edrms ark april 2007
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TRANSCRIPT
Establishing a governance structure to control document
management behavior
Ark EDRM Evolution Conference April 18-20 Sydney 2007
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Y What are governance structures?
• U.S. Department of Justice, Office of Justice Programs definition
“as the set of organizational regulations and standards exercised by management to
provide strategic direction and ensure that objectives are achieved, risks are managed appropriately, and resources are used responsibly. “
• Two types;1. Govern behaviour2. Govern communication about behaviour
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Y Technical governance structures….
• Audit trails
• Server data management/transfer including backups
• Security matrix
• Confidentiality level
• Policy and procedures on how to create, store, save, share and dispose of electronic information
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Y Communication governance structures….
Steering CommitteeProject ManagerWorking party
Funding body
Users Project team Records Manager
Records staff
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Y Why are governance structures important?
• You can add new text slides by clicking on the ‘new slide’ icon at top or by clicking Insert then New slide
• You can use the multiple slide view at the bottom to copy and paste slides.
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Y Benefits of governance structures…………
• Stakeholders have buy in by feeling they are heard
• Formalises and documents decision making
• Effectively implement complex IT projects
• Ensure a united vision of the outcome
• Channeling staff behavior to be legally compliant
• Harnesses expertise of many instead of one
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Y Influencing document control behavior…..
• Hardcopy1. Enforced policy and procedures2. Caveats
• Electronic1. Documented business rules2. Automate processes
• TechnicalSecurity matrix (example hardcopy)
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Y Who controls the documents?
• Hardcopy1. Records Manager
2. Librarian
• Electronic1. Systems Administrator
2. Document controller - policy
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Y Who governs document management?
• During implementation• Working party confirm• Steering Committee endorse• Change controls• Documentation ISO 10013-2003 compliant
• After implementation• Different staff have different roles defined
by document control procedure
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Y Communicating compliance culture
• Change management most important aspect of project
80/20 budget breakup
• Staged awareness/training program
• Reinforcement
• Report non compliance
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• Automate, automate, automate processes
• Report non compliance
Aligning compliance and business
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Y Managing secure access
• Legislation
• IT ISO/AS standards
• Records regulations
“The ERMS should support as a minimum the security categories outlined in the Commonwealth Protective Security Manual.”
From National Archives of Australian ERMS specifications and guideline documents (2006) at http://www.naa.gov.au/recordkeeping/er/erms/ERMSspecifications.pdf
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Y References
• Hutton, D. (1994). The change agents handbook:A survival guide for quality improvement champions. ASQC Quality Press:Milwauke Image and Data Manager Jan feb 2007
• The federal Privacy Commissioners site at www.privacy.gov.au is an excellent resource of guidelines, precedent and interpretations
• National Archives and Records Administration (2005).Electronic Records Management Initiative:Guidance for Building an Effective Enterprise-wide Electronic Records Management (ERM) Governance Structure
• NT Government Records Management Standard - Records Security and Access (issued October 2003)http://www.nt.gov.au/dcis/nta/recordkeeping/ntg_security.html
• ISO 10013-2003 Guidelines for quality management system documentation
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Anastasia Govan
BA(IM)GradDip(Mgt)PCP AIMM MACS AALIA MRMAASenior Lecturer Charles Darwin University Information & Kowledge Management Director & Consultant Whitehorse Strategic GroupChair Australian Computer Society NT Executive Council
PO Box 2096, Darwin, NT, Australia, 0801Phone [email protected]
Contact details
www.cdu.edu.au