Electronic Records Projects a Roadmap for Success

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

14. 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

15. Functional Business Processes

16. Categories within Functions

17. Example Records within Categories

18. 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

19. 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

20. 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

21. 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

22. 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

23. 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

24. 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

25. 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?

26. 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?

27. 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

28. 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

29. 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

30. 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

31. 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

32. 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

33. Implementation:Test, Configure and Roll Out

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

35. 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

36. 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

37. 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)?

38. 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?

39. 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

40. 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

41. 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

42. 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

43. 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

44. Pitfalls to Avoid

45. 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.

46. Celebrate

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

48. 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

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