Electronic Records Management Sample ProposalScroll down to read the first part of this sample. When purchased, the complete sample is19 pages long and is written using these Proposal Pack chapters:Title Page, Table of Contents, Executive Summary, SWOT Analysis, Present Situation,Risk Analysis, Risk Factors, Requirements, Cost/Benefit Analysis, Conclusions, BackPageThis sample was created using Proposal Pack Software #2. In the retail Proposal Packyou get the entire collection of samples (including this one) plus thousands of editabletemplates for creating an unlimited variety of custom proposals and other businessdocuments.Click here to purchase Proposal Pack Software #2The sample below does not include all of the sample’s content. The complete version isincluded in every retail Proposal Pack product and must be purchased to see the rest ofthe content and to get the editable Word format version.Read this article for more help - How to Setup Your Records Management Program
PROPOSALRecords Management Program for D. H. and B.Prepared for:William AshfordCEOPrepared by:John SimpsonVP of Operations
TABLE OF CONTENTSExecutive Summary .2Present Situation . 4SWOT Analysis .5Requirements . 7Risk Analysis . 12Risk Factors . 13Cost/Benefit Analysis . 15Conclusions . 171www.DHandB.com
EXECUTIVE SUMMARYThe purpose of this document is to make the business case for the implementation andintegration of a Records Management Program within Decker, Hubbard and Brown. Theproposed Records Management Program supports the ownership committee’s initiativeto improve productivity by organizing the corporate documents and establishing thestandards and controls to reliably archive and retrieve records as well as ensurecompliance with external audits.The Objective The business case is the outcome of the analysis of Decker, Hubbard and Brown’sexisting Records Management Program documented in the report “RecordsManagement Program Analysis Document.” This report details the business reasonsfor considering the changes and updates to Decker, Hubbard and Brown’s RecordsManagement Program.Need #1: Reduce the amount and storage of duplicate documents.Need #2: Reduce licensing and upgrade costs for multiple online documentrepositories.Need #3: Improve the ability to share documents with colleagues. Increaseflexibility when accessing and using records, such as remote access and accessoutside normal hours, enabling staff to respond more effectively and quickly tobusiness requirements.Need #4: Improve retention of institutional knowledge when staff leave or retire.Retain information and improve access to documents in paper and electronicfiling systems.Need #5: More effective organizational planning through better management ofand access to information.2www.DHandB.com
The Opportunity The Records Management Program highlights the importance of effective recordsmanagement and the opportunity for enhancements to the productivity of thebusiness and stakeholders that can result from improved records managementpolicies, procedures and systems.Goal #1: Develop a central records repository.Goal #2: Enable access to company records over the Internet.Goal #3: Improve worker productivity.Goal #4: Improve audits and controls.Goal #5: Increase access and knowledge sharing.Goal #6: Reduce the storage of duplicate documents.Goal #7: Protect sensitive information.The Solution This report has been developed to provide the assessment of the current recordsmanagement state and the reasons for proceeding with the Records ManagementProgram; including the options, requirements, cost, benefits, and management ofupdating and improving the existing Records Management Program.3www.DHandB.com
PRESENT SITUATIONA program assessment was performed to gather enough information to enablemanagement to determine whether or not to proceed with upgrading the existingRecords Management Program and to identify technology that may help with Decker,Hubbard and Brown’s goals.The Status of Decker, Hubbard and Brown’s Records Management ProgramDecker, Hubbard and Brown’s corporate Records Management Program does nothave a formal role within the organization. Storing the documents and identifyingcritical records is performed at a departmental or individual level and is combinedwith other roles and responsibilities. The long term management of documents is notseen as an important area of responsibility. Decker, Hubbard and Brown has arecords management policy covering file naming conventions, and there are multipleopen and unsecured records repositories. Decker, Hubbard and Brown does notemploy a trained records manager or someone with official responsibility for themanagement of the organization’s records, and there are no records managementtraining initiatives.The Current Environment of Records and InformationDecker, Hubbard and Brown’s electronic and paper information is stored andmaintained in multiple electronic document management software (EDMS), alsoknown as Enterprise Content Management (ECM) software applications, and networkfile shares. Most of the company’s documents are generated electronically andstored electronically. Most paper documents received are scanned and placed ineither a file share or EDMS, and then shredded or stored in a file cabinet.There are no corporate policies and procedures in place for the evaluation anddisposal of documents and no preparation is taken to ensure the long-termpreservation and access to electronic information. Partial backups of the corporateinformation and documents are performed nightly and full backups are performed biweekly. Critical records required to keep the business operations functioning in theevent of a disaster are not identified and governed by a policy or procedure toidentify critical records and their management.Decker, Hubbard and Brown will want to develop policies and procedures for theRecords Management Program. The company will need to communicate to theorganization how the policy is distributed to the staff, when to perform policyreviews, formalize the maintenance of records in all formats, and address how therecords policy is implemented. A records survey of Decker, Hubbard and Brown’sdocuments is necessary to understand the exact nature and scope of records in theorganization and to understand the effectiveness of storage and use and to be ableto address the corporate mission and strategic objectives.4www.DHandB.com
SWOT ANALYSISA preliminary SWOT (Strengths, Weaknesses, Opportunities, and Threats) Analysis ofDecker, Hubbard and Brown’s business highlights the following strengths andopportunities that can be further leveraged to provide insight for the motives to upgradethe Records Management Program. The analysis also covers the consequences of notimplementing a new approach to records management and helps identify how much riskis the organization may incur by doing nothing.StrengthsSuccessful consulting projectsExcellent documentation for clients and projectsAbility to make business and organizational changes quicklyStrong customer baseEstablished company over a decade in businessSteady growthWeaknessesMultiple content storesLack of policies and proceduresNo formal change management processNo formal trainingPoor communicationOpportunitiesHigh volumes of project and legacy documents exist.Highly developed project management methods and procedures exist.Infrastructure change can be rapidly deployed.Consolidating repositories and applying retention to records that can bedestroyed will cut costs on storage and software licensing.ThreatsIRS auditsThird-party auditsDocument securityDoing nothing5www.DHandB.com
StrengthsWeaknessOpportunitiesAllow users to easily review andresearch successful projectsRapid deployment for theprogramCut cost and reduce storageOpen access to excellentdocumentation for clients andprojectsRollout of the program is fast andchanges are done quickly ifdesiredBetter customer service for thestrong customer baseOver a decade of legacydocuments that will reduce costby not recreating thingsMaintain steady growth throughautomationConsolidate content storesOpen communication betweenbusiness units will keep us fromrecreating the wheelThreatsRapid deployment of theprogram will reduce the potentialfines from an IRS audit andspeed up third-party audits offinancial systemsIncrease document securityDevelop a communication plan topromote the program and gainenthusiasm for the new systemReview and create policies tostreamline current processesIncrease informationmanagement and securityDevelop policies and proceduresthat reduce duplicatesNo formal change managementprocessNo formal training and changemanagementHigh volumes of project andlegacy documentsDue to the organization of thebusiness, change can be rapidlydeployedConsolidating repositories andapplying retention to records thatcan be destroyed will cut costson storage and softwarelicensing6www.DHandB.com
REQUIREMENTSThe following project requirements will identify the administrative, technical, financialand other requirements to implement a Records Management Program or expand on anexisting one.Requirement #1 AdministrativeEffective governance and company adoption of the Records Management Programneeds to come from the senior management and individuals need to be identified alongwith the roles and tools of the program for it to be a success.Develop a company Records Policy and Procedure.Users must be trained on how to comply with the policies and procedures.Develop a classification scheme or file plan that organizes files and folders intological groupings.Define metadata that needs to be captured and used for searching documents.Identify or acquire personnel to manage the ongoing retention and disposal ofrecords.Design a process for efficient and effective storage and retrieval of records.Develop security and access controls for all documents.Establish a records management, information technology management andadvisory committee to deliver governance of the records program.Devise a plan for vital records and disaster preparedness or emergency plan.7www.DHandB.com
Requirement #2 TechnicalDecker, Hubbard and Brown’s technical requirements address exact technical needsbased on information gathered from the Program Analysis report.Strategy for Enterprise Content Management (ECM) Requirement:Decker, Hubbard and Brown has volumes of documents in multiple repositories thatneed to be centrally managed and migrated to a single source.Consolidation of existing systems and documents on the network file share.Management of records and metadata for the purpose of central administration.The ability to be able to store, manage and render documents and records intheir native file formats.Web-based ECM system for access anywhere.Records Management Requirement:Decker, Hubbard and Brown needs the ability to manage all corporate documentsaccording to organizational policies and to manage the complete document lifecycle toensure regulatory compliance and reduce corporate risk.Support for a Decker, Hubbard and Brown organizational classification schemeand file plan.Ability to create classification schemes with a minimum of three levels ofclassification; Function, Transaction, and Activity.Ability to make changes to the classification scheme.Changes tracked and logged in an audit trail.Ability to declare a record by a time or event trigger, such as a cutoff date.Ability to perform a legal hold and freeze records and series by authorized users.8www.DHandB.com
Capture Requirement:The central record system must be able to leverage technology to organize and manageDecker, Hubbard and Brown’s records. The solution will need to automate andstreamline processes to minimize the need for extensive training and changemanagement.Ability to capture bulk import records and metadata.Ability to import native files from the desktop.Ability to scan paper documents.Ability to automatically import documents or records and propagate metadata forlike series or groupings.Ability for knowledge works to contribute to the system and assign recordscategories at time of import.Business Process Management Requirement:Decker, Hubbard and Brown needs to improve communication and collaboration ofdistributed documents like purchase orders, project documents and invoicing. Thesystem must reduce the dependency of implied knowledge for business processes.The central repository ECM system must have the ability to create a workflowusing a standard GUI.The workflow engine must have standard out-of-the-box capabilities.Integrate with Standard Operating Systems Requirement:Decker, Hubbard and Brown uses the Microsoft platform and the ECM system will needto work with older versions of SQL & Exchange.The system shall integrate into Microsoft SQL, Exchange, Office, Outlook, andActive Directory.The system must have out-of-the-box desktop application integration with Office,Outlook and the network file share.9www.DHandB.com
Requirement #3 FinancialThe proposed solution will be for Decker, Hubbard and Brown to migrate existingcontent to a centralized repository and improve on electronic records management.Funding should be set aside for a pilot program and additional resources budgeted for atleast three years for the development and rollout of the enterprise solution. Decker,Hubbard and Brown will need to hire personnel, assign existing resources, and/oracquire services and technology from external suppliers. Implementing a RecordsManagement Program requires involvement from internal and external resources.RecordsManagement RoleRecords Management Program ResponsibilitiesDirector / SeniorManagementThey have the overall responsibility for the success of theorganization and are the ones setting its strategic goals andobjectives. They should be included in all status reports.LegalThe duties of the legal department are to ensure that theorganization is in compliance with legal and regulatoryrequirements and will be involved in the design of the ECMsystem.CommunicationsDepartmentA communication plan is critical and should start as early aspossible.ProcurementAcquiring a vendor or integrator will facilitate the need togo out for bids.ECM AdministratorManager of the technology solution – usually an ITresource.IT SupportDesktop integrations, server maintenance, ECMdeployment, general help desk.IT GroupIT’s role is to ensure that the records repository isdeveloped and implemented according to Decker, Hubbardand Brown’s technology and architectural requirements.Business Unit ManagersResponsible for the operations of departmental functions,or other business units. The Business Unit Manager’s staffwill be required to participate to implement the RecordsManagement Program. Managers need to understand theamount of involvement for staff so that the department cancontinue to run effectively.Information StewardsTypically individuals who understand the department’srecords and may be used as champions and liaisons withthe Records Manager.10www.DHandB.com
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records management policy covering file naming conventions, and there are multiple open and unsecured records repositories. Decker, Hubbard and Brown does not employ a trained records manager or someone with official responsibility for the management of the organization's records, and there are no records management training initiatives.