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©2010 Hewlett-Packard Development Company, L.P. The information contained herein is subject to change without notice.©2010 KPMG, LLP, a US Limited Liability Partnership and a member firm of the KPMG network of independent member firms affiliated with KPMG International,
a Swiss cooperative. All rights reserved. Printed in the United States. KPMG and the KPMG logo are registered trademarks of KPMG International, a Swiss cooperative
Peggy Milovina-Meyer Global Records Manager, HP
Leslie BanachDirector, Records & Information Management, KPMG
HP & KPMG: Driving HP’s journey from paper-based records management to electronic records management via HP TRIM software
How does a global technology products,
software, and services organization
deploy a records management program
for any type of record generated by a
legal or historical transaction
across all lines of business
in over 170 countries?
4
The Need for an ERMS
Began HP Global Records Manager role in 2007 when HP
faced the following challenges:
HP is required by law to manage records
At every level it is challenging to find the right records
at the right time
There is a need to produce information swiftly and
cost-effectively for tax and other government audits,
regulatory compliance, and legal proceedings
A strategy must be defined for legally destroying
records to:
Reduce archiving
Decrease litigation production costs
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
5
Define the RM Organizational Framework
Global Records
Manager
EMEA
Records
Manager
APJ
Records
Manager
Americas
Records
Manager
Country
Records
Managers
Country
Records
Managers
Country
Records
Managers
Business Line
Records
Managers
Business Line
Records
Managers
Business Line
Records
Managers
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
6
Gain Executive Sponsorship Early
Be able to articulate the pain points
Be specific about return on investment
Get C-level executives to understand the benefits of
risk prevention from this monumental type of
undertaking
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
7
Determine Project Objectives
Create enterprise processes for managing records that will:
Set priorities for records management controls that are aligned with compliance objectives
Improve access to records in order to meet information production demands for litigation, regulatory, and tax reasons
Establish a governance model that ensures that the new records management program:
Is successfully implemented and continues to function over time, with enhancements made to continuously improve the approach
Identifies the decision-making authority and accountability
Facilitates consideration of ownership and addresses concerns likely to arise throughout the records management lifecycle
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
8
Define Stakeholders
Who will Benefit
Tax, Litigation, Internal Audit, Ethics and Compliance
HP IT
How can you help IT understand what the improvements mean
for them
Who are the End Users
Global Records Management Team
Regional Records Managers
Line of Business Records Managers
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
9
Lay the Foundation
Assess current state
Amount, type, and location of regular records
declaration
Review and update Retention Schedule(s), if needed
Define how physical records processes will be
upgraded to include electronic records
Identify what manual processes can be replaced with
automated software technology
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
10
Decide on Basic Requirements for Automation
Create a single Repository or Record/Metadata
pointers (manage in place)
Identify what end user activities can be done by
software
Define search capabilities needed across the universe
of records and ESI
Deploy centralized Legal Hold Management
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
11
Address HP’s Global Needs
Program must transcend International borders
Records management services (declare, classify,
manage, store, retrieve) must be done in multiple
languages
Specific country regulations must be collected
Media-based requirements specific to region
determined (i.e. Country requires HR records stored in
paper)
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
12
Assemble the Right Project Team
HP Global Records Management Staff
HP Legal IT
Input from Tax
Litigation Discovery Team
Program and Risk Management
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
13
Bringing in Outside Help
Program and risk management needed to supplement
core HP team
Create a formal competitive evaluation process
Send out RFP
Ask for examples of technical strategies
Assess work styles
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
14
Deciding on KPMG
Program and risk management expertise
Experience with software implementations of this
magnitude
Software agnostic but deep knowledge of various
solutions
Highly regarded reputation
Mix of technology, legal, forensic and risk
management
Experience with HP a plus
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
15
First Steps
Create a proposed timeline (3 yrs)
Define the Milestones
Write the Business Requirements
Perform a Records Assessment (Business Unit health
check)
Prepare for Data Migration
Identify challenges with new deployment
Prepare for Process Change Management
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
16
PaperPaper
PaperPaper
Determine Strategic Vision
Managed Unstructured
Content
Semi-Structured
Content
Structured Content
Unmanaged Unstructured
Content
Classification StructureApply Retention Policy
Store/ManageSearch
Assign Legal Hold
Disposition
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
17
PaperPaper
PaperPaper
Measure HP’s Information Landscape
Document Management
Systems
eMailIM
TransactionalApplications
Office Applications,SharePoint
Classification StructureApply Retention Policy
Store/ManageSearch
Assign Legal Hold
Disposition
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
18
Write Business Requirements
Better to have too many than not enough
Interview all levels of a business unit
Include all records management services needed
Be specific
Be able to realistically separate must-haves from wish-
I-had
Learnings
As detailed as possible use cases
Level of detail must be extremely specific
Prioritize deliverables
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
19
Global Records Assessment
• Creates a foundation for records classification
• Generates visibility for the program
• Promotes accountability
• Helps define what end-users do and do not comprehend
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
20
Benefits from the Records Assessment
Raised visibility of the project
Addressed accountability
Provided a roadmap on what to address from:
Identification of most requested records
Volume perspective
Data type analysis
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
21
Selecting Software
HP has a records management software solution,
TRIM, from the Tower acquisition
Responded like any other vendor to Business
Requirements
Opportunity to
Exercise the software in a very large enterprise
Drive development of features not available in the
marketplace
Prepare for other global clients
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
22
Phase 1: Replace Homegrown Application
Migrating Data
Re-engineering Processes
Phase 1 Team:
HP GRM Team for Business Process Change Management
KPMG for Program and Risk Management
HP Software for Product Expertise
HP Software Services for Configuration
HP Legal IT for Systems Integration
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
23
Training for Phase 1
Create a training plan with realistic timelines
Prior to go-live
After go-live
Identify and quantify target audience
Target records managers with most actively
requested records as first in line for training
Track population of users trained
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
24
Lessons Learned - Training
Train the trainers so knowledge can grow exponentially
Be prepared to alter product training documentation to your instance-specific training manual
Plan live training sessions at least 6 months prior to go-live
Provide recorded demonstration modules of key processes for reference and future long-term training
Request user feedback / evaluations of training for continuous improvement
Provide continuous user support
Live Q&A sessions with the experts
FAQs
Provide a „suggestion box‟ for enhancements
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
25
Communications for Phase 1
Create a communication project plan aligned with training
Send communications from the highest level possible (C-executive)
Raise general awareness of all employees
Emails, newsletters, videos
Raise end user awareness that a change is coming as early as possible
Change management needs constant communications
Go-live
Announce date multiple times prior to go-live
Provide follow up go-live announcements
Communicate with end users about process for downloading software, security, technical support
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
26
Success of Phase 1
Migrated all metadata from former system
Currently have over 2,000 users
Measuring records declaration on new system in
comparison to former system
Designing operational reports for audit trails
Kept sandbox for future pilots and testing
Continue to utilize Records Assessment activity
Assessment Database
Persist with training and awareness
Address IT understanding
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
27
Decide How to Proceed after Phase 1
Based on:
Location of most requested records
Transactional Applications
Other Company Initiatives
Retirement and Consolidation
of Applications
Quick wins
Display progress to executives
Structured Data
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
28
Determine the Future Phases
SharePoint
Office Apps
Document Management Systems
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
29
Lessons Learned
Significant change management and company
awareness issues
Need to establish clear roles/responsibilities across
various organizations (IT, Legal and HPS&S)
Internal teams may need additional convincing of
consultant’s role
Competing priorities will derail timeline if not closely
monitored
Need for continued Executive updates/engagement to
drive timely resolution of issues
© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG
International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity
30
All information provided is of a general nature and is not
intended to address the circumstances of any particular
individual or entity. Although we endeavor to provide accurate
and timely information, there can be no guarantee that such
information is accurate as of the date it is received or that it
will continue to be accurate in the future. No one should act
upon such information without appropriate professional advice
after a thorough examination of the particular situation.
Q&A
31
32 ©2010 Hewlett-Packard Development Company, L.P.
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