Trish Wichmann

8/3/2019 Trish Wichmann

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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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Trish Wichmann

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