how to implement electronic records management?

How to implement ERM?Global best practices for implementing Electronic Records Management (ERM) using ISO/TR 15489-2

Atle Skjekkeland, Vice President, AIIM

Carl E. Weise, CRM, ERM Master, AIIM

ISO 15489-2 implementation methodology

A. Conduct preliminary investigation

B. Analyse business activity

C. Identify requirements for records

D. Assess existing systems

E. Identify strategies to satisfy requirements

F. Design records system

G. Implement records system

H. Conduct post-implementation review

ISO 15489-2 framework illustrated

Step A – Conduct preliminary investigation

Initial assessment of organisation’s legal and business environments

Identification of records-related challengesResults in defining scope of the programme and the programme charter

ERM implementation & the organisation

Ensure integration with other initiatives Before the ERM implementation programme begins, there must be:

Good project management Appropriate team composition Adequate resourcing Identified early benefits ('quick wins')

Programme charter

Formally authorises the programme to beginIssued by the programme sponsorGrants project managers authority to commit resources to the programme and the projects

Sometimes called a Concept of Operations or Project Initiation Document

Shows a vision that is aligned to the business strategies and realities

Programme goals and scope

Programme goalsIdentify need for change and reasonsIdentify objectives of the project

Programme scopeItems and areas in scopeItems and areas not in scope

Programme benefits

Strategic information alignment framework

Marchand’s Strategic Information Alignment Framework

Add valuecustomers and markets

Minimise Risksmarket, financial, legal,

operational risks

Reduce Coststransaction and

processes

Create New RealityIntelligence (social, political, technological, etc)

Source: “Competing with Information,” Donald Marchand (2000)

Critical success factors (CSFs)

What is required for the programme to succeed

Common CSFs for an ERM programme:Senior management supportProper planning and commitmentUser involvementEducation and trainingEase of use (system and processes)

Key performance indicators (KPIs)

Statistics that need to be captured to measure and manage success or failure relating to CSFs Measurable and meaningful metrics

Owned by senior manager Responsible for meeting targets Takes corrective action

when required

Risks, constraints, and assumptions

RisksPotential problems that may impact the projectExample: vendor is acquired

ConstraintsConditions that limit the projectExample: resource or technology constraints

AssumptionsDetails assumed to be true that impact the projectExample: project will be adequately resourced

Business activity analysis How the organisation is structured How the organisation works Areas of concern How should work be prioritised

ISO/TR 26122:2008 Information and documentation – Work process analysis for

records Framework for conducting work

process analysis

Step B – Analyse business activity

Benefits of the assessment

Identify dependencies between processes and/or transactions

Identify records creation requirementsIdentify points at which records are createdIdentify contextual links between recordsIdentify opportunities to integrate records capture into the process

Contextual review - 1

Review of the regulatory environmentStatutes, regulations and case lawMandatory standards of practiceVoluntary codes of conduct/ethicsOrganisational rules

and proceduresCommunity expectations

Contextual review - 2

Review of the organisational context of the work processesIdentify the work processes within the organisationIdentify the nature of the processesIdentify accountabilities for the processesDescribes framework for mapping functions, processes/activities and transactions

The assessment process - 1

Gather information about as-is processes

Develop top-down functional decomposition – functions, processes, tasks, and transactions

Perform bottom-up task and transaction analysis – triggers, steps, sequencing, dependencies, variations and exceptions

The assessment process - 2

Validate analyses with users; determine best practices

Identify points of record creation, process dependencies, and information requirements (data, content, and metadata)

Analyse present organizational awarenessRecords management principlesThe existing records programme (if any)

Step D – assessment of existing systems

Identify all applications in use throughout organization

Determine which applications create, capture, and/or manage records

Evaluate security and access controlsEvaluate controls to ensure record authenticity, reliability, integrity, and usability

Identify system gaps in RM capabilities

Required records control frameworkSupport for classification and retrievalSupport for metadata and metadata standardsRetention and dispositionSupport for litigation holdsAudit trails

Strategy and planning projects

Conduct business assessmentConduct technology assessment

Develop business caseDevelop programme roadmap

Records management projects

Inventory information assetsIdentify recordsDevelop records management policyDevelop taxonomyDevelop a metadata modelDevelop records retention scheduleDevelop records management processes and procedures

Vital records and archives projects

Identify vital recordsDevelop vital records processes and procedures

Identify archivesDevelop archival processes and procedures

ERM technology projects

Identify ERMS requirementsDesign ERMSProcure ERMSImplement ERMSIntegrate ERMS into line of business applications

Other projects

Develop migration planDevelop litigation support planConduct “shred day”/organisational cleanupDesign and deliver training

Monitor and auditIdentify and implementprogramme updates

Business and systems requirements:Capture the needs of business stakeholders in a manner which enables successful programme outcomes

Statement which identifies a capability, feature or qualitative attribute which has business value for the user

Step C – Identify requirements for records

How to produce ERM requirements

Gather and document stated requirements Separate realistic requirements from stated requirements Document the reason and rationale for requirements Prioritise requirements (M,HD,D) Keep users and stakeholders involved at all stages !

Standard ERM requirements specifications

Developing your own business and functional requirements specification is a significant investment of time and resources

Standard requirements specifications often save effort Limitations of standard requirements specifications Benefit of limiting “fine tuning”

Requirements for ERM

Can be grouped into five areas:

1. Create2. Maintain3. Disseminate4. Administer5. Non-functional requirements

From ICA’s guidelines

Determine the policies, standards, and tactics required for effective records management

Dependent on organisation’s particular requirements and environment

Results in records management governance framework

Step E – satisfying records requirements

Accountability for organisation’s information assetsEnsures compliance with regulations and legislation

Enables productivity improvementsEnables organisation to respond to change

Sustains good information management practices

Looking after

Informationproperly

What is governance?

Tools & Technology

Policies

Procedures Standards

The information governance framework

AuditPeople

Policy Processes and standards for managing records

Management Governance roles and responsibilities

Organisation Groups and structures required to manage information

Implementing the framework

Design processes, tools, and systems required to implement the programme

How to combine the policies, processes, systems, and standards to satisfy the requirements

Step F – Design of a records system

Process design principles

Identify required process changesRequirementsOrganisational factors

Take iterative approach

Assign ERM roles and responsibilities

Individual users or specialistsRolesWork groups or processesAcross the organisationManagementAutomationMonitoring

Design work processes

Design new processes required to manage recordsCreation and captureClassificationSearch and retrievalRetention and disposition

Update existing work processes to incorporate records management

Technology system design

Starts with requirements documentRecordkeeping requirementsOther business and functional requirementsPlatform-specific requirements

Ensure that design meets all mandatory requirements

Includes interfaces, architecture, inoperability and security

Develop and implement the solutionDevelop solution per designTest and pilot the solutionPrepare local areas for implementationImplement the solutionGo-live

Step G – Implementation of records system

The model office

Use to develop policy and proceduresUse to draft training on new policy and procedures

Test bed for ERM processes and instruments

Not real world

The pilot

Used to validate (or draft) policy and procedures

Used to validate new processesUsed to validate technology solutionUsed to validate efficacy of trainingReflects real world requirements

Benefits of the model office and pilot

Minimize reworkIdentify and address problems before the programme is rolled out to everyone

Promote user acceptance and goodwill towards new ERM programmeIf the pilot is not meaningful, it could backfire

Generic outline plan

ERM programme design

ERM technology implementation

Go live

ERM technology solution design

User acceptance testing

Support development Training development

System testing

Local preparation

Training

Data migration

Communication

Planning for change

Change does not happen overnightUsers may try to “wait out” change

Change requires effort over timeChanged behaviours must become habits

Measure effectiveness of records systemEvaluate system development processEstablish monitoring regimeAnticipate changes to organisational needs and the records management environment

Step H – post-implementation review

What needs doing?

Development of records managementacross the organisation

Ensuring take-up & effective use of ERM Extending the scope of ERM

To new areas or new types of content To new processes and applications

Assessing new developments which create records

Take corrective action if benefits do not materialise Identify the cause

Unclear procedures and processes User training not effective

Identify possible cures User interface improvements Removal of alternatives

Benefits management

Continuous improvement

Organisations do not generally go from no RM programme to world-class in one iterationScope issuesChange management issues

Some opportunities for improvement will remain

Solicit feedback from stakeholders

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