Policies • Procedures • Training materials • How-to-guides • Use vendor/consultant templates • Solicit volunteers to review/comment on drafts

  32. Implementation:Test, Configure and Roll Out

  33. Test, Configure and Roll Out • Alpha test • Configure • Beta test • Pilot test • Production rollout • Continuous improvement

  34. Test Alpha test • IT establishes test environment • Install hardware and software • Configure software with basic settings • Test within IT to see if new servers, storage and software operate properly on test network • Train IT support staff

  35. Configure Configure software • Get educated on how the software can be configured • Take vendor classes • Read user manuals • Talk with/visit companies using the software • Join a software user group • Check out industry blogs • Professional services or your consultant should help to educate and guide your decisions

  36. Configure (continued) Configure software Example 1: Barcodes If using software to create barcode IDs for physical documents, folders, room numbers, employees, etc., the length and format of the barcode should be configurable: • Numeric? Alphanumeric? • Length? • Pre-existing schema • Should it start at a particular point in an existing sequence (if you already have barcodes in use)?

  37. Configure (continued) Configure software Example 2: Employees/Users How will the list of employees and users be created and maintained for access and security? • Should software integrate with Active Directory? (IT’s centralized Windows access and security database?) • If not Active Directory, is there another employee database to link to? • For system users, how many different security groups will you need? • What will the rights be to create/edit/delete for each group?

  38. Test(continued) Beta test • Establish configuration settings to meet operational needs • “Project owners” test for acceptance • Test findings used to identify, modify, and document systems and procedures • Retest until ready for pilot test

  39. Test(continued) Pilot test • Select test department or group • Will gain significant benefit from new system • Open to testing and to operational change • Testers should: • Perform typical transactions

  40. Test (continued) Pilot test • Use draft training/reference materials • Document issues • Use feedback to make improvements • Have IT and vendor/consultant support available • Continue Pilot test until ready for rollout into production

  41. Rollout • Continue Communications Plan • Schedule training, initially in phased small groups • Train users • Listen to feedback and use to improve tools and documentation • Move to next department

  42. Continuous Improvement • Rollout of a new system is not the end of the project for RIM or IT • The end of the rollout is also not the end of the project • It is the end of another phase and the beginning of a continual cycle of assessment and reassessment, to use the system to optimal benefit. • Meetings with end users, power users, and review of HelpDesk tickets are common sources

  43. Pitfalls to Avoid

  44. Pitfalls to Avoid • Inadequate project sponsorship • Purchasing software too soon, then having to re-engineer processes to fit what the software can do. • Skipping the Pilot phase. • Designing processes that require MORE user input. • Skipping phased rollout.

  45. Celebrate

  46. Share Success Stories • Communicate progress • Inform the organization how rollout is providing benefits • Tell colleagues • Write articles • Give presentations • Offer tours/visits

  47. A Sampling of Resources • Mike 2.0 - http://mike2.openmethodology.org • Electronic Discovery Reference Model -http://www.edrm.net • Managing Electronic Records Conference - http://www.merconference.com • AIIM - http://www.aiim.org • From the Australian Government in New South Wales: Information Asset Management (IAM) Assessment Tool -http://futureproof.records.nsw.gov.au/the-iam-tool • From the California Secretary of State: Electronic Records Resources - http://www.sos.ca.gov/archives/electronic-records.htm • From the State of Florida: Electronic Recordkeeping Strategic Plan http://dlis.dos.state.fl.us/recordsmgmt/pdfs/ElectronicRecordkeepingStrategicPlan2010-2012.pdf

  48. Contact Information Email:pmcadam@2kaizen.com nweiner@2kaizen.com Website: www.2kaizen.com

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