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Achieving compliance
through good businesspracticeTrish Wichmann
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Presentation overview
Setting the scene
Creating an innovative approach to achieving
compliance
Acquiring the righttechnology The importance of design
Successfully transferring compliance messages to
staff
Quick Wins Lessons learnt
Questions
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Setting the scene
COMPLIANCE - the state or fact of accordingwith or meeting rules or standards stick, carrot
or stealth?
WaterSecure bulk supplier of manufactured
water merged with Seqwater, bulk supplier ofnatural water, on 1 July 2011
WaterSecure a greenfield site plethora of
information silos, no recordkeeping framework
Non-compliant with theQld Public Records Act
2002
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Setting the scene (cont)
Needed a miracle or a system people, processes
and technology nottechnology in isolation
Records ManagementRoadmap to show the way
from current stateto desired future state:Rules and tools
Technology solution
Documents processes
Robust change approach
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The stealth theory
Foreasy to use read we are not records
managers (yawn) and dont want to be we agreed
Imposing a formally structured BCS essentially a
purists tool on our users would have doomed theimplementation from the outset
Developed two taxonomies and mapped oneto the
other
Sounds easy but isnt requires a huge amount of
planning, consultation and preliminary work
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The stealth recipe
INGREDIENTSTaxonomy 1
A folksonomy folder structure reflecting the way users work
Established initially as a new shared drive W Drive
Taxonomy 2 Formal BCS developed using accepted methodology
METHOD
Map taxonomy 1 to Taxonomy 2. No cooking required, simply
throw into eDRMS and enjoy.
Serves as many as you like.
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Stealth in practice
Users have no access to, or visibility of, the BCS Work with documents in folksonomy folder structure
When record is created, invisible background
workflow adds record to mapped record folder in
BCS pre-determined security and disposal classinherited from record folder
Business rules
all major versions declared records automatically
all emails declared records automatically on save into IRIS
Digitised incoming correspondence declared records
automatically
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Acquiring the right technology
solution - requirements
Business requirements developed:
Wide consultation must haves, should haves and niceto
haves
Agreed it must:
Beeasy to use
Provide a quick win no fuss email capturethe stand out
Provide business efficiencies
Support recordkeeping and other compliance obligations
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The right solution - evaluation
Three stages:
Comparison against mandatory requirements to
shortlist
Independent scoring of shortlisted offers by
evaluation panel members Scripted demonstrations by two products still
standing
The winner IBMFileNet suite of products
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The importance of design
Biggest challenge could sink your implementation
if you get it wrong
One size doesnt fit all
Embed compliance obligations Business analystto determine needs and map
business processes to support design
Use an implementation partner with superior
knowledge ofthe product
Keep it simple and easy to use
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Successfully transferring
compliance messages to staff
Why do eDRMS implementations fail? when employees are suspicious and unconvinced that a new
way of doing things will be better.
So, we needed to changethat perception.
ComprehensiveCommunication and ChangeManagementPlan
Change management activities
Creative communications
Marketing collateral
Education and awareness
An interim shared drive the mosteffectivetool of all!
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Successfully transferring
compliance messages to staff
Change activities included:
NamethatSystem competition
Attendance atteam meetings
pre-eDRMS sessions and demonstrations -Uncovering eDRMS Whats it all about
Mind Boggler
Column each month in our internal newsletter
IRISMentors
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Successfully transferring compliance
messages to staffDistinctive communications style and tone, onethat blended
technical fact with humour.
Fun facts & trivia sheets
Posters
Frequently asked questions
Quick guides (e.g. Business Rules at a Glance)
Colourful timeline posters
Tins ofMints
USB Sticks Key Lanyards
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Quick wins
Very early and quick wins made uptake oftheeDRMSthat much better
User-friendliness & ease of use
Accessibility via the web
Single sign-onFavourites area
Email drag & drop
Automatic record declaration of major versions
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Lessons learnt
Users love to browse folder structures ratherthan using the powerful search capability of a
system this needs to be managed
With consultation and consistent interaction with
staff, resistors are ableto beturned around andbecome champions ofthe project
Vendor support cannot be underestimated
ExecutiveManagement support is critical
Quick wins are invaluable
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