1. Successfully Implementing an Enterprise-Wide Electronic Records Management Program H. Larry Eiring, CRM, FAI National Manager, Records and Risk Management & Corporate Information Strategist Littler Mendelson, P.C.

2. 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

3. 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

4. “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

5. 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

6. 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

7. Learning Objectives  Quantify and manage resources (labor, expense, systems) necessary for implementation of an enterprise-wise electronic records management program

8. Presentation is Important  A records management initiative  A risk management initiative  A legal compliance initiative  A technology initiative  Be aware of your target audience !

9. 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

10. 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

11. 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

12. The Project Manager  A leader and a manager  Effective communicator  Delegates  Conceptual thinker  Detail oriented

13. 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

14. The Project Plan A realistic and comprehensive implementation plan is the foundation upon which the success of the program will be built upon

15. The Anatomy Of The Project Plan  Major phases  Task sets of related tasks  Tasks  Sub-tasks  Responsibility  Resources  Dependencies  Timeline  Critical path  Deliverables

16. Major Project Phases  Planning & design  Pre-Implementation  Implementation  Post-Implementation  There are hundreds of moving parts to manage!

17. Planning & Design Task Sets  Requirements gathering & analysis  Project scoping  Strategy & objectives development  Records classification, policy & process development  Technology assessment & design  Key methodology development

18. Pre-Implementation Task Sets  System development  System & integration testing  Training program development  Core support training

19. Implementation Task Sets  System / application production launch  User training  User support program  Legacy data migration

20. Post Implementation Task Sets  On-going user support  Implementation financial review & analysis  Implementation issue review & analysis  Project summary reporting  Project to program transition

21. 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

22. Training & User Support Development and implementation of an effective training and support methodology will ensure long-term success of the eLECTRONIC Records program

23. 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

24. Training Challenges  Funding: Often limited  Delivery capabilities: Broad ranging  Trainer availability: Challenging  Other constraints: Agency or NARA protocols

25. 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

26. 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

27. Target Audiences  End-users  Management  Support Staff  Key support groups  Help /service support staff  Records staff  Technical staff  Trainers

28. 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

29. Training Content Areas  Policies & standards (Department / Agency)  Records management / governance  Records classifications  eRecords system application  Record profiling  Search methods  Corollary applications  Scanning  User support

30. 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

31. 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

32. 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

33. 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

34. Migration Challenges  Volume: can be significant  Candidate files: in multiple repositories  User assistance: typically not viable  Time required: varies greatly  Resources necessary: typically significant

35. 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

36. 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

37. 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

38. 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

39. 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

40. Compliance Systematic integration of the organization’s compliance and risk management policies with the electronic records system will contribute to long-term program success

41. 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

42. 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

43. 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

44. E-Compliance Policies  eDiscovery policy & procedures  Ensure litigation readiness  Data back-up compliance with applicable statutes  Litigation hold policy and procedure  Ethical screening procedure

45. 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

46. Managing Resources Effective management of resources (labor, expense, systems) is fundamental to the successful implementation of an enterprise-wide electronic records management program

47. Critical Success Factors For 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

48. Quantifiable Resources – Easy!  System Hardware & Software  System maintenance  User licenses  Consultants  Personnel  Travel & logistics expense  Support materials

49. Quantifiable Resources – Difficult!  Support and non-productive time  Dedicated team member offline-time  User input dedicated to effort  Non-team advice

50. 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

51. 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

52. Helpful Resources  The following resources are available:  Today’s presentation  Job Aid – Plan Checklist  Plan templates  High-level task plan  Communication plan  Training plan

53. Contact Me  To request additional resources, guidance and to provide feedback email me at:  larry.eiring@gmail.com

54. Successfully Implementing an Enterprise-Wide Electronic Records Management Program H. Larry Eiring, CRM, FAI National Manager, Records and Risk Management & Corporate Information Strategist Littler Mendelson, P.C larry.eiring@gmail.com Thank You