HP & KPMG: driving HP’s journey from paper-based records management to electronic records management via HP TRIM software

©2010 Hewlett-Packard Development Company, L.P. The information contained herein is subject to change without notice.©2010 KPMG, LLP, a US Limited Liability Partnership and a member firm of the KPMG network of independent member firms affiliated with KPMG International,

a Swiss cooperative. All rights reserved. Printed in the United States. KPMG and the KPMG logo are registered trademarks of KPMG International, a Swiss cooperative

Peggy Milovina-Meyer Global Records Manager, HP

Leslie BanachDirector, Records & Information Management, KPMG

HP & KPMG: Driving HP’s journey from paper-based records management to electronic records management via HP TRIM software

How does a global technology products,

software, and services organization

deploy a records management program

for any type of record generated by a

legal or historical transaction

across all lines of business

in over 170 countries?

4

The Need for an ERMS

Began HP Global Records Manager role in 2007 when HP

faced the following challenges:

HP is required by law to manage records

At every level it is challenging to find the right records

at the right time

There is a need to produce information swiftly and

cost-effectively for tax and other government audits,

regulatory compliance, and legal proceedings

A strategy must be defined for legally destroying

records to:

Reduce archiving

Decrease litigation production costs

© 2010 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG

International”), a Swiss entity. All rights reserved. KPMG and the KPMG logo are registered trademarks of KPMG International Cooperative (“KPMG International”), a Swiss entity

5

Define the RM Organizational Framework

Global Records

Manager

EMEA

Records

Manager

APJ

Records

Manager

Americas

Records

Manager

Country

Records

Managers

Country

Records

Managers

Country

Records

Managers

Business Line

Records

Managers

Business Line

Records

Managers

Business Line

Records

Managers



6

Gain Executive Sponsorship Early

Be able to articulate the pain points

Be specific about return on investment

Get C-level executives to understand the benefits of

risk prevention from this monumental type of

undertaking



7

Determine Project Objectives

Create enterprise processes for managing records that will:

Set priorities for records management controls that are aligned with compliance objectives

Improve access to records in order to meet information production demands for litigation, regulatory, and tax reasons

Establish a governance model that ensures that the new records management program:

Is successfully implemented and continues to function over time, with enhancements made to continuously improve the approach

Identifies the decision-making authority and accountability

Facilitates consideration of ownership and addresses concerns likely to arise throughout the records management lifecycle



8

Define Stakeholders

Who will Benefit

Tax, Litigation, Internal Audit, Ethics and Compliance

HP IT

How can you help IT understand what the improvements mean

for them

Who are the End Users

Global Records Management Team

Regional Records Managers

Line of Business Records Managers



9

Lay the Foundation

Assess current state

Amount, type, and location of regular records

declaration

Review and update Retention Schedule(s), if needed

Define how physical records processes will be

upgraded to include electronic records

Identify what manual processes can be replaced with

automated software technology



10

Decide on Basic Requirements for Automation

Create a single Repository or Record/Metadata

pointers (manage in place)

Identify what end user activities can be done by

software

Define search capabilities needed across the universe

of records and ESI

Deploy centralized Legal Hold Management



11

Address HP’s Global Needs

Program must transcend International borders

Records management services (declare, classify,

manage, store, retrieve) must be done in multiple

languages

Specific country regulations must be collected

Media-based requirements specific to region

determined (i.e. Country requires HR records stored in

paper)



12

Assemble the Right Project Team

HP Global Records Management Staff

HP Legal IT

Input from Tax

Litigation Discovery Team

Program and Risk Management



13

Bringing in Outside Help

Program and risk management needed to supplement

core HP team

Create a formal competitive evaluation process

Send out RFP

Ask for examples of technical strategies

Assess work styles



14

Deciding on KPMG

Program and risk management expertise

Experience with software implementations of this

magnitude

Software agnostic but deep knowledge of various

solutions

Highly regarded reputation

Mix of technology, legal, forensic and risk

management

Experience with HP a plus



15

First Steps

Create a proposed timeline (3 yrs)

Define the Milestones

Write the Business Requirements

Perform a Records Assessment (Business Unit health

check)

Prepare for Data Migration

Identify challenges with new deployment

Prepare for Process Change Management



16

PaperPaper

PaperPaper

Determine Strategic Vision

Managed Unstructured

Content

Semi-Structured

Content

Structured Content

Unmanaged Unstructured

Content

Classification StructureApply Retention Policy

Store/ManageSearch

Assign Legal Hold

Disposition



17

PaperPaper

PaperPaper

Measure HP’s Information Landscape

Document Management

Systems

eMailIM

TransactionalApplications

Office Applications,SharePoint

Classification StructureApply Retention Policy

Store/ManageSearch

Assign Legal Hold

Disposition



18

Write Business Requirements

Better to have too many than not enough

Interview all levels of a business unit

Include all records management services needed

Be specific

Be able to realistically separate must-haves from wish-

I-had

Learnings

As detailed as possible use cases

Level of detail must be extremely specific

Prioritize deliverables



19

Global Records Assessment

• Creates a foundation for records classification

• Generates visibility for the program

• Promotes accountability

• Helps define what end-users do and do not comprehend



20

Benefits from the Records Assessment

Raised visibility of the project

Addressed accountability

Provided a roadmap on what to address from:

Identification of most requested records

Volume perspective

Data type analysis



21

Selecting Software

HP has a records management software solution,

TRIM, from the Tower acquisition

Responded like any other vendor to Business

Requirements

Opportunity to

Exercise the software in a very large enterprise

Drive development of features not available in the

marketplace

Prepare for other global clients



22

Phase 1: Replace Homegrown Application

Migrating Data

Re-engineering Processes

Phase 1 Team:

HP GRM Team for Business Process Change Management

KPMG for Program and Risk Management

HP Software for Product Expertise

HP Software Services for Configuration

HP Legal IT for Systems Integration



23

Training for Phase 1

Create a training plan with realistic timelines

Prior to go-live

After go-live

Identify and quantify target audience

Target records managers with most actively

requested records as first in line for training

Track population of users trained



24

Lessons Learned - Training

Train the trainers so knowledge can grow exponentially

Be prepared to alter product training documentation to your instance-specific training manual

Plan live training sessions at least 6 months prior to go-live

Provide recorded demonstration modules of key processes for reference and future long-term training

Request user feedback / evaluations of training for continuous improvement

Provide continuous user support

Live Q&A sessions with the experts

FAQs

Provide a „suggestion box‟ for enhancements



25

Communications for Phase 1

Create a communication project plan aligned with training

Send communications from the highest level possible (C-executive)

Raise general awareness of all employees

Emails, newsletters, videos

Raise end user awareness that a change is coming as early as possible

Change management needs constant communications

Go-live

Announce date multiple times prior to go-live

Provide follow up go-live announcements

Communicate with end users about process for downloading software, security, technical support



26

Success of Phase 1

Migrated all metadata from former system

Currently have over 2,000 users

Measuring records declaration on new system in

comparison to former system

Designing operational reports for audit trails

Kept sandbox for future pilots and testing

Continue to utilize Records Assessment activity

Assessment Database

Persist with training and awareness

Address IT understanding



27

Decide How to Proceed after Phase 1

Based on:

Location of most requested records

Transactional Applications

Other Company Initiatives

Retirement and Consolidation

of Applications

Quick wins

Display progress to executives

Structured Data



28

Determine the Future Phases

SharePoint

eMail

Office Apps

Document Management Systems



29

Lessons Learned

Significant change management and company

awareness issues

Need to establish clear roles/responsibilities across

various organizations (IT, Legal and HPS&S)

Internal teams may need additional convincing of

consultant’s role

Competing priorities will derail timeline if not closely

monitored

Need for continued Executive updates/engagement to

drive timely resolution of issues



30

All information provided is of a general nature and is not

intended to address the circumstances of any particular

individual or entity. Although we endeavor to provide accurate

and timely information, there can be no guarantee that such

information is accurate as of the date it is received or that it

will continue to be accurate in the future. No one should act

upon such information without appropriate professional advice

after a thorough examination of the particular situation.

Q&A

31

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HP & KPMG: driving HP’s journey from paper-based records management to electronic records management via HP TRIM software