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.
Session Agenda
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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
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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
A Thought To Remember
“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
Learning Objectives
 Upon
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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
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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
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Quantify and manage resources (labor,
expense, systems) necessary for
implementation of an enterprise-wise
electronic records management program
Presentation is Important
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A records management initiative
A risk management initiative
A legal compliance initiative
A technology initiative
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Be aware of your target audience !
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An Intensive Set of Tasks
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Planning, analysis and design
Records management policy and process
Technology
Compliance
Training & user support
Legacy document, email and records
migration
Key Success Factors
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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
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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
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A leader and a manager
Effective communicator
Delegates
Conceptual thinker
Detail oriented
Necessary Attributes
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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
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Major phases
 Task sets of related tasks
 Tasks
 Sub-tasks
Responsibility
 Resources
 Dependencies
Timeline
 Critical path
 Deliverables
Major Project Phases
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Planning & design
Pre-Implementation
Implementation
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Post-Implementation
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 There
are hundreds of moving parts to
manage!
Planning & Design Task Sets
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Requirements gathering & analysis
Project scoping
Strategy & objectives development
Records classification, policy & process
development
Technology assessment & design
Key methodology development
Pre-Implementation Task Sets
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System development
System & integration testing
Training program development
Core support training
Implementation Task Sets
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System / application production launch
User training
User support program
Legacy data migration
Post Implementation Task Sets
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On-going user support
Implementation financial review & analysis
Implementation issue review & analysis
Project summary reporting
Project to program transition
Documenting and Reporting
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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
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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
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Funding: Often limited
Delivery capabilities: Broad ranging
Trainer availability: Challenging
Other constraints: Agency or NARA protocols
Critical Success Factors For Training
 Did
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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
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Define scope
Identify audience(s)
Determine delivery method(s)
Build content outline(s)
Script program content
Conduct rehearsal
Develop program success measures
Target Audiences
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End-users
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Key support groups
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Management
Support Staff
Help /service support staff
Records staff
Technical staff
Trainers
Delivery Mechanisms
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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
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Policies & standards (Department /
Agency)
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eRecords system application
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Record profiling
Search methods
Corollary applications
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Records management / governance
Records classifications
Scanning
User support
Measured Delivery
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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
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Provide accessible resources & guides
Plan for follow-up training
Provide user feedback mechanism
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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!
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Paper files
Electronic documents
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In legacy document or records management systems
On shared drives in user-defined folders
Residing on local drives
E-mail
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Left in user’s inbox
Filed in user-defined folders
Migration Challenges
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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
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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
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Determine what files need to be migrated
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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
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Record value
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Activity
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Consider only records with direct value to the
mission of the organization
Records with highest activity are priority
Compliance and retention mandates
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Applicable records statutes and retention
requirements must be considered
Migration Paths
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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
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User-managed pre-implementation
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One-on-one user support
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Guidance offered to users
Provided during implementation by training
staff
Direct and remote migration
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Provided by specialized migration staff postimplementation
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
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Understand your organization’s business
and strategic plan
Know all you can about your records
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Structure
Content
Location
Understand how information is utilized and
accessed across the organization
Identify where / how PII is managed and
accessed
Compliance Approach
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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
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Record retention and disposition policy
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Legally supportable citations
Compliant across the entire organization
Applicable to all forms of electronic records
Information governance policy
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Compliant with government privacy laws
Sets proper security rules to the document level
E-Compliance Policies
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eDiscovery policy & procedures
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Ensure litigation readiness
Data back-up compliance with applicable statutes
Litigation hold policy and procedure
Ethical screening procedure
Ensuring On-going Compliance
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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 Factors
For managing resources
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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!
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System Hardware & Software
System maintenance
User licenses
Consultants
Personnel
Travel & logistics expense
Support materials
Quantifiable Resources – Difficult!
 Support
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and non-productive time
Dedicated team member offline-time
User input dedicated to effort
Non-team advice
Effective Resource Management
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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…
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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
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following resources are available:
Today’s presentation
Job Aid – Plan Checklist
Plan templates
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High-level task plan
Communication plan
Training plan
Contact Me
 To
request additional resources, guidance
and to provide feedback email me at:
larry.eiring@gmail.com
Successfully Implementing an
Enterprise-Wide Electronic Records
Management Program
Thank You
H. Larry Eiring, CRM, FAI
National Manager, Records and Risk Management
& Corporate Information Strategist
Littler Mendelson, P.C
larry.eiring@gmail.com