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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 ?. 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

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  1. Electronic Records Management System Implementation Society of American Archivists Electronic Records Section Meeting August 6, 2004

  2. What’s Changed? Digital-based Record-keeping Paper-based Record-keeping PC EMAIL 2004 1980 1990 2000 2010 1970

  3. 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

  4. 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

  5. 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

  6. 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

  7. 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

  8. Bias Against RM? • Tactical versusStrategic • Clerical versusManagement • Inactive versusInformation needed NOW • Back office function versusintegrated work management

  9. 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

  10. Information Technology Records Management A Business Owners ERM Partnership Management Support

  11. Prepare the Organization • Senior management • Middle management • All employees Develop support and momentumfor the transition to electronic records. A high level consensus of need…

  12. 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

  13. 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)

  14. 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

  15. 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

  16. Traditional Approach Analyst / Dept. Rep. Inventory of records Records Manager RS Developed Managers, Legal, Tax RS Reviewed/ Approved RS Implemented Records Management

  17. 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

  18. 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

  19. 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

  20. 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

  21. 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

  22. 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

  23. 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

  24. Implementation - Pilot • Conduct pilot • Evaluate results • Modify as required • Continue to evaluate, refine and modify • Communicate results

  25. 6. Implementation – Role-out • Develop tactical plan for roll-out • Phase role-out based upon established priorities • Communicate results

  26. 7. Program Management • Audit program to monitor compliance • Schedule review and maintenance • Records review and disposition • Technology & media review and migration

  27. Opportunities • E-record challenge present opportunity that we have never had before • Careful planning, communication and participation are keys to successful implementation

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