Project Checklist©

The following is a brief checklist of items that should be covered when starting an electronic records management (ERM) project. While this is a general list, it should provide the reader with the basis for a greater and more detailed list and provide some insight into the complexity of an ERM study. This checklist can be used for projects involving document imaging, document management, groupware, and workflow.

Porter-Roth Associates starts with a list that is approximately 20 pages. Depending on the project, the list is modified to suit the specific application.

General Project Information

1. What are the strategic goals for implementing this technology? Are there multiple goals? What are they?
2. What are the specific problems that this technology will solve?

1. File/data storage problems
2. File/data access
3. Retrieval issues, i.e., not getting complete data upon a search?
4. Other?

3. What problems may this technology create?

1. New communications structure needed
2. New legal guidelines needed
3. Government approvals
4. etc.

4. Please provide a current organization chart for each department that will be involved in the study. Also include a brief statement about the application(s) for each department. For example, human resources applications include (1) personnel files, (2) personnel policies and guidelines, and (3) resume tracking.
5. Projected (or expected) annual growth rates for documents that will be part of the study. Remember that each department may have several applications and the growth for each may be different. (Other type of data input covered below)
6. Unique features of documents that require special processing or keeping them as "paper documents" instead of an image. Such as historical documents with a color seals, special embossed stamps, and signatures.
7. Put together an example collection of documents and folders as they are stored as a working example of the documents involved. This may involve several different departments.
8. Retention period by type of document and by department. This is the time period that documents must be kept by law. It may vary according to document type as some documents may have legal retention of 5 years or 7 years while others are kept on a permanent basis.
9. Legal and corporate compliance issues by document type and department. Please provide the legal reference that specifies a document’s retention period. Please provide in-house guidelines for record retention. Also, remember to review you company and State legal retention guidelines. Optical disk storage is not generally approved as an "Archival" media. Archival being storage of documents for 100 plus years.
10. Is there a "Certified Records Manager (CRM)" present? If so, the CRM should be brought into the project.
11. Do you have any existing document management systems that are used? Will there be a requirement to convert from the existing system to the new system? What is the existing system (if there is one) used for - what application? How many images are stored on the system? What format are they stored in?
12. Will the image system be linked to an existing mainframe (database) system that provides indexing information or will the existing mainframe system be used for document retrieval? Is there a need to link a 3270-type session from the mainframe to the imaging system? If so, complete item 13 below.
13. The current (and projected) computer system architecture to include:

1. Mainframe architecture and operating system
2. Primary database in operation and/or database preference
3. Typical PC configuration and inventory by user

1. processor (486/66 or Apple Macintosh 680xx)
2. Operating system (Win 3.1, Win 3.11, Win95, Apple 7.x)
3. memory (RAM)
4. hard disk space
5. monitor (17" SVGA)

4. Provide a network topology and software for all image system users

1. LANs
2. WANs
3. dial up lines
4. bridges/routers/switches

5. Primary servers and operating system(s)
6. Server system preferences (DEC, UNIX, NT)

Specific Document Information

1. Review and characterize current paper-based processes and systems that you think are potential candidates for imaging technology.

1. if more than one business application, briefly describe each application
2. rank each application for the most potential
3. pick the application with the most potential

2. Describe how the basic work process gets started. For example, documents are input into the process by:

1. internally generated with a P.C.
2. mail, courier, hand delivered
3. fax
4. etc.

3. Develop simple diagrams (or a 1,2,3, list) of the following work steps:

1. input
2. process
3. output
4. storage

4. Count documents (paper, e-mail, e-documents, fax, etc.) - provide an average count of incoming documents per day.

1. 8.5x11
2. 11x14
3. checks, coupons, "items"
4. note, basic qualities such as white copy paper, NCR paper, onion skin, card stock, etc.

5. Where is the paper kept?

1. on-site storage and file cabinets
2. off-site storage and boxes

6. Are documents kept on rolling carts or temporary storage? Explain.
7. Count people that handle the paper

1. input - people who receive and start a process
2. process - people who "work with" the paper
3. output - people who make decisions based on paper

8. Based on knowledge of imaging technology, determine whether imaging will provide any benefits. Where can benefits/saving occur?

1. people
2. space
3. facilities
4. supplies

9. Other benefits may be applicable

1. time oriented processes (must be registered within 24 hrs. of receipt of application or incur a monetary penalty)
2. penalties for non-performance
3. transfer of documentation to other departments
4. provide better search/research if data were more available and easily searched
5. if more current data, could catch mistakes/duplications/etc.

10. Based on the above analysis:

1. select your top candidate application for imaging technology
2. list the applications in order with first being the top candidate

©Copyright 1997 by Porter-Roth Associates.

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