ecm boot camp 101 for the new trailblazer practices and tools for implementing your ecm program

ECM Boot Camp 101

for the New TrailblazerPractices and Tools for

implementing your ECM Program

ECM Boot Camps

Re-blazing an old trail for others to follow

Tools and a roadmap

Practical skills

A mature, repeatable process for implementing ECM

Change the way we think about records management

Learn the best practices for managing electronic records

Goal: To give agencies the skills needed to make ECM a core competency of state government

Reblazing the Trail

What’s in the bag? Granola – food to keep you going Band Aids – teams and communication Brown Bag - Breathe White Bag - Vomit Compass – to keep you on course Reminder Bracelets – Do’s (green) and Don’ts

(Red) Doggy Doo bag – Yep, file cleanup Clothes Pins and Rope – lot’s of things…

shelter, anchor your team, dry your clothes after a storm, hang your To Do lists from

Before we go, lets take a look at the map of the area…

The Path We Face Today

The Obligations of Gov’t Business missions are similar to private sector

However Agencies often refer back to past documents to

conduct their current business (Oso mud slide) Must provide documents to the public at their

request DSHS gets 22,000 public disclosure requests per year

Statutes determine how long records must be kept and managed

Must keep some records forever, due to their historical value

Current State of Records Many records to search Many copies and versions of records are kept

[Redundant]

Records kept long past their usefulness and retention [Obsolete and Transitory]

Record storage location does not parallel business process

Indefensible actions – Can’t destroy on time, can’t prove you did

High volume of records will continue to expand*ROT: Redundant

ObsoleteTransitory

Bought to address each symptom, not the underlying problem

Staff must learn to use many different tools to do their work Often disconnected and not universally

compatible Multiple software tools to search different places Business process tools don’t manage the

complete record (things end up in multiple locations at the end of a business process)

Not everyone has access to the tools needed Lack of seamless records management tools

Current State of Tools

Future State of Records ECM Program Philosophy – Repeatable process for

cleanup and electronic records management, practice the Breakthrough Principles

Fewer records to search – Less staff time spent locating records Single instance of a document – fewer duplicates

[Redundant]

Documents dispositioned (destroyed) when appropriate –

Fewer documents are kept past their business use or retention requirements [Obsolete and Transitory]

Future State of Records Fewer places to search – Records live in common

repository Invisible Records Management Tools – The tool

takes care of that for you Defensible actions – Audit log proves you took

business actions & destroyed records appropriately

Why ECM? Why now? Its starting to hurt Mission, Reputation, Risk & Cost Records Management does not drive change Public Disclosure does – and it is impacting all

4 areas today ECM tools help enable our Mission goals Help reduce the Cost of public disclosure and

wasted staff hours Help us safeguard our Reputation with the

public Helps reduce the risk to our records What are the Risks of doing this? What are the Risks of not doing this?

Ouch!Excessive time and effort are

required to respond. Incomplete responses yield penalties

and attorneys fees.We don’t destroy documents on time,

and can’t prove we did. Indefensible actions increase liability.

What is ECM? - Gartner

“Enterprise Content Management (ECM) is used to create, store, distribute, discover, archive and manage unstructured content (such as scanned documents, email, reports, medical images and office documents) and ultimately analyze usage to enable organizations to deliver relevant content to users where and when they need it.”

What is ECM? - AIIM

“Enterprise Content Management (ECM) is the strategies, methods and tools used to capture, manage, store, preserve and deliver content and documents related to organizational processes.”

Looking for the best of both worlds

An ECM Tool addresses these issues: Tagging that is logical and appropriate to the

business Becomes the steward of the information Users do not have to become records experts

to do their work Emulates the structure of the paper process

‘behind the scenes’ Manages records throughout their lifecycle

(cradle to grave) behind the scenes

Wait, there’s more!Tools that track and destroy records

appropriately Immutable audit tools that prove the

defensibility of actions takenCentralized location for unstructured records Can make them available to other systems

and mobile workersSecurity layers to control accessTools to effectively respond to public records

requests

Document Principles:Store the document with metadata

when it is first created – Create it, tag it and bag it

Access any time, from anywhere, by authorized users

Single instance of a documentDestroy documents on time

Breakthrough Principles

ECM Supports the Principles with:Powerful SearchSecured user access Automatically track retention –

destroy on timeWorkflowRedaction toolsLog Document History

Breakthrough Principles

A Better Way to Manage our Unstructured Information

Breakthrough Principles

ECMSecure/Reliable

Process Improvement

DefensibleDisposition

Users

Mgmt.Administrators

RecordsManagers

PublicDisclosure

LegalSecurity

IT

Easy to Disclose

Easy to Collaborate

Easy to Find

Easy to Store

Store Up

Front (Create, Tag it

& Bag it)

Destroy Documents

on Time

Single Instance of Document

Access Anytime, Anywhere

(Authorized Users)

Powerful Search Tools

Save Directly From Office or

Drag and Drop

Integrates with

SharePoint

Secured User

Access

Redaction and Litigation Hold Tools

Workflow

Auto Track Retention

Logs Document History (Audit Trail)

Challenge Past Current Future

Multiple ways to search for docs (more than just a label or file name)

Y

Protect user access to docs Y Y

Physical security of docs Y Y

Destroy docs on time Y Y

Apply legal holds Y ~ Y

Consistent filing scheme Y Y

Part of the business process Y Y

Find misfiled documents ? Y

Access documents from outside the office ~ Y

Version Documents ~ Y

Verify Authenticity of whole document Y

Redaction Tools

Easy to find documents Y

Single instance of document Y Y

Full text search ~ Y

Powerful Search Tools Y

Past Current

Future

What’s in it for me?

ECM Acquisition Status (9/19/2015)

Five Apparent Successful Bidders

Contract Negotiations Underway October Timeframe for completion

=Apparent Successful Bidder

*All Apparent Successful Vendors are DoD 5015.2 certified

Finalists Ranking on the Gartner Magic Quadrant

Principles & Governance Team

Boot campsTeaching how to use the ECM

master contractElectronic records management

trainingVendor fairs

Help Agencies Get Ready and Move Forward

In Development

ECM Web SiteBoot Camp materialsOnline learningShort Video VignettesSelf Help and FAQsBuilding prototypes within DFI & SoS

and other agencies – build once, use many, real life usability

Leverage expertise and resources across the state

Help Agencies Get Ready and Move Forward

Communication and Terminology

Speaking the Same Language

Bridging the language barrier and learning from others

Which Band Aid are you? Mariners Team

Each member has a position to play Knows they need to play together to win, but may not want to Needs some practice and coaching Probably on other project teams (spread thin) Needs a fan base, so promote their accomplishments

Minions Team Very enthusiastic Runs off to help before really understanding the task at hand You’re never quite sure what they’re going to bring back to you Need to be handled gently to keep them positive and upbeat

Dinosaurs Team Can and will eat you alive Aren’t easy to guide Understand that you can’t control them after you’ve turned loose, so

make sure you aim them in the right direction first They have the ability to do a lot of heavy lifting, but there will likely be

some damage you’ll have to clean up or apologize for afterwards Work to build trust and they won’t stomp on you as often

What can I do to help? Stay positive Assume Best Intentions Watch tone Focus on the result Put yourself in their shoes Ask for clarifications Look for a win-win (ask what things

would really help them) Celebrate your successes Give kudos

What’s in an acronym Let’s Look at the acronym POS

Point of Sale Program of Study Proof of Service Probability of Success Project Overview Statement Power of Suggestion Piece of … What does the word “Archive” mean to

you?

Records Management: Enables an enterprise to assign a specific life cycle to individual pieces of corporate information from creation, receipt, maintenance, and use to the ultimate disposition of records.

Unstructured Content: A mix of information that lives outside of your core business systems, often including emails, attachments, faxes, and other methods of communication and record-keeping that contains critical business information.

Web Content Management: A technology that addresses the content creation, review, approval, and publishing processes of Web-based content.

Workflow/BPM (Business Process Management): Automation of business processes, in whole or in part, where documents, information, or tasks are passed from one participant to another for action, according to a set of rules. A business process is a logically related set of workflows, worksteps, and tasks that provide a product or service to customers. BPM is a mix of Process Management/Workflow with Application Integration technology.

Terms – Records Management

Archive: To transfer records to the custody of the Washington State Archives. Period.

Cut-off: The action that starts the retention clock. These are based on legal requirements and not on convenience. Triggers include dates (date of document, fiscal year end, received date), events (termination, completion, superceded).

Trigger: The action that starts the retention clock. See Cut-off.

Disposition Authority Number (DAN): This unique number assigned to each record series granting authority for disposition. (EX: GS09009 Minutes of Policy Setting Meetings

Disposition: The action taken to ‘get rid of’ the record after it has met its retention. Sometimes this is destruction and sometimes this is to transfer to the archives forever (archival).

Retention Schedule: Also known as retention policies. The instruction manual for what to do with your records. It’s a list of records series that tell us how long we need to keep things and what to do with them after they have hit their allotted amount of time.

Retention Period: Minimum length of time agencies are required to keep records and information. This can range from zero (don’t keep at al) to forever (never destroy).

Records Series: The different types of records listed and described in a retention schedule. A record series may contain one or more document type, the DAN number, description, how long you keep it and what to do with it when the time is up.

Terms - IT API: Application program interface (it connects

different systems to each other behind the scenes) Cloud: The imaginary place records go to? No, it’s a

storage location. Sometimes you own it (like your shared drive), sometimes you rent it (like Box), sometimes its free (please don’t use this for your work records)

Database: (1) Electronic collection of records stored in a central file and accessible by many users for many applications. (2) Collection of data elements within records or files that have relationships with other records or files. Relational databases are most common-data is stored in standard rows, tables, and columns. XML databases are a developing technology.

ODBC: A neutral way (connector) for databases to talk to each other.

Interface: Same as Software Integrations (see below)

Software Integrations: Behind the scenes software widget that connects systems to each other, or to your ECM system. This makes systems play nice together.

SQL: Type of database and language used to extract/add data to it.

Structured Content or Data: Data stored in a database or ‘system’ with fields in it.

30,000 ft View of the Process

ISO 15489 in Plain English

Is there a road map?

Yes!! ISO 15489 is the best practice

road map for implementing a records management program

Is a stable, repeatable process Used on an international level

Is there a road map?Is format independent – it applies to all records

Paper Scanned Images Word, Excel and other electronic

Documents Web forms and web pages Email PDF Database Data

Established in 2001 Is designed to remain relevant over time

How does it help me?

Walks you through the process

Gives you specific tasks to do at each step

Tells you what to do with the information collected at the last step

Purpose of ISO 15489“The standardization of records management policies and procedures ensures that appropriate attention and protection is given to all records, and that the evidence and information they contain can be retrieved more efficiently and effectively using standard practices and procedures.

ISO 15489 was developed in response to consensus among participating ISO member countries to standardize international best practice in records management using the Australian Standards AS 4390, Records management as its starting point.”

The Roadmap as Outcomes

ISO vs DoDISO 15849 DoD 5015.02 v3

International Standard Federal Standard

Process Standard Software Standard

Required Analysis Activities Required System Functions

Helps you identify your Helps you do your daily ECM project work work

Tool that helps define and Tool that supports your achieve your ECM goals ECM goals

What DoD 5015.2 Buys YouFunctionality - Users, Records and InformationMeta DataVersioningNative Independent – 400+Format IntegrityRecords ManagementRetention Schedules Proof of Appropriate Destruction or TransferLitigation HoldsAudit Trail - Defensible Disposition

What DoD 5015.2 Buys YouSystem and SecurityOpen ArchitectureExit Strategy InteroperabilityBackwards CompatibilitySecurityRestricted User Access

Use the tool kit to get started

Communicate with Others Sharing your plan

Repeatable Process ECM Project Dashboard Tracks where each department is in the

process Progress State Risk areas that require attention

Drill down into Step Report Cards

(Under Construction)

Drill down into Step Report Cards

(Under Construction)

Repeatable Process Use the Roadmap

Repeatable Process Make the steps visible and easy to

follow

Repeatable Process Help others see where they are on the

new trail

Repeatable Process Highlight wins, even the little ones

Repeatable Process Find easy ways to report progress

LunchAfternoon session starts at 1:00 pm

The Tool KitLet’s Play 20 Questions

Using the tool kit to collect information and better

understand your organization’s needs

Where Do I Start?You have some ground work do before you go shopping for an ECM system.

Your Tool Belt ECM Implementation Tool

Kit Established processes

and roadmaps In house experts Existing IT investments Master Contracts for ECM

Systems and Professional Services

The ECM Mentoring Team

Find out what you have Find out what you need Find out what you must do to

comply Make a To Do list of mini-projects Include other teams – you have

several experts that want to help make it better

Stay positive Be patient Be open and collaborative, even

when you don’t feel like it.

Your Mission (should you choose to accept it)

Start with what you know:Business CaseInitial InvestigationGoal: To collect information to create an executive summary of the business you do, what needs to be fixed, why you need to fix, the risks of not fixing it, how you plan to fix it and the charter showing that you intend to fix it.

What to Do: Identify your core business activities and your

legal and business environment – so you can write the summary

Identification of records-related and eDiscovery challenges – also so you can write the summary

Define the scope Create your charter

Business Case

Start with what you know:Business Case

Identify Your TeamGoal: Start identifying the resources you have and what knowledge gaps you need to fillWhat to Do: Build your core team. You won’t need them all the time, but

it’s good to identify as many as possible up front.

Start with what you know:Recruit the Team

Project Manager ECM Expert Records Officer Legal & Public Disclosure Business Analysis IT

Communications and

Change Management Training Social Media Department Subject Matter

Experts and User Groups on a temporary basis

Don’t forget

Department or business specific resources will also join the team on a temporary basis as you work through their individual departments.

This part of the team will constantly change, but your core team should remain the same as much as possible.

Start with what you know:Recruit the Team

Goal: To identify and document your organization’s business functions.

Why: This will provide a lot of clarity before you get too far into the weeds. You’ll find you do a lot more than you realized and it can influence your next steps. This is a great tool to help you identify good Pilot candidates.

Start with what you know:Business Activities

Business ActivitiesWhat to Do: This is not an individual department level business

analysis. This is a high level analysis so you can get a feel for

what your processes are. Build a matrix that shows:

Your business units What they do Yow many people work there What types of records or information they

generate Estimate how much of their work is in paper or

electronic (a rough percentage works great) Where they are keeping their information

Start with what you know:Business Activities

Goal: To track improvement opportunities as you find them.

What to Do: This is not a detailed list You want to capture high level information that you can go

back to later Its ok to list things that won’t be addressed by the ECM Identify which business unit What area of improvement

Automation Security Customer Service Transparency Mobility User Experience

A Description of what needs to be fixed or improvedWhy: This list will help you find and track pain points that can be resolved and help improve business.

Start Making Lists:Improvement Opportunities

Start Making Lists:Improvement Opportunities

Goal: To identify and document the records related laws and rules that your organization is obligated to comply with.

Why: So you know where you are up-to-date and where you are not. Don’t be surprised to see new rules that have been missed, current rules that are not being followed or old rules that are no longer applicable (but are still being followed). Do not be surprised if your retention schedules do not match your legal requirements. he goal is to see how much clean-up work you have to plan for. The actual sub-project will be done later in the process.

Records and Legal Obligations

What to Do: Collect and review your current retention

schedule, the federal, state and local laws, as well as the business practices or industry standards that apply to your records. Cross reference your information and make sure you are complying with the correct standards. Plan to make adjustments where you are out of compliance.

Records & Legal Obligations

Goal: To identify existing systems that interact with or support the creation of business records, what their individual roles are and the state they are currently in

Why: This helps you determine what needs to be addressed first and how to resource it. You can use this information to plan to upgrade, migrate or decommission some systems.

Assess Existing Systems with IT

What to Do: Make a list of the systems that have,

use, store, modify or generate records. List the system name, what it does, the version you are on, the most current version available, the number of users, what the use level is and what the support needs are

Assess Existing Systems with IT

Goal: Identify strategies to transform your business systems into recordkeeping systems so you can:

Meet the recordkeeping requirements of Step C and

Redesign the systems assessed in Step D so that they are fully able to meet your recordkeeping needs.

Making Lists ‘Transformation Strategy‘

What to Do: Pull your research information together and choose a

mix of strategies to help you achieve your goals. (Use the information collected in Steps A, B, C and D, as well as your maturity model.) Areas to focus on and strategy examples:

Develop a Policy Strategy for your new Information Governance framework What structure do we need to meet our recordkeeping

requirements? Which areas need new or updated policies,

procedures, standards, auditing and roles? Develop a Design Strategy

How do we design or redevelop our systems to automatically meet our recordkeeping requirements?

Do we have existing systems that meet our needs or do we need to start from scratch?

What to Do: Develop a Technical Standards Strategy

Usually applies to the creation and management of electronic records or design of electronic systems, but can also apply to paper

Includes technical system and communication protocols, security, documentation, record formats and record/information storage.

Facilitates interoperability, maintainability, portability, modularity and reusability

Making Lists ‘Transformation Strategy‘

Implementation Strategy Which groups are good potential pilots? Do we need to redesign business processes

to facilitate automated recordkeeping? How do we ensure agency-wide data

management practices are followed? What types of training do we provide?

Map out your high level “Future State” Identify the sub-projects to be done in parallel.

Making Lists ‘Transformation Strategy‘

Think of these as mini-projects to be tackled individually

Goal: To identify mini projects you can do before or during your ECM program implementation

What to Do: Review your collected information and list mini-projects that

can address problems you have found that need to be addressed

You want to capture high level information that you can go back to later

These are small projects – if they are big, break them up Its ok to list things that won’t be addressed by the ECM – other

teams or departments can pick these up and do them if desired Break the larger looking projects into smaller, bite sized piecesWhy: This list will help you make small progress that adds up to big wins in the long run

Start Making Lists:To Do List

Start Making Lists:Mini-Projects / To Do List

Goal: To turn the strategies from step E into a blueprint for putting together (or redeveloping) your systems to transform them into recordkeeping systems.

Design your ECM system

What ECM looks like

Enterprise Search

CloudPublic

Access to Records

Knowledge Manageme

ntMobility

Records Manageme

nt

Imaging

Archiving

Digital Asset Management

Business Process

Management Document

Management

Collaboration

Web Content Management

Enterprise Content

Management

What to Do: Engage an expert. You will need the assistance of

someone with experience for this part. Look for someone that has several ECM battle scars and doesn’t look surprised when you tell them about the worst parts of your project.

In addition to your core team, you’re going to need several additional subject matter experts. Go get your IT guys – network, database, development, configuration, security

(yeah, pretty much all departments). This phase is going to take some effort and

negotiation, so bring doughnuts or chocolate or whatever helps everyone get through some long discussions.

Look back over your assembled information. Use the information and everyone’s knowledge to draft the components needed to:Support the business processes, Meet the records keeping requirements Fix the issues identified in the

assessments Comply with all the requirements of

everyone on the team. Go buy more Doughnuts and Chocolate

Records keeping system design – meeting our legal obligations

Policy Design – what should our policy and procedural documentation say?

Technical Design – What should the system(s) be able to do? What metadata do we want to capture? What types of records/Information should it manage? How should it handle access permissions? Does it need to integrate with other systems? Which

ones? How should it do this? Do we buy or build – or both? How do we test it? Where does it live on the network?

Design your ECM system

Logical System Design – the What and When of a system (it’s functions and processes) Forms and templates (collection and presentation of

information) Interfaces, menus and dialog boxes (interact with the

system) Databases and information structure

Physical System Design – the How and Where of a system Overall system structure System integration Software program structures Hardware configuration Data processing, storage and access protection

Technical Testing Plan Does it do what it is required to do? (System

functionality) How well do the different components work

together? (System integration) Are the menus, forms and templates

understandable and usable? (User interfaces) Can I put in the data I’m supposed to the way I am

supposed to? (Validation of inputs and outputs) Is it fast? Do I have to go get a cup of coffee while I

wait for the screen to come up? (System response and recovery time)

Design your ECM system

Have Regular Design Reviews – sometimes we discover things along the way that changes our planned design. Make sure we stop and check in on those.

Develop a Migration and/or Conversion Strategy Migration: Moving data/records/information from

one system to another Conversion: changing data/records/information

from one format to another Documentation of System Design – yes, you

should write all this stuff down Prototyping Develop a Training Plan

Design your ECM system

Goal: To get the new system(s) in place and helping improve your process.

What to Do: Time to get boots on the ground and get our new tools out to users. This will likely be driven by the ECM vendor company. This step follows traditional project roll outs, so fall back on the project management tools utilized by your organization.

Implementation and Roll Out

A couple things to remember here, however:

First: This is best done incrementally by department. Please start with a small department, it lets you practice your principals and get your processes ironed out.

Second: Not everyone will be as excited as you are, so don’t be surprised if a few try to throw tomatoes at you for your efforts. Be ready to duck, keep smiling and make some pasta sauce. Develop a Timetable for Implementation Communicate, communicate, communicate –

what is happening, how it effects users, when it’s happening, when there’s training, how to give feedback

Roll out new or redesigned system in phases Train staff to use system Introduce new or revised processes,

documentation and responsibilities Establish support, feedback and review pathways

Start your sub-projects/parallel projectsGoal: Getting the cleanup work done so project milestones can align and roll out smoothly

Why: Some of these will take a while to do. Start early on as many of them as possible so they can be completed on a similar time line as your roll out date.

Implementation and Roll Out

What to Do: Examples of mini-projects Develop or Refine the Information Governance policy,

clarify responsibilities and develop required processes and documentation

Update Retention Schedule – approaches to records retention have changed and your schedules may need streamlining

Inventory – locate and track your organization’s records and information assets

Data cleanup – deduplication, appropriate records destruction, provide missing metadata

Records Migration planning – in cases where identified records are to be moved into the chosen ECM system

Procurement – to select ECM vendor or consultant Change management project to prepare staff for new ECM IT upgrade projects to make sure workstations and

infrastructure is ready for new ECM program

Implementation and Roll Out

Goal: To measure the effectiveness of the new systems and processes, and to establish a monitoring and correction process

Check In

What to Do: Set reviews of the system, some monitoring processes and check in with users frequently. This is the Continuous Improvement part of the process and will help you iron out the bugs and build a better program that your users can really embrace. Plan on skinning your knees some more, even though you probably feel that you should know better by now. Monitoring – Use vehicles like Help desk calls, Suggestion

Forms and User Groups Post implementation review

What you should review (we have a checklist for this) Who will perform it When it will occur What performance indicators should be used What methods should be used The documentation required

Taking corrective action

Check In

This takes time, be patient with yourself and others.

You can’t do it all at once, and you shouldn’t try to.

Expect the unexpected, don’t let it derail you. You’ll get there, just keep taking small steps. Its ok that others don’t understand. We all have

to start somewhere. Don’t fear the elephant in

the room, he’s less scary when you talk about him.

Things to remember

Working your To Do lists

Identifying & Tackling Mini-Projects

Small steps equal big wins

Start tackling your ‘To Do’ list

What smaller projects can I start working on now to get ready ahead of time? New Policies Update Records Retention Schedules Establish Training processes Implement Process Streamlining Now Get rid of the old stuff that is ready to be

destroyed Upgrade software you are keeping

What kind of things go on a To Do List?

Policy updates Retention Schedules Clean Up File Shares Document Types/Classifications Business Process Changes Upgrading software and hardware Clean Up Email Imaging Plan Education/Training Program Engaging vendors and consultants

To Do List as Mini Projects Break the workload up into department level mini-projects

and track their progress as you go Smaller bites across groups makes the work go faster Lets you report progress in a measurable way

Cleaning up the old stuff

Tackling the one task you’d love to avoid

Cleaning up the records messDon’t fear the elephant in the room

Its time to face the music – we have made a huge mess over the past 30 years and we can’t ignore it or hope the next guy will come along and fix it for us

You can make it manageable by breaking it into smaller bites (Mini-projects)

Report your success, it will motivate people and keep the momentum going

Biggest Elephants Shared Drives/Network Drives Email SharePoint

Clean Up Options – File FoldersTools vs Hand Scrubbing

Only do it if you absolutely have to High risk, high effort and low bang for your buck Most will be resistant and will likely abandon the

process

ECM Clean Up Tools Analyze the content and auto classifies Helps you discover and add metadata for future

searches Creates an audit trail of the clean up process for

defensibility Has a multi-approval destruction process Available on the master contract

Clean Up Options – File FoldersUse caution when buying a on-ECM file cleanup tool, it doesn’t analyze your information like the ECM based tools do

These tools tend to look strictly at limited dates for identification (the last used date) for destruction

EXAMPLE – Varonis Great for managing user rights, recovering

lost files, identifying PII and finding out who performed an action on a file or folder

Looks at a limited set of date fields for targeting - Not as robust as ECM cleanup analytics tool

Clean Up Process – File FoldersProcess

Create a repeatable process that is easy to use Something that users are already familiar with One you can defend later

Check and Balance before destruction 3 part confirmation process – each step

signs off on the work to be done User reviews records list for holds Records Officer reviews list for holds Destruction coordinator destroys records

Cleaning up after 30 yearsUse the paper destruction approval process

Forced File Plan / Folder Structure Approach - not sustainable

Huge investment of time and effort up front Success is dependent on the honor system There are no checks and balances to ensure

consistency Not enough resources to monitor

and maintain the new structure We forget to use the process when

in a hurry Its hard to recognize when the process

begins to break down Once the break down starts, the entire

process is quickly abandonedThis is NOT a stepping stone to ECM migration

Clean Up Planning – EmailStill a bit of a moving target

State – common enterprise service “The Vault”

Economy of scale Less options on use and destruction

Local/City/County – individual investments in tools like “Barracuda”

Purchased on an individual basis Can choose how it’s used internally

Clean Up Planning – EmailTarget Transitory emails and delete them

Cookies in the break room Distribution Lists (Job openings, internal activities,

read receipts)

Plan the approach to organizing the remainder

Create a survey and ask about the organization styles your people use

How many use folders? What kind of folder structure is it? (by Month/ Year?

Subject? Sender Name? Document type?) Are they leaving it all in the In Box and sorting it?

Email Use AnalysisSurvey Questions Continued

Are they saving some off to File Folders? Ask WHY they use the method they use

Look for business process driver Look for perceived legal need Look for ease of use, convenience driver

Analyze the outcomes Expect to see many different organizing styles Group by the organizing styles See how much change is needed Try to find an approach that will work for most or

is flexible

Clean Up Process – EmailPut together a plan to disposition the Obsolete emails

Create an index report of emails Use this report as the basis for your Disposition

Tracking Log Destroy and Track emails that have met retention

Check and Balance before destruction 3 part confirmation process – each step signs off

on the work to be done User reviews records list for holds Records Officer reviews list for holds Destruction coordinator destroys records

Clean Up Planning – EmailPut together a new approach

Get input from your core team and pilot group Do a test drive with a pilot group Take the feedback to heart and adjust

Organizing approaches Leverage the familiar – if they think in business name,

see if you can work it in Avoid too high level (2015, Lary’s Files) Avoid too granular Avoid using the actual retention schedules unless you

can make it look like a document type Don’t force them to use it – they will find a way to

bypass your process

When is it time to call an Expert?

The point where the trail is more than a day hike

Using the experience of experts to succeed and learn

Sometimes you need a guide The Tool Kit helps you collect information

about your departments BUT this information is a jumping off point

for program design and detailed planning There are some pitfalls that takes

experience to recognize Chose a consultant that

you can learn from

Still Standing??