TRIM Electronic Document & Records Management System

Records Management Policy *

The policy aims to ensure that official records created by University staff deemed to be of enduring evidential or informational value are preserved for future reference. The policy also aims to promote a consistent and coherent regime of records management processes and practices from the time of creation of records, through to their disposal or preservation and use as archives. The policy will assist management and EDRMS project staff in understanding the University's official requirements for records management.

Records & Archives Management Manual *

The manual is designed to provide information about the University's records management responsibilities, and offers comprehensive framework for the development and maintenance of best practice records management. The manual will assist management and EDRMS project staff understand the University's records and archive framework within an EDRMS environment.

Records Management Responsibility Matrix

The matrix is a table that summarises the State Records "Adequate Records Management" Standards and the respective responsibilities to ensure compliance. The matrix will assist management and EDRMS Project Staff understand their role and responsibilities to meet such standards.

1.1 Initial Requirements Scoping Template *

The Initial Requirements Scoping activity will determine the EDRMS implementation scope and theme of the EDRMS program. Use the template attached to assist the business unit to determine the overall program benefits.

1.1.1 EDRMS Requirements
Conduct the preliminary scoping with stakeholders to ascertain the high level requirements and the "theme" of the change. Use the Initial Requirements Scoping Template to document the function areas of the business unit and their respective record keeping processes.

Please arrange a University Archives, Records & Collections representative to attend the scoping exercises to provide TRIM and EDRMS advice.

1.1.2 Records Management Security
It is recommended that the business unit with University Archives, REcords & Collections discuss the records management security environment for the business unit; which includes the business unit's hard copy documente security and TRIM EDRMS requirements and to design a security framework if required.

Initial Requirements Scoping Template

Initial Requirements Scoping – Completed Sample

1.2 Management Approval *

It is required that the business unit's Management approve the proposed program. The results of the requirements scoping exercise will assist in the development of the request to Management to proceed with the TRIM EDRM Program.

1.2.1 Management Approval
Complete the attached Management Approval Template and seek approval from the business unit's senior management representative to implement TRIM for Electronic Document & Records Management.

Please customise the Management Approval Template to your specific business unit's requirements.

1.3 EDRMS & TRIM Presentation *

1.3.1 Staff EDRMS Presentation
Organise a presentation with the business unit's staff to present an overview of EDRMS and TRIM. The presentation should give all staff an understanding of the features of EDRMS and ample information to assist in determining if EDRMS benefits can be applied to their respective recordkeeping practices.

Please consult with University Archives, Records & Collections Client Liaison Manager to arrange a presentation for this EDRMS & TRIM Overview.

1.4 Final Requirements Scope *

1.4.1 Functional Area Final Requirements
Organise functional area workshops to determine final EDRMS requirements. Use the EDRMS Requirements Template as a guideline.

Please arrange a Corporate Information representative to attend the scoping exercises to provide TRIM and EDRMS advice.

1.4.2 Business Unit Initial Configuration Requirements
Please arrange for a Corporate Information Representative to complete this step.

TRIM Configuration Initial Requirments

EDRMS Requirements Template

2.1 EDRMS Implementation Project Plan

The EDRMS Implementation Project Plan will detail statements of how and when the EDRMS objectives are to be achieved, by showing the major milestones, activities and resources required for the project.

2.1.1 Project Plan Development
Develop the EDRMS Project Plan for Management approval. Use the EDRMS requirements document (created in stage 1.4) to assist with the development of the plan. The plan should include details:

• Project Objectives & Project Scope;
• Project out-of-scope;
• Program duration, Program Activities & Timeline;
• Resources Commitment;
• Success Criteria;
• Functional Requirements; and
• Program Costs & Schedule.

2.2 Management Presentation & Final Project Approval *

Organise a presentation to Managements to discuss the EDRMS plan.

2.2.1 Corporate Information Endorsement
Please submit the Project Plan to University Archives, Records & Collections for endorsement.

2.2.2 Management Presentation
Develop and conduct an Management Presentation and cover:

• EDRMS & TRIM Overview;
• The Plan;
• The changes for the unit;
• The schedule;
• Who's doing what;
• Total cost;
• Total benefits; and
• How we will communicate changes with staff.

2.2.2 Management Approval
Submit the Project Plan to Management for final approval to proceed with the full EDRMS Program.

3.1 Recordkeeping Awareness & Culture

3.1.1 Communication Plan
Use the Communication Plan Template to develop and disseminate to program stakeholder the communication plan. The development of records and information management policies and procedures alone will not automatically mean that all staff are aware of their existence or will actively adhere to them. An effective recordkeeping culture is one in which there is an understanding and appreciation of the value of making, keeping and managing full and accurate records. In organisations where an effective recordkeeping culture prevails, the fundamental recordkeeping principles and standards outlined within the organisational policies become increasingly intrinsic to work practices at all levels.

3.1.2 Staff Presentations
The introduction of an EDRMS into an organisation for the first time can be challenging for end users. Because registering records and placing them in the correct file is usually devolved to end users in an EDRMS environment, having an appropriate level of recordkeeping culture in place prior to implementation is important. This can be achieved by presenting the EDRMS program benefits and requirements of stakeholders (executive and staff). The presentation should include:

• EDRMS & TRIM Project Overview;
• The Plan;
• The changes for the unit;
• The schedule;
• Who's doing what; and
• Total benefit.

Communications Plan Template

EDRMS & TRIM Project Overview – EDRMS ALL Staff

3.2 TRIM Licences *

3.2.1 Request TRIM Licences
Please contact the TRIM Helpdesk for TRIM Licence Application Forms, information regarding licencing costs and agreements. All TRIM users require UoA ITS basic TRIM training. TRIM will not be available for use until completion of the ITS training program.

4.1 Map Current Record Keeping Processes

This phase includes "mapping" the business unit's recordkeeping processes across all of its functional areas. The Process-Maps should depict the primary business unit's functional activity and associated recordkeeping activities.

4.1.1 Design EDRMS Workshops
Conduct workshops to determine the business unit's current record keeping processes within the unit's primary functional areas.

4.1.2 Document Workflow
Create flow charts that illustrate the flow of a record keeping process, where records are currently produced (See attached Mapping Sample Template).

At this point the Subject Matter Expert of the business unit should lead this process.

Complex Mapping Sample

Simple Mapping Sample

4.2 TRIM Process Integration & Documentation

Use the maps developed of the unit's current record keeping processes and identify where TRIM can be incorporated. The Subject Matter Expert of the business unit should lead this process.

4.2.1 TRIM Integration

• Invite University Archives, Records & Collections staff to assist with the re-designing of the actual current activities and associated recordkeeping processes incorporating TRIM. This can be undertaken by holding workshops with RMO consultants and the business unit's staff;
• The business unit should now re-design / update the initial maps created, with the new TRIM integration (See attached Re-Designed Maps Sample);
• The business unit is to now summarise (in table format) all the steps incorporating TRIM with associated activity description. This is an opportunity to group all processes into functional groups, and document staff relationships and security. Create a recommendation for Managements, detailing proposed TRIM integration and changed process or activity; and
• Seek Management approval for the recommended TRIM integration and process change. (You may find that Management have reasons where change is not recommended at this point in time).

4.2.2 Procedures

Create a procedural guide that will be used to instruct staff on the new TRIM processes (refer to sample template)

4.2.3 Final Documentation Package

• Create individual process maps for each functional area;
• Create individual functional area process procedures and descriptions of each activity; and
• Create a final document that links processes, TRIM integration, description of associated activity, associated users and associated security.

4.2.4 Scanning Equipment

Determine if the business unit requires scanning equipment for paper copy documents received.  Contact the RMO for advise in regard to appropriate equipment for the unit's requirements.

Summary Process Activities and TRIM Sample

Functional Area Maps

Functional Area User Procedures Template

Procedure Sample Template

4.3 Design Business Unit TRIM Configuration

4.3.1 TRIM Business Unit Configuration
Organise a workshop with Corporate Information staff to assist designing and implementing the business unit's TRIM configuration requirements eg documents, files, file structure, users and security requirements. Arrange with Corporate Information staff to ensure:

• All Users are registered in TRIM;
• Users & Security levels applied; and
• Documents & Security applied.

4.3.2 New File Requests
New files can be requested via the RMO Online File Request Form. Complete a form for all required files to be created in TRIM.

4.3.3 Business Unit Data Entry Standards
Organise a meeting with Corporate Information staff to develop additional data entry standards specific to the business unit (Please note that the TRIM Business Rules are mandatory – see attached link).

Files, Users & Security Table

TRIM Security (An Overview)

RMO Online File Request

UoA TRIM Business Rules

5.1 Implementation Timetable

It is the responsibility of the business unit to manage the progressive rollout of its proposed change to EDRMS.

5.1.1 Determine Go-Live date
An implementation timetable for the progressive rollout across the business unit needs to be developed and communicated to staff. Such communication can take place via an intranet, newsletter, staff meetings or visits by the project team to each business unit. The implementation timetable needs to be endorsed by Management and this communicated to staff.

5.1.2 Go-Live Presentations
Hold staff meetings to discuss the Implementation Timetable. Even though consultation will have taken place on regular occasions throughout previous stages, users should be informed of the timetable, and support confirmed before rollout commences. All affected employees need to be advised.

5.2 User Documentation

5.2.1 Documentation
Develop user documentation for distribution at training sessions. Documentation should include:

• UoA Records Management Policy;
• Business Unit's Record Keeping Responsibilities;
• Business Rules and Data Entry Standards;
• Record keeping process incorporating TRIM (procedures taken from the Mapping & Design phase);
• TRIM Instruction Manuals (provided by ITS if required);
• Go-Live instructions; and
• How to get help (ITS Help Desk, TRIM Help Desk, Business Unit Support – Getting Help etc).

University Records Management Policy

Responsibilities Matrix

TRIM Business Rules

Records & Archives Management Manual

TRIM User Manuals

5.3 Business Unit EDRMS Training & Establish Support Systems

The business unit's EDRMS Project Representative is responsible for the following:

5.3.1 Training Schedule
The business unit's EDRMS Project Representative is responsible for the development of a training schedule based on grouped functional areas. The training schedule should include:

• Date and time for Basic TRIM training for all users; and
• Date and time for business unit training by functional area/process/activities.

5.3.2 Determine Trainer Requirements
Training staff on changing to an EDRMS should be provided internally or by negotiating with ITS training staff.

5.3.3 Helpdesk Support
The business unit must setup an internal centralised helpdesk contact for the rollout of the new EDRMS to support the business unit's staff. The business unit shall take responsibility for the provision of provided ongoing EDRMS support to its staff.

6.1 Rollout Progressively Across the Business Unit

Follow these steps prior to GO LIVE:

• Ensure all staff have a TRIM Licence and are appropriately registered;
• Ensure all staff understand Records Management Policy, Standards and Procedures;
• Ensure all staff have been trained in TRIM and understand the business unit's new recordkeeping processes;
• Ensure all scanning equipment has been installed and tested; and
• Ensure all staff understand support and help desk procedure.

Initial Scoping Requirements (final documentation for stage 1 - 1.1)

This is one example of the initial requirements for one pilot group in Human Resources (there were three other pilot groups, all documentation is similar)

Executive Memo Seeking Approval to Proceed (final documentation for stage 1 - 1.2)

This sample incorporates all four pilot groups.

Design EDRMS TRIM (final documentation for stage 4)

1. Maps
2. Summary of TRIM Procedures & Activities
3. Guidelines

This is one example of the design requirements for one pilot group in Human Resources (there were three other pilot groups, all documentation is similar)

Map Sample

Summary of TRIM Procedures Sample

Guidelines Sample

Implementation Plan (final documentation for stage 3)

1. Implementation Plan
2. Implementation Brief - Summary Seeking Approval to Proceed

This is one example of the implementation requirements for one pilot group in Human Resources (there were three other pilot groups, all documentation is similar)

Implementation Brief Sample

Final Implementation Documentation (final documentation for stage 5 & 6)

1. Final Security Review
2. Final Programme Plan

This sample incorporates all four pilot groups.

Programme Plan Sample