RDIMS BEST PRACTICES - PBworkslouisetestwiki.pbworks.com/f/RDIMS+Best+Practices.pdf · Version 1.0 RDIMS Best Practices ... develop a business case for an RDIMS implementation project

RDIMS BEST PRACTICES

Version 1.0 RDIMS Best Practices

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Table of Contents 1 DOCUMENT OVERVIEW..........................................................................................................................1

1.1 BACKGROUND .................................................................................................................................... 1 1.2 PURPOSE........................................................................................................................................... 1

2 RDIMS BEST PRACTICES.......................................................................................................................2 2.1 GOVERNANCE .................................................................................................................................... 2

2.1.1 Senior Management .................................................................................................................. 2 2.1.2 RDIMS Steering Committee ...................................................................................................... 2 2.1.3 Project Director .......................................................................................................................... 2 2.1.4 Project Manager ........................................................................................................................ 2 2.1.5 Functional Team Leader............................................................................................................ 3 2.1.6 Technical Team Leader............................................................................................................. 3 2.1.7 Information Manager ................................................................................................................. 3

2.2 PROJECT PLANNING ........................................................................................................................... 3 2.2.1 Implementation Planning ........................................................................................................... 4 2.2.2 Financial Planning ..................................................................................................................... 4 2.2.3 Records Management Planning ................................................................................................ 5 2.2.4 Information Management Planning ........................................................................................... 5 2.2.5 Communications Strategy ......................................................................................................... 5 2.2.6 Change Realization ................................................................................................................... 6 2.2.7 Implementation Phase............................................................................................................... 6

2.3 RDIMS TEST FACILITY ....................................................................................................................... 7 2.4 INFORMATION ARCHITECTURE AND INFORMATION TECHNOLOGY ........................................................... 7

2.4.1 Functional Analysis.................................................................................................................... 7 2.4.2 Testing ....................................................................................................................................... 7 2.4.3 Support ...................................................................................................................................... 7

2.5 TRAINING ........................................................................................................................................... 8 2.5.1 Timing ........................................................................................................................................ 8 2.5.2 Training Documentation ............................................................................................................ 9 2.5.3 End-User Training ..................................................................................................................... 9 2.5.4 Logistical Coordination .............................................................................................................. 9 2.5.5 Feedback and Evaluation .......................................................................................................... 9 2.5.6 IT Infrastructure Requirements.................................................................................................. 9 2.5.7 Classroom Training ................................................................................................................. 10 2.5.8 Coaching.................................................................................................................................. 10 2.5.9 Training Environment .............................................................................................................. 10 2.5.10 Equipment................................................................................................................................ 10 2.5.11 Classroom Facilities ................................................................................................................ 11 2.5.12 Optimizing Use of System ....................................................................................................... 11

2.6 POST-IMPLEMENTATION EVALUATION ................................................................................................ 12 2.7 RISK MANAGEMENT.......................................................................................................................... 12


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3 RDIMS PERFORMANCE GUIDELINES.................................................................................................13 3.1 FOR USERS...................................................................................................................................... 13

3.1.1 Setting Defaults ....................................................................................................................... 13 3.1.2 Searching for Documents in RDIMS ....................................................................................... 14 3.1.3 Document Access.................................................................................................................... 14 3.1.4 Document Retrieval ................................................................................................................. 15 3.1.5 Selecting Section and Subject................................................................................................. 15 3.1.6 Document Date........................................................................................................................ 15 3.1.7 Comments Field ...................................................................................................................... 15 3.1.8 Relating Items.......................................................................................................................... 15 3.1.9 Versions................................................................................................................................... 15 3.1.10 Viewing Documents in RDIMS ................................................................................................ 16 3.1.11 Emailing Documents and Records .......................................................................................... 16 3.1.12 Compressed Files.................................................................................................................... 16 3.1.13 Off-line Use of RDIMS............................................................................................................. 16

3.2 FOR ADMINISTRATORS AND IM MANAGERS........................................................................................ 17 3.2.1 Saving and Archiving Documents in RDIMS........................................................................... 17 3.2.2 Importing Documents into RDIMS........................................................................................... 17 3.2.3 Declare as Record................................................................................................................... 17 3.2.4 Document Retrieval ................................................................................................................. 17 3.2.5 Document Date........................................................................................................................ 17 3.2.6 Document Access.................................................................................................................... 18 3.2.7 Use of Projects ........................................................................................................................ 18 3.2.8 Sharing Projects ...................................................................................................................... 18 3.2.9 Sharing Quick Searches.......................................................................................................... 18 3.2.10 Email Default Settings ............................................................................................................. 18 3.2.11 Users Leaving a Division or the Department........................................................................... 18

ANNEX A ACRONYMS.......................................................................................................................... A-1

Table of Figures Figure 1: Profile Default Form.....................................................................................................................13 Figure 2: Search Form ................................................................................................................................14 Figure 3: Default Document Access ...........................................................................................................14 Figure 4: Document Versions......................................................................................................................15 Figure 5: Document Mailing Options...........................................................................................................16 Figure 6: Check-out Documents .................................................................................................................17


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1 Document Overview

1.1 Background The Government of Canada (GC) has identified an overwhelming and urgent need for an electronic document and record management (EDRM) system to meet the needs of its diverse users, comply with regulatory standards, and control the significant costs associated with meeting these requirements. The Treasury Board of Canada Secretariat (TBS) has chosen and established the Records, Documents, and Information Management System (RDIMS) as the suite of applications for records and document management in the federal government as part of the Shared Systems Initiative. The product suite is the culmination of a multi-year collaborative effort by government departments to define their shared functional requirements for electronic document and records management, and to acquire a comprehensive solution to those requirements. RDIMS is an electronic document and records management solution designed to manage documents and records throughout their life cycle and facilitate the sharing of information within departments and across the GC. RDIMS integrates commercial-off-the-shelf software to operate as a single, seamless application in an electronic work environment. The system establishes corporate repositories for the effective implementation of information policies and standards, and provides functionality to capture, manage, share document based information until it no longer has value. The RDIMS solution combines functionality for document management, records management, workflow, routing, imaging, and reporting. All software and supporting documentation is offered in both official languages.

1.2 Purpose The purpose of this document is to provide an overview of best practices and lessons learned when implementing RDIMS in GC departments and agencies. This information is a supporting document to the RDIMS Project Implementation Plan and the RDIMS Implementation Project Charter and can be used to develop a business case for an RDIMS implementation project.


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2 RDIMS Best Practices

2.1 Governance A formal structure must be established for the governance of the project that follows the Treasury Board Secretariat enhanced framework upon funding approval. It is also imperative that the project charter identifies a dedicated project director and project manager exclusively for the RDIMS project. Key governance positions and responsibilities are listed below.

2.1.1 Senior Management Senior management support is critical. Senior management and designated members must regularly attend and remain involved in meetings for the duration of the project to ensure continuity and effectiveness. Other responsibilities include:

• Inspire and encourage staff to share information and knowledge;

• Raise awareness of responsibilities and the importance of information management (IM);

• Promote the widespread and regular use of RDIMS;

• Reward the sharing of information; and

• Assist the RDIMS Project Office in promoting RDIMS. Senior management should be closely involved in the creation of business rules, metadata standards and training. This will help to further the understanding of users’ responsibilities with respect to the management of information.

2.1.2 RDIMS Steering Committee The RDIMS Steering Committee is responsible for providing overall guidance to an RDIMS implementation strategy, and to review and accept its deliverables. The Steering Committee is also responsible for the coordination of all parties as stated in the RDIMS Implementation Project Charter. Members of the Steering Committee must attend meetings regularly and remain involved throughout the duration of the project.

2.1.3 Project Director The RDIMS Project Director is responsible for the overall project direction and is secretary to the RDIMS Steering Committee. The Project Director’s responsibilities include:

• Reporting to the RDIMS Steering Committee;

• Liaising with senior management;

• Liaising with regions.

2.1.4 Project Manager The RDIMS Project Manager is responsible for the implementation of the RDIMS project and reports to the RDIMS Steering Committee. The Project Manager’s responsibilities also include:

• Developing and reporting on the progress of the RDIMS implementation plan;

• Contracting and managing resources;

• Reviewing similar organizations with a primary focus on change management issues;

• Recommending organizational change to support an RDIMS implementation project.


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It is important that the Project Manager establish a set of values such as respect, professionalism, teamwork, and client-oriented service to guide the project team throughout the implementation process. These values should be discussed and shared with regional project teams to ensure that goals and efforts throughout the Department are aligned.

2.1.5 Functional Team Leader The Functional Team Leader is responsible for all non-technical aspects of the RDIMS project, such as:

• Functional analysis

• Migration strategy

• Development of business rules

• Metadata standards

• Business helpdesk

• Training

2.1.6 Technical Team Leader The Technical Team Leader is responsible for all technical aspects of the project such as:

• Application architecture

• Configuration and testing

• Deployment

• Technical support

• Network design

2.1.7 Information Manager The Information Manager’s responsibilities include:

• Identifying changes to business processes and roles and responsibilities to optimize an implementation of RDIMS;

• The control, storage, cataloguing and retirement of all documents saved in RDIMS;

• Interviewing end users to verify that the functionality they require is provided with sufficient ‘ease of use’ and that they are well-informed and sufficiently trained;

• Tracking lessons learned from the RDIMS project.

2.2 Project Planning Activities related to project planning should include:

• Documenting and refining business rules;

• Procurement of hardware, software, resources and facilities;

• Training the implementation team;

• Development of communication, training, and change realization strategies.


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2.2.1 Implementation Planning Implementation planning should include the following:

• Dividing the Department into manageable workgroups based on business units for the delivery of tools and training according to the size and scope of an RDIMS implementation project. This will ensure that all personnel in that business unit begin using RDIMS at the same time.

• Planning and conducting training sessions according to groups or business units considering the business environment (i.e. national headquarters first, then region by region).

• Establishing a determined time period for each workgroup to ensure that implementation is completed within the funded and approved time.

• Specifying how many weeks will be dedicated to preparation of the workgroup (including communication with the management team);

• Identifying primary contacts and other individuals to participate in surveys and workshops.

• Training for a primary contact and system administrator;

• Preparation for end-user training.

• Factoring time zones and hours of support into the implementation schedule for sequential rollouts.

2.2.2 Financial Planning Financial planning and expenditure management is fundamental to any successful project. It is necessary to establish an effective financial management process to ensure that the project costs are appropriately allocated, tracked and reported. Key cost areas for RDIMS implementation are personnel, hardware, software and training. Other considerations include:

• Allocating procurement and professional services within the Department to allow cost containment.

• When planning to use internal resources for significant portions of the project activities, it is recommended to have either a firm agreement to supply those resources as part of the funding approval process, or include a clear contingency risk allowance to allow the non-availability of suitable internal resources.

• Finance branching must verify that devices established within the salary management system are accurate and comply with the Department’s financial budget.

• Ensuring timely process of travel claims and journal vouchers by fiscal year-end.

• Transferring regional implementation costs to the project.

• To avoid drawbacks it is necessary to assure timely identification and reporting of surpluses/deficits prior to fiscal year-end.


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2.2.3 Records Management Planning Records Management (RM) planning includes steps to modernize the departmental subject file classification plan. Other actions include:

• Creating business rules;

• Developing solutions to prepare staff for the introduction of RDIMS (i.e. differentiate corporate vs. personal emails within the repository);

• Creating and implementing an action plan to clean up the existing file management system;

• Conducting file imports from old systems to RDIMS;

• Holding consultations with unions, human resources staff relation representatives, and IM staff;

• Establishing rules for storing Protected-B files in RDIMS;

• Entering retention values into all RDIMS databases;

• Developing standard definitions;

• Assigning departmental instructors and post-implementation teams to assist users.

2.2.4 Information Management Planning Preparing the information management environment is essential to ensuring the successful implementation of RDIMS. This involves a major change in the work habits and culture of the Department, requiring significant re-engineering of departmental IM processes and business unit work practices. Developing a culture of information sharing can enhance information management. Currently, no common recognition exists that information is a corporate resource, nor is information sharing part of the corporate culture. Changing this will not only require acquainting users with the advantages of pooled information resources, but convincing them that information management is a shared and an individual responsibility is crucial to ensuring the efficient and effective performance of the new system. An IM awareness program must be created to support sharing electronic documents, discourage a proprietary view of information, encourage the storage of information in RDIMS, and discourage the storage of information on local disk. The IM awareness program should also teach users guidelines and general skills for the proper management and classification of documents in order to facilitate an RDIMS implementation.

2.2.5 Communications Strategy Establishing an effective and credible communication program across the organization is essential to facilitating the adoption of the new system. Using a communications strategy to guide the project’s communication efforts will result in more effective, coordinated and consistent messaging to stakeholders at all times. Once implemented, the communications strategy will lay the foundation for a stronger organization that can better meet the diverse needs of stakeholders, respond to issues, educate management and staff, and liaise with other government departments. The RDIMS Implementation Communications Strategy is an intrinsically related document to the RDIMS Implementation Change Realization Strategy. To effectively manage change in people and the organization, it is important to understand that communication is a key factor in implementing change. Several communication events are planned and conducted to support the implementation scope and timeline of an RDIMS implementation project. These include demonstrations, meetings, bulletins, newsletters and a project website. Positive messages are communicated to all stakeholders throughout the communications campaign. These messages are woven through all communications materials.


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This strategy will also be used to introduce an IM awareness program in which all employees can learn responsibilities, principles, guidelines and practices for proper management and classification of documents and records to facilitate an RDIMS implementation.

2.2.6 Change Realization The implementation of RDIMS will inevitably result in changes to organizational work practices. To help ensure such changes are accepted, it is vital to:

• Keep management and staff informed about the project;

• Ensure management actively and visibly supports both the design process and any subsequent changes to current practices, processes and systems;

• Regularly inform users and other stakeholders about the nature of planned changes and their likely impact on processes and procedures; and

• Market change by emphasising the key benefits and improvements that can be expected once particular changes have been implemented.

The importance of developing and executing a change realization strategy cannot be overstated. Successfully managing and marketing change is a critical component of an RDIMS implementation project. A broad framework for change realization should be developed in the initial planning stage of the project, which is used and revised as the project progresses.

2.2.7 Implementation Phase Before the implementation plan can be completed, it is important to consider that:

• Architecture must be approved and in production prior to rollout.

• Departments undertaking a deployment of a major scale should take inventory of existing integrations and be aware of efforts required for integrations and the implications for conflict with existing applications, templates and macros.

• If further upgrades are performed, testing the complexity of integrating RDIMS with other applications must be attempted before rollout. A dedicated functional lab can be established for this purpose.

• Integrating or upgrading other software increases the level of effort, time pressures and costs.

• Allocate fixed facilities (including classrooms) from the beginning of the project.

• Schedule rollouts sequentially (especially for the regions) to allow the team to concentrate on guiding and supporting individual regions.


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2.3 RDIMS Test Facility Conducting an RDIMS pilot project in business units will increase the probability of success for an implementation. A pilot project is very useful for evaluating the product and its suitability for a business unit; anticipating changes to the network and software; establishing business rules; identifying training and documentation requirements, and so on. In addition, this method also allows for determining solutions in consultation with the client before implementation, and provides feedback to show how document management and correspondence workflow processes work within the Department. Rather than conducting the trial within the IM branch, it is best to opt for a business unit that can help identify as many potential challenges that may come up during the actual implementation. The business unit can be selected based on the following criteria:

• Significant representation of the business culture;

• Geographic dispersion of the Department; and

• Strong management involvement in the initiative.

2.4 Information Architecture and Information Technology

2.4.1 Functional Analysis It is important to have functional workshops with members of each technical group prior to implementation to help identify local processes and provide workgroup members with a brief introduction to RDIMS. Other concerns include:

• Adjust workshops to one half-day session to minimize disruption to work schedules and ensure full participation.

• Feedback can be obtained through a technical detailed survey that can allow teams to troubleshoot technical difficulties before completing implementation.

2.4.2 Testing The technical team is responsible for configuring and providing test equipment to regional IT support. Tracking, testing, and sharing results with the IT community can be very useful in avoiding duplication and saving time. Ways of improving testing include:

• Extensive, continuously revised test scripts to be developed and utilized by the functional team.

• Improved desktop standards in the IT application architecture.

• Acquisition or development of a script-based automated tool to perform testing (when funds are available).

2.4.3 Support The technical team should adopt standard problem management processes and tools to deal with problems more efficiently and according to priority. Information Management specialists should actively support the application and be available to the technical staff. A functional helpdesk could be created to provide a structured support and standard processes. The helpdesk should also include key information, such as the client’s workstation configuration (this information can be omitted in a departmental problem tracking and management system). A trouble-shooting guide can be developed for the technical team and eventually shared with the technical teams in each of the regions.


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RDIMS technical manager knowledge-transfer sessions must be delivered to each regional technical team prior to the implementation in their region. Staff from the Technical Support Group should be trained during a pilot project so that when implementation begins, the support process can be easily integrated into the standard corporate application.

2.5 Training Successful change in an organization is dependant on how well its management and staff is equipped to operate in the new environment. The degree to which the organization can quickly adapt to the new environment will depend on the quality of training provided. It is not enough for the training to provide end users with application training that covers how to use the new software. Training must also support the organizational change objectives and provide end users with the tools and knowledge to effectively perform in the changing business processes. Additionally, each employee must understand the strategic direction of the Department to ensure that activities performed within each unit support the Department’s strategic goals. Ultimately, to implement RDIMS effectively, the Department’s security policies, business rules, and procedures to designate or classify information must be clearly understood. The RDIMS Implementation Training Strategy includes a recommended approach to developing and delivering training throughout the implementation phase. In order to fully support an RDIMS implementation project, it is integrated with the communication and change realization strategies. The best practices outlined below are associated with training and must be considered for the successful implementation of RDIMS.

2.5.1 Timing An important consideration when determining the training schedule will be the timing of the delivery. If training needs are not considered until close to the end of the project, there will not be enough time to effectively prepare staff to operate the system correctly and efficiently. On the other hand, users should not be trained so early that knowledge retention becomes an issue by the time full deployment arrives. So, the challenge is to train everyone that needs to be trained in RDIMS as close to the rollout as logistics, resources, facilities, and the schedules of those that need to be trained will allow. The training schedule coincides with the implementation timeline, taking into account a few considerations. First, quality assurance testers need to be trained well in advance so that they can provide verification of proper functionality to the writer responsible for producing the training material. Next, all power users and system administrators require training before the rest of the users in order to be prepared for the rollout. This allows them to become experts as they reinforce their training with support activities. Power users will be expected to be available to provide one-on-one additional assistance to others in their business units. The final piece of the timeline will be the massive effort to train all essential end users as required for rollout. The essential users are defined as those for whom the use of RDIMS is deemed necessary once the system goes live. These participants are scheduled into training sessions and return to their desks equipped to install RDIMS on their desktops. Documents are migrated while they are in training. Other users, such as new employees, also require training upon system implementation.


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2.5.2 Training Documentation Training documentation is an integral component to the training program. It must clearly explain technical functionality, ensure the proper application of business processes and promote the benefits of RDIMS. It must also provide a medium to create information management awareness and incorporate IM best practices. The training manual is provided to all participants during training sessions. The manual should also be available on the central repository and the RDIMS website. Instruction must also be provided to access RDIMS from a remote location (i.e. Webtop). This could be produced as a separate manual or incorporated into one training manual. As part of the development and quality control process, material must be drafted, reviewed, finalized, translated and compared. When upgrading RDIMS software to a newer version, it is important to consider that training material needs to be updated in order to reflect the system changes.

2.5.3 End-User Training This deliverable entails planning for and conducting end-user training using the training documentation. End-user training must respond to several diverse needs. It is required to:

• Educate management and staff on the use of the system,

• Ease the transition phase in change in business processes;

• Optimize system functionality (i.e. personal profile defaults);

• Create information management awareness;

• Address issues and concerns about the product or transition; and

• Promote an enthusiasm for the use of the new product.

2.5.4 Logistical Coordination Policies and procedures must be established to handle the registration, administration, and logistical and technical demands associated with conducting instructor-led training classes. A tracking and follow-up process is recommended to be established for tracking each individual in terms of training, installation and coaching. Attendance records should be maintained to provide important information for the evaluation process. Absences may help identify implementation issues such as lack of management support or user acceptance.

2.5.5 Feedback and Evaluation A feedback and evaluation process must be established and maintained in order to measure the effectiveness and success of training. Questionnaires should be distributed at the end of each training session to gather feedback and evaluate the trainers, training materials and facilities. The feedback obtained from the questionnaires is used to make improvements to the training program.

2.5.6 IT Infrastructure Requirements The following IT infrastructure requirements are necessary for training delivery:

• Proper installation of system and software in training facilities;

• A highly customized infrastructure and architecture to support training delivery; and

• Technical capability and feasibility.


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Because the training environment is often needed before the production system has been tested and prepared, the effort and coordination required to establish a training system should not be underestimated.

2.5.7 Classroom Training To assure the highest degree of proficiency with the new system, training involves classroom instruction, with a computer workstation for each of the attendees. There is an emphasis on demonstrations and hands-on exercises. Classroom training consists of an instructor demonstrating tasks to students, followed by an activity in which the students demonstrate understanding of the task by performing it themselves with help available if needed. Training documentation consists of step-by-step instructions to perform RDIMS functions. As the trainer demonstrates tasks to the class, he or she follows the steps in the training manual so students can follow along and take notes as needed. After the demonstration, students are given time to perform the different tasks themselves by following scenario activities and examples that are provided by the trainer. This activity reinforces what the student has learned, thereby improving their chances of successfully performing tasks at a later time without assistance. Training should be tailored to the specific nature of work that trainees perform on the job. If possible, use their data. Training staff should be familiar with trainee work issues so they can use them in examples during the session.

2.5.8 Coaching One-on-one coaching sessions allow users to adjust to the application within their regular daily environments. Follow-up RDIMS coaching is scheduled immediately after installation and training. A coach visits users at their desks to ensure that the product is correctly installed and to answer any questions users may have. The coach also assists users in configuring personal default settings. One-on-one coaching and support must be available throughout and beyond the RDIMS implementation phase. Coaches must be available to answer questions and assist other users on a permanent basis. Coaching sessions can be scheduled at any time to provide assistance, reinforce training, and optimize system use.

2.5.9 Training Environment The training environment must emulate as closely as possible the production environment of RDIMS. The training data should be stored in its own environment to prevent testing and development from conflicting.

2.5.10 Equipment All classrooms used for training must be equipped to support one PC per student. Every participant will have his or her own PC to derive full benefit from the training program. The PCs must meet the following minimum requirements:

• Microsoft Windows 95 or higher

• Pentium UU 233 MHz, 128 MB RAM, 3-gigabyte hard drive, 17-inch monitor

• Access to a Web browser

• Access to the Internet/intranet

• Integrated applications such as Microsoft Word as required

• Access to RDIMS central repository (training environment) Each classroom must also have the following equipment:


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• Minimum of six to eight end-user PCs or laptops

• Multimedia projector

• Audio-visual equipment

• Instructor PC with access to RDIMS central repository (training environment)

• Network connections

• Telephone

• Name cards

• Office supplies

• Flip chart and markers

2.5.11 Classroom Facilities Training facilities should provide a comfortable environment to enhance the learning experience and keep distractions to a minimum. The following should be considered:

• Regular breaks

• Availability of coffee, tea, and refreshments

• Restroom facilities

• Parking

• Shuttle service

• Ergonomic workstations

• Temperature control

2.5.12 Optimizing Use of System Setting personal profile defaults should be clearly described in order for users to fully optimize system capabilities and facilitate work tasks. Setting profile defaults will minimize the perception of increased workload by saving considerable time when saving documents. RDIMS fast and efficient search functions should also be articulated. By refining their search capabilities, users will be able to utilize the system to its maximum potential. Access control is another unique feature that should be fully discussed. Users must learn how to modify document access rights for other users or groups.


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2.6 Post-Implementation Evaluation A multi-phase post-implementation review will be scheduled to evaluate the project’s success against established goals and objectives. It is intended to identify what worked well and what did not, what steps should be taken to avoid repeating problems, and the opportunities for further improvement. Another component is to identify any remaining project issues/activities, and who is responsible for completing them. The review will be performed at various points following implementation. Specifically, immediately after the launch of a pilot, upon completion of each rollout phase, and at six months, 12 months and 18 months following a full system rollout. The level of success of each phase will be determined through system metrics, user acceptance surveys and management interviews. Recommendations will be presented to the RDIMS governing body, which will decide whether to undertake the next phase of implementation, and the cycle continues. When conducted in an open manner, a post-implementation review is a good opportunity for an organization to learn. Constructive criticism from participants is valuable information that can help develop the real lessons learned in order to improve and support new infrastructures.

2.7 Risk Management A process for documenting and assessing risks should be developed and its status reported to the RDIMS Steering Committee on a monthly basis. The benefits derived from such risk management activities are as follows:

• Regular, monthly status reports and meetings provide excellent vehicles for communicating progress and issues.

• Frequent planning meetings can yield mitigation strategies and other types of situations that may arise. Regular structured risk management meetings amongst project management staff are strongly recommended.


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3 RDIMS Performance Guidelines The following section describes practices that must be utilized by both management and staff in order to implement RDIMS successfully and ensure the effective use of the new system.

3.1 For Users

3.1.1 Setting Defaults When profiling documents to be saved in RDIMS, users do not have to enter the same information on the document profile forms every time a new document is saved. Defaults can be established for every user-populated field on the profile form (Figure 1). For example, if you are always the contact for the documents you create, you can set a default that will automatically enter your network ID in the Author field every time you save a document. If ever you want to have someone else be the contact person for a particular document, you can override your default information for that document. This feature saves not only time and costs, but establishing profile form defaults helps to alleviate user frustration and resistance, and minimize perceptions of an increased workload.

Figure 1: Profile Default Form


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3.1.2 Searching for Documents in RDIMS It is recommended that users enter values in as many fields as possible in the search form (Figure 2) to maximize efficiency and the accuracy of results.

Figure 2: Search Form

3.1.3 Document Access Users should set default access rights at the group level as much as possible to facilitate the sharing of information (Figure 3).

Figure 3: Default Document Access


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3.1.4 Document Retrieval It is recommended to use the title of the document or record in the Doc Name field on the profile form.

3.1.5 Selecting Section and Subject When selecting a section and subject for the document, consider the following:

• What is the general subject matter of the document?

• Where would I go to find this document?

• Start from the general and move to the specific.

3.1.6 Document Date When importing a document into RDIMS, enter the date of the document on the profile form.

3.1.7 Comments Field This free-text field can be used to provide additional information about the document or the process used to create it. It can also be used to capture information that is not captured elsewhere in the profile, such as reference numbers, summaries, identification numbers, keywords, and so on.

3.1.8 Relating Items RDIMS allows users to create associations between their documents or folders and display all items associated to a particular document or folder. Items should be related wherever possible since it facilitates finding all information related to a specific project or subject.

3.1.9 Versions Versions and sub-versions of documents should be created in order to protect their integrity and document their evolution. For example, a policy document that goes through many revisions would be saved as versions to show the evolution of the document. Editorial changes and minor corrections should not be considered as a new version. In cases like this, create a sub-version.

Figure 4: Document Versions


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3.1.10 Viewing Documents in RDIMS The intuitive RDIMS interface includes a document viewer that can support over 200 file formats. Rather than opening a document in its native application, the document viewer can be used to avoid locking the document to other users who may require full access to the document.

3.1.11 Emailing Documents and Records When attaching an RDIMS document to an email, attach the document reference rather than a copy of the document (Figure 5). When sending email to a non-RDIMS user, it is necessary to attach a copy of the document rather than a reference.

Figure 5: Document Mailing Options

Ensure recipients have appropriate access rights to documents.

3.1.12 Compressed Files Compressed (zipped) documents should not be stored in RDIMS. Documents must be saved in their original format so they can be full-text indexed. However, in the case of compressed email attachments, retaining the document/record in this form will maintain its integrity.

3.1.13 Off-line Use of RDIMS To work with documents outside RDIMS, it is recommended that users export copies. If off-line use involves edits, utilize the Check-out feature (Figure 6) so other RDIMS users can have access to a copy


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of a given document. Once changes are made, use the Check-in to return a modified document to the RDIMS library.

Figure 6: Check-out Documents

3.2 For Administrators and IM Managers

3.2.1 Saving and Archiving Documents in RDIMS Printing documents from the RDIMS repository will help guarantee that documents are not captured more than once and will avoid filing duplicates in paper form. It also assists in easy retrieval of documents from RDIMS.

3.2.2 Importing Documents into RDIMS A ‘Day-Forward’ approach is recommended when importing documents into RDIMS. Documents and records created and stored prior to the implementation of RDIMS will be imported in bulk only where appropriate.

3.2.3 Declare as Record Documents should be declared records when the document is considered complete and, if required, signed.

3.2.4 Document Retrieval Use meaningful names in order to facilitate retrieval. Avoid using numbers in the Doc Name field such as reference numbers, summaries, identification numbers, keywords, etc. This metadata will be captured elsewhere on the profile.

3.2.5 Document Date The current date is set as the default date for documents saved in RDIMS. If the release date of the document differs, it must be changed accordingly. For example, if a document was created on 31 March 2003, but released on 2 April 2003, this date would have to be entered into RDIMS.


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3.2.6 Document Access It is recommended that access rights be set as widely as possible to promote the sharing of information (i.e. read only access to all document users in your department). Full Access rights to any document should be given to more than one other person (i.e. supervisor or alternate) in case someone is sick or leaves the organization.

3.2.7 Use of Projects Projects should be used to create a single entity that groups multiple related document references. A document reference can exist in more than one project.

3.2.8 Sharing Projects Before creating and sharing projects, obtain permission from users who wish to be included. Ensure recipients have appropriate access rights to documents. One user should be responsible for the administration of a shared project and for notifying others if the project membership changes. It is recommended that access to projects be specified at the individual level rather than the group level. Project access should never be given to all document users.

3.2.9 Sharing Quick Searches Before creating and sharing Quick Searches, obtain permission from users you wish to include. Ensure that recipients have appropriate access rights to documents. One user should be responsible for the administration of a shared Quick Search, and for notifying others if the membership changes. It is recommended that access to Quick Searches be specified at the individual level rather than at the group level.

3.2.10 Email Default Settings Email default settings are configured to delete email from users. Do not allow users to change this setting as it will allow duplicates to be created.

3.2.11 Users Leaving a Division or the Department Documents of corporate value should be declared as records. It must be ensured that users leaving a division or department capture all records in RDIMS in order to ensure preservation of corporate memory and facilitate business continuity.


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Annex A Acronyms

EDRM Electronic Document and Records Management

GC Government of Canada

IT Information Technology

IM Information Management

MGI Management of Government Information (policy)

RDIMS Records, Document and Information Management System

TBS Treasury Board of Canada Secretariat