Compliance PoV

Compliance and ECM (point of view)

What Compliance Means to You

Compliance: Cause and Effect Game

Establishing Compliance Program: from Inception to Implementation

• Start at the foundation: building Compliance Process

• Records Management program ensures proper taxonomy and control structures are in place and all rules are enforced

• Collaboration and Workflow implementations significantly reduce majority of the corporate bottlenecks and provide invaluable auditing capabilities

• Compliance program requires a multitude of expertise – strategic, legal, operations/logistics, HR, etc. calling for PS involvement & Process Training

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What Are Laws Trying to Achieve?

Record

Linkage

Permanence

Intent

Integrity

Nonrepudiation

Confidentiality

Authenticity

Paper Recordsand Signatures

• Can we prove or demonstrate:• Who or where it came from?• What role it had in a transaction or business activity?• When it was created?• Who had control of it, and when (i.e., “audit trail” or “chain of custody”)

• In the paper world, common techniques include:• Printing processes (for example, anti-counterfeiting) • Letterheads and other legends• Postal marks• Handwriting analysis• Business process analysis• Handwritten notes (e.g., “clean up all documents” – Nancy Temple)

Authenticity (sample requirements)

?signatur

e

?signatur

e

Confidentiality (sample requirements)• Can we protect the confidentiality of an email message?

• Well-understood and tested methods exist to ensure that unauthorized parties do not gain access to a document during transport or storage:

• Couriers• Registered mail• Locked offices and filing cabinets• The envelope

• What are the equivalents in the digital world?

Document Integrity (sample requirements)

•Etc….

Compliance and ECM (enterprise content management)

• Make your compliance process collaborative. Involve business units financial managers, process owners, audit specialists, and executive stakeholders

• Look for compliance apps with ECM features. Combine the best features of an application built for compliance purposes, designed to capture information and manage/monitor the process, with ECM features for collaboration, workflow, and RMS

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Compliance is as much about training and process re-engineering as it’s about records management and automated workflow

ECM Solution Framework

Why do I have difficulties controlling content when working in projects?

Why do I have a multitude of redundant ECM applications?

Why am I not compliant with regulations?

What culture and technology will enable efficient content flow in a collaborative environment?

What platform and solution vendor satisfies my future needs?

What system/solution will make my business compliant?

How do I make the cultural and technology change to maximise content flow?

How do I change my application landscape whilst keeping the current efficiency and end-user satisfaction?

How do I maintain the organisation compliant over time?

Develop insight (Why?)

Explore Solutions (What?)

Execute a plan (How?)

Workflow

“Manage content flow”

Consolidation

“Manage content effectiveness”

Compliance

“Manage content risk”

Solution ApproachE

CM

Sce

nari

os

Develop InsightTypical client burning issues

•Why do I have difficulties controlling content when working in projects?

•Why do I have a multitude of redundant ECM applications?

•Why am I not compliant with regulations?

ECM Tool/offerings Description Value to our Clients

ECM Visioning session A top town approach investigating the pain points and expected solutions

View of clarity shaping the solution and scope of imitative

ECM DiagnosticA top down approach investigating the content management capabilities and associated value to the business

Identify gaps and synergies to maximise the ECM investment

ECM Business Case provisioning

A top down or bottoms up approach delivering business value based on experience and best practice

Business Case and Return of Investment on the ECM value to the business

Solution Frameworks




Which culture and technology will enable efficient content flow in a collaborative environment?

Which platform and solution vendor satisfies my future needs?

Which system/solution will make my business compliant?




Develop insight (Why?) Explore options (Which?) Solution Development (How?)

Collaboration

“Manage growth”

Consolidation

“Manage effectiveness”

Compliance

“Manage risk”

Solution Approach

Foc

us A

reas

Explore SolutionsTypical Client burning issues

•Which culture and technology will enable efficient content flow in a collaborative environment?

•Which platform and solution vendor satisfies my future needs?

•Which system/solution will make my business compliant?

•Which content management system, process or governance model can organise my content?


Content Management Solution Strategy

A framework that delivers a business case and road map by analysing the business value of using Content Management

Validate that the current/future Content Management investment is fit for purpose

Information Architecture Target State

A tool for developing the information capabilities of an organisation based on four core areas (Strategy, Governance, Deliver, Data, Storage, Security)

Provide clarity for our clients on the information management value in the company

ECM Vendor ScoringEvaluate ECM products based on business requirements

Product neutral vendor recommendation of the future ECM capability

Solution Frameworks











Collaboration

“Manage growth”

Consolidation


Compliance

“Manage risk”

Solution Approach

Foc

us A

reas

Execute a PlanTypical client burning issues

•How do I change my application landscape whilst keeping the current efficiency and end-user satisfaction?

•How do I maintain the organisation compliant over time?

•How do I implement the selected solution?

Solution Frameworks


ECM EstimationTool that delivers estimations targeted at portals and content management systems based on best practice and previous experience

Helps our clients understand the effort for an upcoming ECM implementation project

ECM Methodology

Complete workbook incorporating templates, processes and activities aimed at implementing portals and content management system based on best practice and experience

Methodology support for our clients when implementing ECM solutions

ECM Blue Print

Technical Solution Blueprints targeted at portals and content management solutions based on best practice and previous experience

Help our clients to gain understanding on how the ECM fits in the rest of their architectural landscape











Collaboration

“Manage growth”

Consolidation


Compliance

“Manage risk”

Solution Approach

Foc

us A

reas

ECM Strategic (typical phases and steps)

2. Develop Insight

2. Develop Insight1. Planning1. Planning 3. Explore

Solutions3. ExploreSolutions

Plan and organizePlan and organize

Gather stakeholder

input

Gather stakeholder

input

Determine key business objectives

Determine key business objectives

Assess current business

Assess current business

DefineOrganizational

needs

DefineOrganizational

needs

Cost and benefitanalysis

Cost and benefitanalysis

Create vision

Create vision

Define valuepropositionDefine valueproposition

Assess current technology

Assess current technology

RoadmapRoadmap

4. TransformationPlan

4. TransformationPlan

Tools, templates, checklist, frameworks

Compliance PoV

Documents

Transcript of Compliance PoV