Successfully Implementing an Enterprise-Wide Electronic Records Management Program

Successfully Implementing an Enterprise-Wide Electronic Records ManagementProgram

H. Larry Eiring, CRM, FAINational Manager, Records and Risk Management&Corporate Information StrategistLittler Mendelson, P.C.

Session Agenda

* Overview of today’s experience* Review of the learning objectives* First steps* The project plan* Training & user support * Information migration* Compliance* Managing resources* Ensuring success and additional resources

What You Are About To Experience

* An fast-paced, interactive and enthusiastic learning experience

* The sharing of knowledge gained through real-world, lessons-learned experiences

* An opportunity to expand your professional knowledge and perspectives

“You can't always see things for what it is if you just stare at it, sometimes you have to step back, look at things from a different perspective and ask questions” ...Leonardo Ruiz

A Thought To Remember

Learning Objectives

Upon completion of this session, participants will be able to:

* Develop a solid project plan for implementing an enterprise-wide electronic records management program

* Develop methodologies for effective training and support of users across the enterprise

Learning Objectives

* Develop a methodology for migration of documents, records, and e-mail from a legacy records system to an e-records system

* Develop a plan for connecting the organization’s compliance and risk management policies to the e-records program

Learning Objectives

* Quantify and manage resources (labor, expense, systems) necessary for implementation of an enterprise-wise electronic records management program

Presentation is Important

* A records management initiative* A risk management initiative* A legal compliance initiative* A technology initiative

Be aware of your target audience !

An Intensive Set of Tasks

* Planning, analysis and design* Records management policy and

process* Technology* Compliance* Training & user support* Legacy document, email and records

migration

Key Success Factors

Did your program implementation include:* An engaged, visible and supportive senior

management sponsor* A passionate, knowledgeable project

manager* A talented cross-sectional project team* An effectively managed budget* Proven and reliable applications* End-to-end user involvement

Program Sponsor

* Must be in a position of authority * Able to communicate the strategic importance of

the program * Acts as the liaison to executive level

management

The best sponsor is an engaged sponsor

The Project Manager

* A leader and a manager* Effective communicator* Delegates* Conceptual thinker* Detail oriented

Necessary Attributes

* Vision...for the program* Enthusiasm...for the effort * Determination...to succeed* Commitment...for excellence* Passion...for the profession* Dedication...to detail* Focus...on results* Leverage...all the skill, knowledge and

experience you have to offer

The Project Plan

A realistic and comprehensive implementation plan is the foundation upon which the success of the program

will be built upon

The Anatomy Of The Project Plan

* Major phases Task sets of related tasks

TasksSub-tasks

* Responsibility Resources

Dependencies* Timeline

Critical pathDeliverables

Major Project Phases

* Planning & design* Pre-Implementation* Implementation* Post-Implementation

There are hundreds of moving parts to manage!

Planning & Design Task Sets

* Requirements gathering & analysis * Project scoping* Strategy & objectives development* Records classification, policy & process

development* Technology assessment & design* Key methodology development

Pre-Implementation Task Sets

* System development * System & integration testing * Training program development* Core support training

Implementation Task Sets

* System / application production launch

* User training* User support program* Legacy data migration

Post Implementation Task Sets

* On-going user support* Implementation financial review &

analysis * Implementation issue review &

analysis* Project summary reporting* Project to program transition

Documenting and Reporting

* High-level Project Task Plan* Detail Project Plan* Financial Plan* Training and Support Plan* Communication Plan* Issue Tracking Report* Project Status Report

Training & User Support

Development and implementation of an effective training and support methodology will ensure long-term

success of the eLECTRONIC Records program

Training Challenges

* Trainee retention: 40-50% after just 3 days

* Optimal attention span: 45 – 60 minutes

* Easy to remember: Concepts * Difficult to remember: Technical

functions* Trainee knowledge: Varies greatly* Trainee availability: Highly variable

Training Challenges

* Funding: Often limited* Delivery capabilities: Broad ranging* Trainer availability: Challenging* Other constraints: Agency or NARA

protocols

Critical Success Factors For Training

Did your training program effectively:* Meet the needs of the trainee* Reinforce program value to users* Tune content to trainee ability* Utilize interactive training* Devote equal time to concept, policy

and technical training* Maintain positive delivery

Training Program Basics

* Define scope* Identify audience(s)* Determine delivery method(s)* Build content outline(s)* Script program content* Conduct rehearsal* Develop program success measures

Target Audiences

* End-users Management Support Staff

* Key support groups Help /service support staff Records staff

* Technical staff* Trainers

Delivery Mechanisms

* Face-to face - trainer-to-trainee* Distance learning via live webinar * Recorded video * Online user-paced interactive

programming* Electronic step-by-step resource guides

Training Content Areas

* Policies & standards (Department / Agency)* Records management / governance * Records classifications

* eRecords system application* Record profiling* Search methods

* Corollary applications* Scanning

* User support

Measured Delivery

* Conceptual overview – 30 days pre-imp * Policy & standards – 15 days pre-imp* Core training – day of implementation* Corollary applications – 10 days post

imp* Scheduled on-going training – twice

monthly* Resource guides – always available

Maintaining & Measuring Success

* Provide accessible resources & guides* Plan for follow-up training* Provide user feedback mechanism

* Dedicated email address* Intranet blog / forum

* Monitor and respond to user issues

Information Migration

Understanding the complexities of migrating legacy documents, records, and e-mail into an e-records system

and developing an efficient migration methodology are critical to user

satisfaction and confidence in the electronic Records program

Legacy Information – Everywhere!

* Paper files * Electronic documents

In legacy document or records management systems

On shared drives in user-defined folders Residing on local drives

* E-mail Left in user’s inbox Filed in user-defined folders

Migration Challenges

* Volume: can be significant* Candidate files: in multiple repositories* User assistance: typically not viable* Time required: varies greatly* Resources necessary: typically

significant

Critical Success Factors For Information Migration

Were you able to successfully:* Migrate only records of value* Maintain user access to records during

and after migration* Ensure proper application of information

governance policies and protocols* Minimize user disruption and frustration* Devote adequate resources to the

migration effort

Migration Methodology

* Determine what files need to be migrated How was this determination reached?

* Develop system rules for file migration* Identify migration paths for both

migrated and non-migrated records* Identify how non-migrated records will

be managed

Migration Criteria

* Record value* Consider only records with direct value to

the mission of the organization * Activity

* Records with highest activity are priority* Compliance and retention mandates

* Applicable records statutes and retention requirements must be considered

Migration Paths

* Active paper files Scan .pdf/A image electronic records system

* Active legacy electronic records electronic records system

* Inactive legacy electronic records electronic records archive

* Active record-value eMail electronic records system

* Non-record value eMail electronic mail archive

Migration Support Options

* User-managed pre-implementation* Guidance offered to users

* One-on-one user support * Provided during implementation by

training staff* Direct and remote migration

* Provided by specialized migration staff post-implementation

Compliance

Systematic integration of the organization’s compliance and risk

management policies with the electronic records system will

contribute to long-term program success

Compliance Essentials

* Understand your organization’s business and strategic plan

* Know all you can about your records* Structure* Content* Location

* Understand how information is utilized and accessed across the organization

* Identify where / how PII is managed and accessed

Compliance Approach

* Complete electronic records inventory* Identify and apply applicable legal

statutes, regulations and retention rules* Assign proper record value to all forms

of electronic records* Identify / apply access protocol based

on privacy and security requirements* Develop / implement / communicate

compliant policies to all users

E-Compliance Policies

* Record retention and disposition policy Legally supportable citations Compliant across the entire organization Applicable to all forms of electronic records

* Information governance policy Compliant with government privacy laws Sets proper security rules to the document

level

E-Compliance Policies

* eDiscovery policy & procedures Ensure litigation readiness Data back-up compliance with applicable

statutes* Litigation hold policy and procedure* Ethical screening procedure

Ensuring On-going Compliance

* Assign administration of compliance policies to qualified records staff

* Connect compliance administration with legal counsel

* Conduct periodic compliance audits and legal review

Managing Resources

Effective management of resources (labor, expense, systems) is

fundamental to the successful implementation of an

enterprise-wide electronic records management program

Critical Success FactorsFor managing resources

Did you effectively:* Identify / understand resource

requirements during the planning phase

* Solicit input from multiple sources* Identify and quantify tangible and

intangible costs* Track, manage and report resource

usage and cost at regular intervals

Quantifiable Resources – Easy!

* System Hardware & Software* System maintenance * User licenses* Consultants* Personnel* Travel & logistics expense* Support materials

Quantifiable Resources – Difficult!

Support and non-productive time* Dedicated team member offline-

time* User input dedicated to effort* Non-team advice

Effective Resource Management

* Develop mechanism for tracking resource utilization

* Quantify and track costs for each plan task as they occur

* Monitor and adjust resource usage as necessary

* Advise sponsor and management of variances

Success IS Possible if you…

* Make your plan realistic – then follow it!* Leverage all available talent – work to

team member’s strengths* Constantly engage sponsor and users –

their confidence and support is CRITICAL* Maintain enthusiasm – yours and the

team!

YOU CAN BE SUCCESSFUL

Helpful Resources

The following resources are available:* Today’s presentation* Job Aid – Plan Checklist* Plan templates

High-level task plan Communication plan Training plan

Contact Me

To request additional resources, guidance and to provide feedback

email me at:

[email protected]

Successfully Implementing an Enterprise-Wide Electronic Records

Management Program

H. Larry Eiring, CRM, FAINational Manager, Records and Risk Management

& Corporate Information StrategistLittler Mendelson, [email protected]

Thank You