Electronic Records and Information Management. Tips, Pitfalls and Successes

Electronic Records and

Information Management

Tips, Pitfalls and Successes

Presenters

John Daly, CMO – Township of Springwater Sharon Goerke, CMO – Township of Severn

Sharon Vokes, CMO – County of Grey Denis Kelly – York Region

Session Overview

•Time: 90 minutes

•Introductions: 5 minutes •Presentation: 20 minutes

•Municipal Examples: 50 minutes •Question and Answer: 15 minutes

Agenda

What is Electronic Records and Information Management? Key considerations?

•Organizational Readiness •Scope

•Budget

•Timeframe

•Other… (Pitfalls etc.)

What does the “Future state” look like? •Severn

•County of Grey •York Region

Agenda

What is Electronic Document/Records and Information Management? (Also referred to as ERDMS, RIM…)

Electronic Document/Records & Information Management (EDRM) is the application of established principles to electronic/records.

Electronic records exist as: •e-mail, text messages

•voicemail, word processing documents •spreadsheets, web content, Metadata •forms.

Agenda

What is EDRMS? (Cont’d)

In addition to managing electronic documents and

records, many organizations will concurrently manage

paper based systems , managing the complete lifecycle of information.

Your organization must determine their readiness and the scope for EDRMS.

EDRMS offers modern solutions to long standing business practices .

Key considerations

Organizational Readiness

•Do you have leadership support ? (CAO, SMT, Council) •Are you ready to address culture change?

•Can you support the culture change /change management?

•What’s the state of the current information repository and records program?

•If the repository is not structured/classified, are you ready to structure the holdings before

conversion?

•Technology infrastructure and budget

Key considerations

Key considerations

Scope

•What are you managing

• Paper records and/or electronic records • Paper documents and/or elec. documents •What types of electronic documents/records?

•docx. xls, ppt, pps, txt, bmp, gif, jpg, asp, html, tiff, pdf, msg, mp3, mp4, wav, wma, mov, (OMG!)

Key considerations?

Budget

It’s not inexpensive to start the deployment of EDRMS, however it’s not cheap to stay the course with paper or ignoring the volumes of growing digital files.

Consider the cost of:

•Search time of paper records/archives •Search time for missing records

•Infrastructure upgrades •Licence for each user •Technology crash

Key considerations? Timeframe

•RFP

•Demonstrations and Interviews •Award •Statement of Work •Project Charter •Kickoff meeting •Deliverables •Execution •

Key considerations

•Other.

E-discovery is a discovery process for information that is stored electronically and includes email, instant messages, word processing files, spreadsheets and other electronic content stored on desktops, laptops, file servers, mainframes, smartphones, employees’ home computers or on a variety of other platforms. (Osterman Research, Inc-2008)

Half way there: ….more than 90% of records created today are electronic; more than 70% of electronic information is never printed (ARMA)

Agenda

What does the “Future state” look like? •Severn

•County of Grey •York Region

THE “SEVERN” EXPERIENCE

Electronic Document & Records

Management System

WHAT WE STARTED WITH

•

We had been using a DOS based electronic

TOMRMS Records Management System from

1989

•

Worked very well – but needed to be updated

and include paper files and “electronic

document” components

FIRST STEPS

•

The first step was to get Council’s approval for

a new Electronic Records Management System

•

It was a very easy sell and budget approval

RFP PROCESS

1. Identified five (5) vendors who may meet our needs. 2. Created a list of “must haves” for our new system.

3. Contacted vendors for an on-line demonstration of their system.

4. Involved all staff for the on-line demonstrations to ensure their “buy in” of CHANGE to come.

5. Sent out RFP’s to all five (5) vendors.

6. Selected three (3) on a short list and asked for another demonstration on-line to clarify our needs.

7. Consulted with staff on their view of the new systems presented.

IMPLEMENTATION

 Commenced huge job of downloading our existing

electronic data to the new system

 Worked extensively with the vendor to “customize”

our new records system to reflect the paper filing system already in place and include electronic filing

 Awarded tender in March 2012 and went “live” in

NEW SYSTEM

Our new system includes:

 _{Paper filing system}

 Electronic filing of documents to each paper file

folder – can open document at your desk, if required

 _{Expanded ability to report / export file lists}

 New updated file labels with bar codes for tracking of

file folders – remote scanner at vault door

 Tracking ability for all files in the vault – ability to

request a file from the Records Clerk

 _{And much more……..}

Sharon R. Goerke, CMO Deputy Clerk

The “GreyDocs” Experience:

Electronic Records Management

in Grey County

Process

• 2005 – CAO/Council support new position of Deputy Clerk/Records Manager

• 2006 – road trips to municipalities using ERM (in partnership with IT Director)

• 2007 – selection & implementation begin(supplier – Stellent, now Oracle) – we call it GreyDocs

Process (Contd)

• 2007 – Decision – implement on go forward basis & input older documents as needed

• 2010 – Transferred council related document history • 2008-2013 – continued implementation

• 2013 – revamping meta data/security structures & still implementing

Lessons Learned

• More than CAO support needed – all senior management need to buy in

• Don’t underestimate resources needed to implement • Implemented TOMRMS – paper/electronic same

Lessons Learned (Contd)

• Takes longer than you think – still not there yet in all departments

• Don’t underestimate the size of change – impacts all staff

• People will cheat & circumvent the system

Big Wins

• Single source of truth • Version control

• No concerns over accidental deletion

• Automated council/committee packages • Auto posting to County’s web site

Big Wins (Contd)

• Reports/minutes automatically display watermark “subject to council approval) until records

• Ability to create workflows to improve work processes

Challenges Ahead

• Have not got all staff consistently using GreyDocs • Time for IT staff to dedicate to further system

improvements

Challenges Ahead (Contd)

• Integration with multiple types of corporate software – Great Plains, Work Manager, GIS, HRIS, etc

• Have not dealt with management of emails yet (beyond legal opinions & that is sporadic)

Challenges Ahead (Contd)

• Integration with multiple types of corporate software – Great Plains, Work Manager, GIS, HRIS, etc

• Have not dealt with management of emails yet (beyond legal opinions & that is sporadic)

Electronic Information

Management

What You Will Learn Today

• York Region’s Information Asset Management (IAM) program

• Our Legal Obligations

• The Growth of Electronic Information at York Region

• Our Approach to Electronic Information Management

• Measuring Compliance

• Enterprise Content Management (ECM) • The Need for Organizational Change

Where

Is

York

Region?

York Region at a Glance...

• About 1.1 million people

• Sixth largest municipality in Canada

• More population than five of Canada’s Provinces • 25,000 new residents annually

• 75 % of population lives in Markham, Vaughan and Richmond Hill

• “Big city” and rural challenges

• $2.1 Billion annual budget and about 3,200 FTE

• Has been acclaimed as one of Top 100 Employers in Canada and in GTA

Enterprise Content Management Legislation Records Retention By-law Corporate Classification System Policies, Procedures, Audit & Compliance Paper Folders & Filing Aids Vital Records/ Business Continuity Enterprise Content Management Training Archives

York Region’s Information Asset Management Program has 10 key components.

York Region’s Information Asset

Management (IAM) Program

External Paper Storage

Our Legal Obligations

• Retain and preserve all records in a secure and accessible manner

• Treat all e-mails as “records”

• Classify and preserve all “official” records throughout their retention period

• Delete all “transitory” records as soon as they’re no longer needed

• Protect privacy and confidentiality

• Preserve and disclose records that are the

subject of actual/potential litigation or an Access & Privacy request, subject to some exceptions

York Region -- Total # of Records per FTE

60,842

Total number of records (physical and electronic) per FTE

Total # of Electronic Records

2007 to 2012, Projected 2013 to 2017

Emails By Location - 2012

Quantity in

Millions Percentage Rating

.pst Network 75 73% .pst Local 15 14% Outlook 11 11% eDOCS .8 1% .msg Network .7 1% .msg Local .2 0%

Average Number of

Emails per FTE

Our Approach to Electronic Information

Management

1. Implement an Enterprise Content Management solution

2. Build Staff and Management Awareness 3. Obtain Senior Management Support

4. Re-brand the RIM Section to Information Asset Management (IAM) Section

5. Upgrade IAM Staff and Modernize Program 6. New Records Retention By-law

Our Approach (cont.)

7. New Records and Information Management Policy (Make Users Accountable)

8. E-Mail Guidelines and Business Rules 9. Enterprise E-Mail Management Study 10. Build IAM Partnership with IT

11. Develop IAM Metrics

12. Annual Departmental IM Snapshot “Report Cards”

ECM’s Role in

Corporate Technology Systems

Enterprise Content Management can manage business records generated by other corporate technology systems.

Business

Systems GIS CRM Microsoft

Finance HR/Pay Budget Data Warehouse

Mapping Work Orders Maintenance Management Asset Lifecycle Collaboration Public Engagement

Enterprise Content Management

Word Excel PowerPoint Email Asset Management PeopleSoft

Cognos ESRI Cityworks Maximo TBD & Exchange Office SharePoint & Lync

Portal

Needs Analysis in 2001 Began as a pilot late in 2002 Slow rollout as permitted by resources/ licenses Has had four different “homes” SMT adopted as corporate standard in 2006 Faster rollout with additional resources since 2008 Investment to date is just over $10 million 2013 Council budget approval for new ECM Slide 45

The Region has made a significant investment in Enterprise Content Management over the past twelve years.

ECM – The Current State

• Completed roll out Partial C&HS • Licences 2,395

• Frequent users 755

• Records in system 1.5 million • Activities in total 37.4 million • Activities in 2012 9.1 million • Activities per day 40,000

ECM − Focus on Organizational Change

• Executive Sponsorship – CAO, Corporate Services, Finance • Senior Management commitment and support (top-down push) • Governance through Information Management and Technology

Governance Board

• Productivity Tool to enable more electronic

sharing and processes, not Records Management • More focus on departments and users, less on

technology • Mandatory • Faster rollout

ECM − Focus on Organizational Change

Management

• Some adjustment to staff responsibilities • Sustainable resource model

• Better training – online, video • Accountability – PA’s, Metrics

• Better support for end users after deployment • Mobile access

“Information is not the problem; it’s how we manage it that is the issue.”

The Springwater Team

Unsinkable Ships and Icebergs

Township of Springwater

Springwater Township

• $24 million corporation • 18,000 residents

• 80 full time staff

• We are located 1 hour north of Toronto,

Ontario.

• We amalgamated in

1994, combined records from four municipalities, four different filing

systems.

The Springwater Team

• Four project team members

• Records and Information Management

• IT

• Office Administration

• Communications

• Each spend approximately ¼

of their day working on the project.

How’d we get here?

• Tender awarded in 2009.

• Intended to be used solely as a

repository.

• In October 2010, project review,

new staff, scope redefined and expanded. • Repository • Workflow /Process • Online forms • Retention / Classification • Security

• Launched to all staff on November

Who needs to buy-in?

Council

Senior Management Subject Matter Experts End Users

Identify

Goals of a Small Budget

&

Expectations

• Capitalize on the skills of each team member.

• (IT, Records & Information Management, Communications,

Office Administration)

• Ensure these visions can be melded into a single

Mailroom to File room

Source to End-users

• This would represent a major shift in culture and

administrative operations for the Township.

• There was no formal mailroom or accepted mail

process prior to this project.

• Our vision included the idea of information as a

corporate resource, and capturing records creation early in the information lifecycle.

Communications

•

S

pringwater’s

•

H

ub for

•

A

ccessible

•

R

ecords and

•

E

lectronic

•

D

ocuments

“There was an understanding by everyone that

this project was not about software or IT but

what the team was actually implementing and

deploying in the Township was change.”

Terry Kozachenko – Senior Solutions Executive – Major Accounts RICOH

Corporate-Wide Culture Change

• Recognizing that information is a corporate

resource.

• Break down departmental silos.

• Design to to share all information, while securing

sensitive information.

• Transition from paper to digital environment is a

Corporate-Wide Culture Change

Laserfiche manages countless types of document types, and all staff are encouraged to add records to the repository, regardless of source. Prior to Laserfiche deployment, the Township had 9 servers with over 300 gig of duplicate files. The cost to maintain and replace servers was over $100,000. 0 500 1000 1500 2000 2500 3000 3500 4000

Docx Exls MSG PDF PPTX TIFF*

Volume Jan 2013 - May 2013

END

Electronic Records and

Information Management

Tips, Pitfalls and Successes

Stories from Small and Large

Municipalities