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Electronic Records Management System Implementation. Society of American Archivists Electronic Records Section Meeting August 6, 2004. What’s Changed ?. Digital-based Record-keeping. Paper-based Record-keeping. PC. EMAIL. 2004. 1980. 1990. 2000. 2010. 1970. Business Pressures.

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electronic records management system implementation

Electronic Records Management System Implementation

Society of American Archivists

Electronic Records Section Meeting

August 6, 2004

what s changed
What’s Changed?

Digital-based

Record-keeping

Paper-based

Record-keeping

PC

EMAIL

2004

1980

1990

2000

2010

1970

business pressures
Business Pressures
  • Business Process Advantages
    • Better and faster access / availability of information
    • Potential to share with anyone, anywhere
    • Faster communication
    • More efficient work
  • External
    • Reach more clients for less money
    • More control over client fulfillment
business system response
Business System Response
  • Document-based technologies
    • Image Management
    • Document Management
    • Knowledge Management
    • Content Management
  • Tactical deployment to solve specific business issues
  • Few truly enterprise-wide applications
  • Most electronic records are controlled by individuals
  • Largely ignore records management requirements
trouble begins to brew
Trouble Begins to Brew…
  • Sarbanes-Oxley
    • Fines and Jail
  • Complex Regulatory Environment
  • Cost of Discovery
    • Largest Uncontrolled Cost in American business
  • Information Privacy/Security
    • HIPAA
    • California
business reaction
Business Reaction
  • Senior management attention
  • Viewed as a problem to be solved
  • Looking for quick fixes and fast results – turn to IT for solution
  • IT has a tendency to apply technology to the problem without considering the impact on users
why do systems fail
Why do Systems Fail?
  • Viewed as a technology problem
  • Move from paper-based to digitally-based record-keeping without implementing requisite policies, standards and controls
  • Fail to involve all of the stakeholders
  • ERM is thrust upon users without proper conditioning and training
bias against rm
Bias Against RM?
  • Tactical versusStrategic
  • Clerical versusManagement
  • Inactive versusInformation needed NOW
  • Back office function versusintegrated work management
slide9

Business

Activity

Business

Strategy

RM

Strategy

Work Process

Records

Manager

User Record Retrieval Requirements

RM Program

Components

File Operations / Archives

Classic RM View

Business Process

RM Program

©Records Improvement Institute, LLC 2004

erm partnership

Information

Technology

Records Management

A

Business Owners

ERM Partnership

Management Support

prepare the organization
Prepare the Organization
  • Senior management
  • Middle management
  • All employees

Develop support and momentumfor the transition to electronic records.

A high level consensus of need…

1 framework document
1. Framework Document
  • Present Situation
  • Estimate of Costs and Risks
    • Legal and Regulatory Risks
    • Link to Goals and Strategies of the Organization
  • ERM Vision
  • Change Management Framework
    • Resource Requirements over life of project AND program
    • Reasonable Timeline ~ 3 years
  • Cross-functional Team
    • IT, Records Mgmt, Business Users

Part Business Case – Part Marketing Document

2 records management policies
2. Records Management Policies
  • Define “record” – What are you managing?
    • Official vs. transitory
    • Work in process vs. “final” record
  • Corporate Records Management Policy
    • Responsibility
    • Ownership
    • Scope (Electronic records, databases, e-mail)
3 records management standards
3. Records Management Standards
  • Govern how records will be managed
  • Establish requirements for ERM system

Retention

and

Disposition

Security

and

Authority

Trust-

worthiness

Metadata

Standard

Record

Control

retention disposition

Business

Activity

Business

Strategy

RM

Strategy

Work Process

Records

Manager

User Record Retrieval Requirements

RM Program

Components

Hard Copy File Operations / Archives

Retention & Disposition
  • Foundation for ERM
  • Basis for “declaring” a record
traditional approach
Traditional Approach

Analyst / Dept. Rep.

Inventory of records

Records Manager

RS Developed

Managers, Legal, Tax

RS Reviewed/ Approved

RS Implemented

Records Management

slide17

Business

Strategy

Business

Activity

Work Process

User Record Retrieval Requirements

Business Process

Develop RS that is aligned to business processes

What business are we in

BusinessLife Cycle

Analysis

How do we do our business

What records do we need

new rs development model
New RS Development Model

Business Activity / High Level Function

Identified by Cross-functional team

Work Process 1

Work Process 2

Work Process 3

Work Process 4

Identified by functional area managers

Identified by business process owners and project team members though analysis of business process

Records

Records

Records

new development model
New Development Model

Cross-functional Team

Functions Identified

Records Management, IT

Business process owners,

Business activity analyzed

Records and process requirements identified

Records Management, IT

Business process owners,

RS Developed

Records Management

RS Approved

Business owners, Legal, Tax, Compliance

Business process participants w / ERMS

RS Implemented

new model
New Model
  • Retention Schedules closely aligned with business process
  • Identify requirements for ERM
  • Identify opportunities for improvements to business process
  • Establish priorities
  • Build support for program
results
Results
  • Business owners understand and accept retention schedule
  • Users are prepare for transition to electronic record keeping
  • Ensure that records of lasting value are identified
4 implementation plan
4. Implementation Plan
  • Develop and communicate plan for implementation
  • Establish roles & responsibilities
    • IT
    • Records Management
    • Business Owner
    • Vendor
    • Consultants
  • Establish realistic timeframes
  • Manage expectations
    • Management
    • Users
5 implementation pilot
5. Implementation - Pilot
  • Identify pilot processes
  • Establish procedures & work instructions
  • Implement system and customized as required
  • Deliver training with user needs in mind
    • Policies,
    • Standards / Procedures
    • ERM system
implementation pilot
Implementation - Pilot
  • Conduct pilot
  • Evaluate results
  • Modify as required
  • Continue to evaluate, refine and modify
  • Communicate results
6 implementation role out
6. Implementation – Role-out
  • Develop tactical plan for roll-out
  • Phase role-out based upon established priorities
  • Communicate results
7 program management
7. Program Management
  • Audit program to monitor compliance
  • Schedule review and maintenance
  • Records review and disposition
  • Technology & media review and migration
opportunities
Opportunities
  • E-record challenge present opportunity that we have never had before
  • Careful planning, communication and participation are keys to successful implementation