©2010 Hewlett-Packard Development Company, L.P. The information contained herein is subject to change without notice Session ID: IM-WE-1000 Twitter hashtag #HPSWU
Jan 29, 2015
©2010 Hewlett-Packard Development Company, L.P. The information contained herein is subject to change without notice
Session ID: IM-WE-1000 Twitter hashtag #HPSWU
©2010 Hewlett-Packard Development Company, L.P. The information contained herein is subject to change without notice
Speaker Name: Peggy Milovina-Meyer, HP Global Records ManagerLeslie Banach, KPMG, Director of Records and Information Management
Date: December 1, 2010Session ID: IM-WE-1000
HP and KPMG: Driving HP's Journey from Paper-based Records Management to Electronic Records Managementvia HP TRIM
“How does a global technology products, software, and services organization deploy a records management program for any type of record generated by a legal or historical transactions across all lines of business in over 170 countries?”
4
The Need for an ERMS
– Began HP Global Records Manager role in 2007 when HP faced the following challenges: • HP is required by law to manage records
• At every level it is challenging to find the right records at the right time
• There is a need to produce information swiftly and cost-effectively for tax and other government audits, regulatory compliance, and legal proceedings
– A strategy must be defined for legally destroying records to:• Reduce archiving
• Decrease litigation production costs
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity
Define the RM Organizational Framework
Global Records Manager
EMEARecords Manager
APJRecords Manager
AmericasRecords Manager
Country Records Managers
Country Records Managers
Country Records Managers
Business Line Records Managers
Business Line Records Managers
Business Line Records Managers
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity
Gain Executive Sponsorship Early
– Be able to articulate the pain points
– Be specific about return on investment
– Get C-level executives to understand the benefits of risk prevention from this monumental type of undertaking
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity6
Determine Project Objectives– Create enterprise processes for managing records that will:
• Set priorities for records management controls that are aligned with compliance objectives
• Improve access to records in order to meet information production demands for litigation, regulatory, and tax reasons
– Establish a governance model that ensures that the new records management program:• Is successfully implemented and continues to function over time, with enhancements made
to continuously improve the approach
• Identifies the decision-making authority and accountability
• Facilitates consideration of ownership and addresses concerns likely to arise throughout the records management lifecycle
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity
7
Define Stakeholders– Who will Benefit • Tax, Litigation, Internal Audit, Ethics and Compliance
• HP IT− How can you help IT understand what the improvements mean for them
– Who are the End Users • Global Records Management Team
• Regional Records Managers
• Line of Business Records Managers
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity8
Lay the Foundation
– Assess current state• Amount, type, and location of regular records declaration
– Review and update Retention Schedule(s), if needed
– Define how physical records processes will be upgraded to include electronic records
– Identify what manual processes can be replaced with automated software technology
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity9
Decide on Basic Requirements for Automation
– Create a single Repository or Record/Metadata pointers (manage in place)
– Identify what end user activities can be done by software
– Define search capabilities needed across the universe of records and ESI
– Deploy centralized Legal Hold Management
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity10
Address HP’s Global Needs
– Program must transcend International borders
– Records management services (declare, classify, manage, store, retrieve) must be done in multiple languages
– Specific country regulations must be collected
– Media-based requirements specific to region determined (i.e. Country requires HR records stored in paper)
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity
11
Assemble the Right Project Team
– HP Global Records Management Staff
– HP Legal IT
– Input from Tax
– Litigation Discovery Team
– Program and Risk Management
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity
12
Bringing in Outside Help
– Program and risk management needed to supplement core HP team
– Create a formal competitive evaluation process
– Send out RFP
– Ask for examples of technical strategies
– Assess work styles
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity
13
Deciding on KPMG
– Program and risk management expertise
– Experience with software implementations of this magnitude
– Software agnostic but deep knowledge of various solutions
– Highly regarded reputation
– Mix of technology, legal, forensic and risk management
– Experience with HP a plus
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity
14
First Steps
– Create a proposed timeline (3 yrs)
– Define the Milestones• Write the Business Requirements
• Perform a Records Assessment (Business Unit health check)
• Prepare for Data Migration
• Identify challenges with new deployment
– Prepare for Process Change Management
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity
15
PaperPaperPaperPaper
Determine Strategic Vision
Managed Unstructured
Content
Semi-Structured
Content
Structured Content
Unmanaged Unstructured
ContentClassification StructureApply Retention Policy
Store/ManageSearch
Assign Legal HoldDisposition
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity
16
PaperPaperPaperPaper
Measure HP’s Information Landscape
Document Management
Systems
eMailSharePoint
TransactionalApplications
Office Applications,Share Drives
Classification StructureApply Retention Policy
Store/ManageSearch
Assign Legal HoldDisposition
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity
17
Write Business Requirements
– Better to have too many than not enough
– Interview all levels of a business unit
– Include all records management services needed
– Be specific
– Be able to realistically separate must-haves from wish-I-had
– Learnings• As detailed as possible use cases
• Level of detail must be extremely specific
• Prioritize deliverables© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International
Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
18
Global Records Assessment• Creates a foundation for records classification
• Generates visibility for the program
• Promotes accountability
• Helps define what end-users do and do not comprehend
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity
Benefits from the Records Assessment
– Raised visibility of the project
– Addressed accountability
– Provided a roadmap on what to address from:• Identification of most requested records
• Volume perspective
• Data type analysis
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity
20
Selecting Software
– HP has a records management software solution, TRIM, from the Tower acquisition
– Responded like any other vendor to Business Requirements
– Opportunity to• Exercise the software in a very large enterprise
• Drive development of features not available in the marketplace
• Prepare for other global clients
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity
21
Phase 1: Replace Homegrown Application
– Migrating Data
– Re-engineering Processes
Phase 1 Team:
HP GRM Team for Business Process Change ManagementKPMG for Program and Risk ManagementHP Software for Product ExpertiseHP Software Services for ConfigurationHP Legal IT for Systems Integration
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity22
Training for Phase 1
– Create a training plan with realistic timelines• Prior to go-live
• After go-live
– Identify and quantify target audience
– Target records managers with most actively requested records as first in line for training
– Track population of users trained
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity23
Lessons Learned - Training
– Train the trainers so knowledge can grow exponentially
– Be prepared to alter product training documentation to your instance-specific training manual
– Plan live training sessions at least 6 months prior to go-live
– Provide recorded demonstration modules of key processes for reference and future long-term training
– Request user feedback / evaluations of training for continuous improvement
– Provide continuous user support−Live Q&A sessions with the experts
−FAQs
−Provide a ‘suggestion box’ for enhancements© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International
Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
24
Communications for Phase 1
Create a communication project plan aligned with training• Send communications from the highest level possible (C-executive)• Raise general awareness of all employees
− Emails, newsletters, videos
• Raise end user awareness that a change is coming as early as possible• Change management needs constant communications•Go-live
−Announce date multiple times prior to go-live−Provide follow up go-live announcements
• Communicate with end users about process for downloading software, security, technical support
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity25
Success of Phase 1
– Migrated all metadata from former system
– Currently have over 2,000 users
– Measuring records declaration on new system in comparison to former system
– Designing operational reports for audit trails
– Kept sandbox for future pilots and testing
– Continue to utilize Records Assessment activity• Assessment Database
– Persist with training and awareness
– Address IT understanding© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International
Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
26
Decide How to Proceed after Phase 1
– Based on:• Location of most requested records
− Transactional Applications
• Other Company Initiatives− Reduce the Number of Applications across the Company
• Quick wins− Display progress to executives
Structured Data
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity27
28
Determine the Future Phases
– SharePoint
– Office Apps
– Document Management Systems
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG
International”), a Swiss entity
29
Lessons Learned
– Significant change management and company awareness issues
– Need to establish clear roles/responsibilities across various organizations (IT, Legal and HPS&S)
– Internal teams may need additional convincing of consultant’s role
– Competing priorities will derail timeline if not closely monitored
– Need for continued Executive updates/engagement to drive timely resolution of issues© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International
Cooperative (“KPMG International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
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