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AIIM Presentation. Selecting and Implementing A Records Management System June 5, 2008. Overview. • Preparation • Requirements • Define Priorities • System Configurations and Approaches • Implementation Considerations • Critical Success Factors • Discussion. Preparation. - PowerPoint PPT Presentation
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AIIM Presentation
Selecting and ImplementingA Records Management System
June 5, 2008
Overview
• Preparation• Requirements• Define Priorities• System Configurations and Approaches• Implementation Considerations• Critical Success Factors• Discussion
Preparation
Solidify Management Commitment• Is Records Management a Priority?• Are the Compliance Risks and implications
well understood at a Senior Level?• Are you funded? • Do you need further ROI Justification?• Are you facing Compelling Events?
Preparation
Understand Your Regulatory and Compliance Environment !
• Federal Rules of Civil Procedure ?• SOX ?• HIPAA ?• Sec 17a-3,-4 ?• DoD 5015.2 and 5015.4
Do you need to meet this?
Preparation
Understand You Data!• Identify all sources of EIS • Structured and Unstructured• Develop Retention, Disposition, and Hold
strategies for both!• Strategies for:
-Working Records-Transient Records-Official Records-Vital Records
• Physical vs. Electronic.
Preparation
First things first: The Data Map!• Important for all Compliance and RM
Initiatives! Not just to meet FRCP and SOX 404
• Will lead to more valid requirements and selection.
• Can be used as a vehicle to socialize records management issues within your organization and promote the importance of your activities.
PreparationMore on the Data Map:• Must be defensible and credible• Must be reviewed and updated regularly
• Some typical information collected: Information Description Document or Record Type Record Class or Code Retention Designation (Official, Unofficial..) Data Owning Application Data Source or Origination Quantity Owners (Business and IS) Privileged?
Sensitive? Format Time to Retrieve Accessibility Preservation Process Hold Process Declaration (on creation, event…) Chain of Custody Quantity Examples
Preparation
Data Map Tools
• Develop and Maintain using collaboration tool (SharePoint, eRoom etc)
• Use Office Tool: Access, Excel
• Generate reports or “Published” version for use by Legal.
Preparation
Preparation
Identify Risks!
• A Constant Process
• Data Map Exercise Can Uncover or Clarify
• Management Must Clearly Understand the Current Risk Condition…
RequirementsConduct a serious requirements effort.• The Why: Business Requirements • The What: Functional Requirements • The How: Design Requirements
• Often a different Consultant from the Implementation effort.
• Design Requirements based upon technology and approach chosen.
• Requirements mapped to items in Solution Design Specification
• Requirements are not a “wish-list”• Short-cuts here will lead to failure!!!!• Be realistic….. Consultant can keep your
feet on the ground!
RequirementsSome Categories To Consider:• Repository Architecture• Document Management Functionality• Workflow and Lifecycle Support• Physical Record Mgmt Support• Security Features – Role Distinctions• Robustness of Retention Policies• Publishing to Web Sites• Versioning and Revision Control• Application Integration – Office, SAP, SP,
CAD• Reporting• Support for Hardware Retention
Appliances
Define Priorities
Define and Set Priorities and Goals• What is your biggest RM challenge? • When to Tackle email?• Email Archiving?• Structured Data Systems?• Electronic or Physical? Both?• SAAS, Hosted, or Internal?• Which Locations When?• Which Departments When?• Retention Schedule Update?• Policy and Procedure Review?• Scanning and Capture?• Integrations?• Do You Drain the Swamp?
Define Priorities
Develop and Maintain a Roadmap!• Reflects Priorities and Goals• Express both Graphically and Textually
System Configurations and Approaches
Review of System Types:• Discrete RM Application• Collaborative or Site Based (SharePoint)• Enterprise Repository
Differentiators• RM Focus only – (Not really DM)• Content is Cloned • Level of LOB System Integration• In-Place Retention and Management• Electronic Only• Paper and Electronic• Can manage complex Document
Relationships• Certifications
System Type: Discrete RM
ENDUSER
CATEGORIZEAND DECLARE
FILESYSTEM
WORKINGREPOSITORY
RMSYSTEM
FILESYSTEMRECORD
REPOSITORY
PHYSICALRECORDS
RECORDSMANAGER
MANAGE FILE PLANRETENTION POLICIES
DISPOSITIONASSESSIONS
LINE OFBUSINESSSYSTEM
Characteristics• RM Focus Primarily• Content is Cloned • Paper and Electronic• Complex Document
Relationships May be a Challenge
• Certifications for some• Primarily Manual
Declaration• LOB Integration Limited• Some Workflow• Some with CAD
Integration• Single Database• File-Share Repositories• Simpler Deployment
System Type: Site Based (SharePoint)
ENDUSER
(OFFICE)
WORKINGSITEOR
LIBRARY
ROUTING TABLE
RECORDLIBRARY
PHYSICALRECORDS
RECORDSMANAGER
MANAGE FILE PLANRETENTION POLICIES
DISPOSITION
EMAILLINE OF
BUSINESSSYSTEM
MANUALDECLARE
POLICYDECLARE
CATEGORIZE
RECORDLIBRARY
RECORDLIBRARY
POLICYDECLARE
RECORDLIBRARY
Characteristics• Collaboration Focus • Numerous Content
Libraries• Governance an Issue• Content is Cloned • Paper and Electronic• Certifications Poor • Declaration Manual or
via policy (workflow)• Well integrated with
Office• Requires a Library per
Policy (SharePoint)• No “Folder” File Plan • Requires Content Types• Repository internal to
Database
System Type: Integrated RepositoryCharacteristics
• Multiple Clients• Single Source Content• Paper and Electronic• Certifications Strong• Declaration Manual or
Automatic• Folder-Based File Plans • Requires Content Types• In-Place Retention• Enterprise Search Tools• Email Archive Tools• Requires Content Types• Integrated Workflow and
Lifecycle• Enterprise Vault
Services-Multiple Servers, Databases
ENDUSER
(OFFICE)
PHYSICALRECORDS
MGMT
RECORDSMANAGER
MANAGE FILE PLANRETENTION POLICIES
DISPOSITIONASSESS ION
SPACE
MANUAL DECLAREWORKFLOW DECLARE
MANUAL OR POLICYDECLARE
IN-PLACE RETENTION
RETENTION BYARCHIVESYSTEM
EMAILARCHIVE
INTEGRATEDDOCUMENT AND
RECORDS REPOSITORY
LOBSYSTEM
LINKING ORINTEGRATION
Implementation Considerations
• Define Implementation Plan to Reflect Roadmap
• Identify areas of potential scope creep
• Be realistic with schedule and LOE
• Phased Approach.. Evolve System!
• Retain Experienced Guidance
Critical Success Factors
Long Term Success Depends Upon:• Fitting Technology to Your Environment• Facilitate User Acceptance• Consider Organizational Readiness and
Culture• Plan customization carefully and use it
strategically… • Work within the design intent of the
Software.• Keep it Simple!• Not a band-aid for business process or
governance problem!• RM is Everyone’s Priority! • Keep Management in the Boat!
Discussion
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