GUIDELINE RECORDS CLASSIFICATION PLAN IMPLEMENTATION

Transcription

1 Government of Newfoundland and Labrador Office of the Chief Information Officer Information Management Branch GUIDELINE RECORDS CLASSIFICATION PLAN IMPLEMENTATION Guideline (Definition): OCIO Guidelines derive from Information Management and Protection Policy, TBM approved by Treasury Board on November 19, Guidelines are recommended actions, general approaches and operational behaviors. They recommend actions and are not compulsory, as they take into consideration the varying nature of the information management programs. Guidelines are generally a description that clarifies what should be done and how to achieve the objectives set out in policies and directives (source: ISO/IEC 17799:2005). Issuing Branch Information Management Approval Date Review Date OCIO TRIM Number Authorizing Directive DOC03308/2011 Information Management and Protection Policy, TBM (Where applicable) GRC Approval Date Related Directives Related Standards Related Guidelines Disposal of Records and Information Guideline Records and Information Inventory Guideline APPROVAL AND SIGN OFF Executive Director, Information Management Branch (name) (signature) (date) Note: Questions related to this guideline should be forwarded to im@gov.nl.ca

2 TABLE OF CONTENTS 1.0 Overview Scope Assumptions Overview Project Initiation Project Kick Off Project Planning Scope Definition Roles and Responsibilities Document Project Plan Communications and Change Management Communications Plan Records Classification Plan Project Working Group Program Documentation Implementation Inventory Training Backlog Elimination Reclassification Monitoring and Controlling Transfer to Operations Post-Implementation Review Glossary Definitions Acronyms References Revision History DOC03308/2011 Page 2 of 14

3 RECORDS CLASSIFICATION PLAN IMPLEMENTATION GUIDELINE 1.0 Overview The Records Classification Plan Implementation Guideline (hereafter referred to as the Guideline) provides public bodies with an approach to implementing a records classification plan. A records classification plan identifies and organizes records by arranging the records generated by business activities into categories according to standard conventions, methods and procedural rules. Implementing a records classification plan will: Improve the ability to easily access all relevant records to complete business transactions; Support compliance with legal and operational requirements related to Information management (IM); Provide an overall view of a public body s information assets and their interrelationships; Provide day-to-day guidance to employees on how to process/access information; Provide a critical path for locating information for retrieval, maintenance, retention and disposal, litigation discovery, requests processed through the Access to Information and Protection of Privacy Act (ATIPPA) and legal holds. 2.0 Scope This Guideline applies to or may be used by all public bodies (hereafter referred to as department in this document) as defined in the Management of Information Act. This guideline has been developed to provide direction to: Executives and senior management who are accountable for the operation of an information management program within their department; Departmental IM resources responsible for the implementation and maintenance of classification plans. 3.0 Assumptions This Guideline has been developed with the assumption that: A records classification plan structure has been approved for use within the department. Business rules required to support the use of the records classification plan, including naming conventions, labeling practices, etc. are in use within the department. DOC03308/2011 Page 3 of 14

4 4.0 Overview A comprehensive Records Classification Plan is a critical tool in a department s IM program. If information is not organized and accessible, it cannot be managed. The fact that almost all employees will play a role in classification, combined with the need for consistency in the way information is handled, are two critical challenges. The project plan detailed in this section incorporates the planning, communications and change management required to successfully implement the records classification plan and incorporate it into ongoing IM operations. It is meant to be used a starting point for success, and can be augmented to accommodate a department s specific requirements. 4.1 Project Initiation Implementing a records classification plan is a significant effort even for the smallest organization. This is why it needs to be recognized as a project in its own right that will require time, planning and resources. At the initiation point there must be a minimum of two resources identified: Project Sponsor: The project will require a sponsor who will have final decision making authority on behalf of the department. This should be at an executive or senior management level. The sponsor will: Provide direction on the scope, timeline and priorities of the project; Allocate resources to work on the project; Play a critical role in communicating to employees at all levels their required involvement; Resolve issues as they arise. Project Manager: The project manager will be responsible for coordinating the planning and implementation of the project. Choosing a project manager with a strong IM background is essential. The project manager will: Implement planning and management for the project; Communicate and be responsible for necessary change management plans and activities; Provide regular project reports to the Project Sponsor and any other designated individuals or committees; Coordinate Services required to carry out the project, such as procuring supplies and storage as required as well as identifying personnel resources needed for project success. Oversee the project implementation, identifying and resolving issues during the course of the project. The first step in moving the project forward is a high-level planning session between the project sponsor and project manager. This will result in: Identifying the business need or driver for the project; Documenting decisions/information already known about the project (e.g., priorities, scope, timeline, issues, etc.); Identifying departmental project management standards/resources that must be incorporated into the project; DOC03308/2011 Page 4 of 14

5 Identifying resources to be included in the project kick-off meeting; Defining agenda for the Project Kick-off meeting Project Kick Off The project kick off engages all the resources that will play a critical role in the project implementation. These resources likely fall into two categories. First there are subject matter experts (e.g. IM resources), who have knowledge of the organization that is required to plan and implement the project. Second there are managers of priority areas that need to make available resources to implement the project (e.g., Corporate Operations, priority program areas, etc.). The Agenda for this meeting may include: Overview of Departmental Records Classification Provide a description of the records classification plan, who was responsible for its development, existing implementations within the department, etc. Project objectives These will likely have been set by the sponsor and may be at a high-level at this time and may be modified following the kick-off session. Define the Scope of Project This will be largely dependant on where the group sees the greatest need for the records classification plan to be implemented as a first step. For example, some departments choose to focus on classifying their physical records before moving into the classification of their electronic records. These are important decisions, as they will impact resources, timeline, training materials, etc. Identify Potential Conflicts Are there any known activities such as busy operational times (e.g., end of fiscal year, beginning of busy program period, etc.) or ongoing projects that will impact a business unit s ability to participate in the project? Timeline Set realistic goals around the timeline for the project at a high-level. Detailed estimates can be made in the project planning process. Quick Wins Are there any known areas that can be used as quick wins meaning that there is consensus amongst the project team that the implementation of the records classification plan in this particular area will be recognized as successful? The Project Manager may wish to schedule this area earlier in the planning process as a motivator for other areas, and to maintain support/momentum for the project. Transferring to Operations Discuss the resources required to support the ongoing use and maintenance of the records classification plan following implementation. Roles and Responsibilities Define roles and responsibilities for the project team Including the project sponsor, project manager and any known resources. o Project Sponsor Executive or Senior manager accountable for the project. o Project Manager Resource responsible for the planning and delivery of the project and for project communications/change management. o Business Unit Lead: Contact for each business unit to support the project. o Information Management: Departmental IM resources. o Technical Resource: Depending on the scope of the project there may need to be resources identified to act as technical consultants or as liaison with the Office of the Chief Information Officer on the management of electronic records. Financial Resources Define the financial resources that will be available/required for the project. Understanding constraints will have an impact on the scope/timeline of the project. Physical Resources Identify any physical resources that are known to be required (e.g., new filing area, storage space, shelving, filing supplies, etc.). Ensure that this is validated with each business unit. Communications Planning Ongoing communications are critical to the success of the project. Ensure that roles for communications related to the project are clearly DOC03308/2011 Page 5 of 14

6 defined and ensure that appropriate resources are engaged if required (e.g. departmental or corporate communications employees). Reporting Requirements Identify scope, frequency and participants in reporting on project activities. Next Steps Next steps will likely include identifying the next series of meeting required to ensure that there is support for the project within each business unit. The goal of this meeting is to ensure that information about the project is known and that potential issues/risks are mitigated. Incorporate communicating back to this group regularly as a part of the communications plan. This group will be the project steering committee. Following the review and approval of the minutes, the planning effort can begin. 4.2 Project Planning All projects must have a beginning, middle and an end. There is a risk with records classification projects that the effort will drag on indefinitely if constraints are not placed on activities. The project plan is designed to keep the project on track. At a minimum, it should: Define project scope timeline and constraints; Identify and sequence activities required to complete the project; Identify and allocate resources; Reinforce communications through the project; Ensure efficient reporting of project activities/milestones Scope Definition Having a clear definition of what is in and out of scope for the project is critical. This information is needed to guide decisions about the project, including the timeline, resources required and sequence of activities. All of the information holdings may include: Paper records stored on site within business units, file rooms and registries as well as at personal workstations; Paper records stored at offsite locations including third party storage vendors, the Provincial Records Centre, government buildings, etc.; Electronic records stored on the shared or network drive; Electronic records stored within personal network drives and accounts; Electronic records stored within business applications. Work with the project team to identify all potential storage locations for departmental information and then determine which locations will be included in the records classification plan project. Some departments, for example, choose to focus on paper records first and then move to other locations such as the network shared drive. Understanding the business driver for the project (e.g., inability to respond quickly enough to requests for electronic information, costs of storing paper records in commercial storage facilities, etc.) will assist you in making decisions about the scope included in each phase of the project. DOC03308/2011 Page 6 of 14

7 4.2.2 Roles and Responsibilities Roles need to be defined for both the project designed to implement the records classification plan and the ongoing monitoring and development of it (see Section 4.1.1). Roles for the project include: Project Sponsor Project Manager Information Management Business Unit Leads Technical Resources Support for the records classification plan following the completion of the project is critical. A records classification plan is based on departmental business processes. Over time, these processes are likely to change. For example, the way the information flows may be impacted when new technologies are introduced to the work environment, new programs or projects are implemented, or legislation is introduced or amended. These changes need to be reflected in the records classification plan. A periodic review of the classification plan should be completed by the information management team (e.g. annual). The senior IM Manager or the IM Director may wish to establish an on-going IM Steering Committee or focus group to provide advice and identify issues and requirements in the implementation of the department s IM program overall, including any necessary changes to the records classification plan Document Project Plan Given what is known about the department, the state of the existing records classification plan and the scope of the project, the next step to planning the project is to identify all the tasks that need to be completed to coordinate the overall project and to accommodate business unit specific requirements. Identify and sequence all tasks in the project plan and identify the appropriate resource responsible. The project plan needs to be monitored on a regular basis to ensure that all components including timeline, resources, etc. are adjusted when changes occur that have an impact on the project. Most project managers find it helpful to retain a document that includes the project tasks in sequence, target dates to begin/complete the task, resources assigned and work effort required. It may be useful to use project management software such as Microsoft Project to assist in this effort and in keeping the project on track. 4.3 Communications and Change Management The use of a new classification plan may change the way that employees perform selected functions. The level of change will depend upon the variance between current and proposed records classification practices. Having targeted, consistent and timely communications and change management support will ease the transition of employees from current practices to new responsibilities. A good communications plan will assist with the transition of departmental employees while a dedicated working group will assist employees who will be more hands on through the implementation and possible ongoing operation of the records classification plan Communications Plan Communicating the records classification plan implementation project is critical to its success. The goal of a well defined communications plan is to: DOC03308/2011 Page 7 of 14

8 Identify all persons or groups, often referred to as stakeholders, which are impacted or may impact the success of the project. It is important that the stakeholders identified in the roles and responsibilities above understand what is required of them to make the project a success. Furthermore, when people are introduced to the project early, and given time to participate, address concerns, etc. they see themselves as a part of the project. Building a sense of ownership of the project across the department is important, as employees are more likely to get engaged in the project and want to see it succeed if it is something in which they feel a sense of ownership. Define the key messages that each stakeholder group needs to receive and when. It is also important that the messages are delivered in an appropriate manner to each group. For example, having the Deputy or Executive take the lead in communicating the project across the department gives the project a level of priority that is unlikely to be assigned when the message is delivered from someone outside of the senior executive team. Identify communication venues that can be used to disseminate information about the project (e.g. regular management meetings, annual departmental session, weekly team meetings). Identify communication tools that can be used to communicate the project and maintain awareness (e.g. web site, from deputies, monthly reports to staff, departmental intranet or newsletter). Define a sequence of communications that are required to support the project that can be incorporated into the overall project plan (e.g. Week 1 Memo from Deputy to all staff about the project, Week 5 Communicate a Milestone). Incorporate all communications into the project plan to ensure that they occur at an appropriate time Records Classification Plan Project Working Group The implementation of the records classification plan may initiate a group of employees from program areas, in addition to the project team outlined above, who will assume a role in supporting information management. One way to establish relationships with and between these resources is to form a records classification plan project working group. The purpose of this group is to disseminate and gather information, and to provide a support network for the business unit leads on the project team. The working group will be comprised of departmental resources that have been identified by each business unit to lead the implementation of the records classification plan in their respective areas. It is likely that these employees will be in support roles whereby they already perform some information management related tasks such as filing, boxing and transferring records offsite, recalling records when required, ordering filing supplies, etc. Often these will be Administrative Assistants in the program areas of the department. The success of the project and ongoing use of the records classification program is largely dependent on the ability of these key resources to provide information to the project team, and assist in the implementation. Initiating a working group to pull together these employees is a great way to establish relationships with the project team. It will also serve to expand the overall IM capacity of the department. Sessions with the working groups may include: Project Introduction, including their role IM 101 Workshop DOC03308/2011 Page 8 of 14

9 How to Use the Records Classification Plan Review/Validate Departmental Business Rules Prepare Business Unit Specific Documentation Knowledge Transfer Incorporate all sessions into the project plan to ensure that they are scheduled at appropriate times. 4.4 Program Documentation There are two types of documentation that may be required to get the project moving. These are corporate level documentation and business unit specific documentation. Corporate level documentation is prepared by the project team in consultation with relevant stakeholders. This documentation is to be implemented for all business units. Corporate level documentation includes: Business Rules Business rules relate to the handling and use of information and apply across the department. Business rules may include practices related to document or file naming conventions and terminology. In developing these department-specific rules, a department should ensure alignment with any existing Government-wide policies Standards and Guidelines that the department must use. These are available on the OCIO Website. Records Classification Plan The records classification plan needs to be in a format that is accessible to non-information management employees who may need to consult it. Review the records classification plan with the lead from each business unit to ensure that the components related to their business processes accurately, reflect the work performed, and that the language used will be acceptable and familiar to employees. Job Aids Job aids are an important tool to support the implementation and ongoing use of the records classification plan. Job aids are typically quick references to act as reminders to employees. Sample quick references are available on the OCIO Website. Project Communications A set of documentation that communicates the project and can be used to support the implementation in multiple business units is essential. For example, presentations that provide an overview of the project, describe how to classify records, and outline how the ongoing program will work following the implementation, can be re-used by each business unit and ensure that the information given to all employees is consistent. Information that is specific to the business processes of each business unit (e.g., application processing), that have specialized information handling requirements (e.g. confidential or personal information) should be identified. The relevant business unit lead will be responsible for the preparation of this material with the assistance of the information management team. 5.0 Implementation The implementation of a records classification plan will be different for every department as each department has unique business needs and information flows. Each department will identify a scope and timeline for their project that will reflect these requirements. The DOC03308/2011 Page 9 of 14

10 following is a suggested implementation that can be repeated for individual business units as required. Depending upon how the project has been structured and resources available, multiple business units can be scheduled for implementation at the same time. The level of effort required for each of the following steps will also vary depending on business needs: Inventory Training Backlog Elimination Reclassification Transfer to Operations Post-implementation Review Inventory An inventory is a detailed survey of the organization's records, including descriptions, scope, volume, frequency of use, method of organization and retention periods. It is used as the basis for developing a records management system. Completing an inventory is critical because unless a business unit knows its information holdings cannot readily manage them. See the OCIO s Guideline Records and Information Inventory for detailed instructions Training Training on how to use the classification plan is required for any employees that are creating and storing information on behalf of the department. Each business unit will have identified an employee that will act as a business unit lead. This resource will assist in scheduling any training and act as the project contact. Employee training will include: Project overview Their role in the project and post-implementation operations The projected timeline for the project How to classify records using the records classification plan How to support employees in their business unit through the implementation and operations Backlog Elimination The goal of the records classification plan implementation is to establish the use of the records classification plan for the organization of departmental information. The required effort to complete this implementation will vary depending on the variance between existing practices and the records classification plan. The goal of the backlog elimination will be to remove records from the departmental holdings prior to the implementation of the records classification plan. This results in a reduction in the overall volume of records that will require reclassification. Backlog elimination focuses on the: Secure Destruction of Transitory Records; Identification of records which may be disposed of using One Time Disposal authorization by the Government Records Committee; DOC03308/2011 Page 10 of 14

11 Approval from the Government Records Committee to apply the Corporate Records and Information Management System (C-RIMS) for the destruction of corporate information per the C-RIMS retention periods; and Disposal of records under any existing Government Records Committee approved Records Retention and Disposal Schedules. Use the Guideline Disposal of Records and Information to eliminate the departmental backlog. The elimination of the backlog results in the retention of only those records that are active and must be retained and accessible to the business unit. This is the information that requires classification or reclassification using the records classification plan Reclassification Reclassification involves the reorganization of records into the components identified in the records classification plan. The level of effort required to reclassify records varies depending upon the variance between existing practices and the records classification plan and the scope of the project (e.g., whole department or individual business units). Steps to reclassify information may include: Analysis Identify records; Information Mapping Map Information to classification plan; Physical Preparation Create required physical folders/labels; network folders; or folders and classification in a content management solution such as TRIM. Technical resources may be required for electronic data depending on the scope of the project; Transfer Transfer information (paper or electronic) to the new classification location (e.g., paper folder, network folder, TRIM folder or classification); and Update Documentation This may include the inventory, indices or other documentation maintained by the business unit or corporate IM staff to retain an up to date profile of information holdings Monitoring and Controlling Following the immediate implementation it is important to assess how the records classification plan is working following implementation. Following implementation, complete an informal assessment of how the records classification plan is working. This may include a series of short interviews with targeted resources to determine: Validate project objectives; Determine if the records classification plan is working; Determine if there is information that is not accommodated in the records classification plan; Validate that roles and responsibilities are clearly understood; and Update project deliverables (if required) Transfer to Operations Transferring the records classification plan to operations means that the backlog of records has been eliminated and employees are now using the records classification plan to organize and retrieve information. Use of the records classification plan is a part of DOC03308/2011 Page 11 of 14

12 ongoing operations. At this time it is important to reinforce the responsibilities earlier established (Section 4.2.2) to support the records classification plan. Activities include: Updating the records classification plan as required; Communicating changes to the records classification to employees and to departmental IM; and Orienting new employees on the use of the records classification plan. 5.2 Post-Implementation Review A post-implementation review is an important phase of the project. This is to assist a department in measuring the effectiveness of the records classification plan and records system and to evaluate the records classification plan in order to remedy deficiencies. The records classification plan needs to be in use for a period of time to properly gauge effectiveness. Four to six months following completion of the project would be a good target. Responsibility for this activity will vary depending on the roles and responsibilities established for the project versus ongoing operations (Section 4.2.2). This review may include: Observation of how the system is working with the random checking of operations; Feedback from users through interviews and surveys. DOC03308/2011 Page 12 of 14

13 6.0 Glossary 6.1 Definitions Classification Plan Corporate Records Life Cycle Office of Primary Responsibility (OPR) Operational Records 6.2 Acronyms C-RIMS ATTIPP IM GRC OCIO Corporate Records and Information Management Standard Access to Information and Protection of Privacy Information Management Government Records Committee Office of the Chief Information Officer 7.0 References Management of Information Act Information Management and Protection Policy, TBM Guideline Classification Plan Development for Operational Records CRIMS DOC03308/2011 Page 13 of 14

14 8.0 Revision History Date Reviewed Reviewed By Lori Collins, Coordinator Education and Awareness Iris Power, Director of Information Management Services Shelley Smith, Executive Director Information Management Information Management Standards Board (IMSB) Government Records Committee (GRC) DOC03308/2011 Page 14 of 14