Partnering for Information Governance. Implementing an Enterprise Content Management (ECM) System Lessons Learned

(1)

Partnering for Information Governance

Implementing an Enterprise

Content Management

(ECM) System

Lessons Learned

(2)



Responsible for Operation & Maintenance of

Intermountain Power Project (IPP)



Staff of ~435 Workers



Accounting and Personnel



Operation and Maintenance



Engineering

Intermountain Power Service

Corporation (IPSC)

(3)

Intermountain Power Project (IPP)

∗

36 Participants

∗ _{California, Utah, Nevada}

∗

2 – 950 MW Generating

Units

∗

Burn over 5 Million tons

coal/year

∗

Electricity for 1.7 Million

(4)

∗

Retention Schedule 653 Types of Documents

∗

Some Isolated Retention Has Been Implemented

∗

Paper, Electronic, Microforms, x-ray

∗

Various Formats

∗

Retention = 1 year to Plant Decommission + 6 years

∗

Located in LAN Shared Drives, Satellite Libraries,

Offices, Cubicles, Common File Cabinets, Document

Storage.

(5)

(6)

(7)

(8)

ECM Project Q: Drive cont.

∗

Each Employee has a U:

Drive assigned to them.

Includes all employees

(estimate 600 + folders).

∗

Some employees also

store data on their C:

drive (against the wishes

of IT).

(9)

(10)

∗ IPP Purchase Specifications 324

∗ IPP System Descriptions 17

∗ IPP Operating Procedures 16

∗ IPP System Design Specifications 11

∗ IGS Regulatory Requirements 1

∗ IPP Project Procurement Manual 3

∗ IPSC Administrative Instructions 14

∗ IGS Outage Reports 92

∗ Etc.

(11)

∗

AIIM defines

Enterprise Content

Management (ECM)

as: bringing all of

an organization’s unstructured content

into a managed environment for

sharing, controlling access, find ability,

and archive

.

(12)

∗

“Provide a single, secure repository for

records of all kinds and formats with

managed access and full content search

capability”

∗ -Capital Project Justification

(13)

∗ NOT a Simple Task ! Often Outsourced to a Consultant

∗ Capital Project Justification

∗ Allocation of Funds – Approval IPSC and LADWP

∗ Purchase Contract with Specifications

∗ Project Management

∗ Proof of Concept

∗ _Schedules

∗ Workgroup/Teams

∗ Documentation

∗ _{Budget Tracking and Reporting} ∗ Project Updates

∗ _{Close Out}

(14)

Tied to Corporate Goals

(Balanced Scorecard)

(15)

ECM PROJECT AND BALANCED SCORECARD

Improve Administration Efficient information

handling October 2013 ● Migrate the current documents and replace the obsolete imaging system (FYI System) to the new ECM System (On-Base). JPC Improve Administration Efficient document storage April 2013

January 2014

● Develop a list of projects to continue the transition to a paperless

system.

● Design and install new searchable database to allow

consolidation of electronic records and contracts into common system.

RWS JPC

Prepare for Aging Work

Force Issues

Prepare for job succession April 2013 ● Enter Job Descriptions in electronic database. RWS

Information more readily available and easier to find for those with less experience.

July 2013 ● Enable the access for all IPSC employees to essential plant design and operating documentation that has been converted to On-Base. Ensure that everyone is trained on how to search and retrieve

documents.

JPC RSR

Employee Training Schedule and document

specialized training. October 2013 ● Create and maintain centralized training records on cranes, forklifts and manlifts. This will include the documentation and auditing of

this mobile equipment.

(16)

∗

Single Point of Access

∗

Single Interface

∗

Shared Information

∗

Single Storage Location

∗

Space Reduction

∗

Save Historical Information (revisions)

(17)

∗ _{Your first assignment is to scan and index the collection of}

Instruction Manuals. The manuals are organized in 457

three ring binders. Documents inside the binders range from 81/2 x 11 simplex pages to folded E size drawings. A binder may include manufacturer literature that is stapled (brochures). Each binder is divided by tabs. The naming convention on the tabs is determined by the vendor.

∗ _{Identify some of the issues you may encounter as you}

work on this assignment.

Case Study

(18)

Case Study

(19)

Case Study

(20)

Case Study

(21)

Case Study

(22)

Scan and Index Instruction Manuals

Issues:

(23)

∗

Estimate scanning costs

∗

Material Characteristics of Documents Being Scanned

∗ _{81/2 x 11 simplex, 11 x 17 and E size Drawings} ∗ 457 Binders (675 linear inches)

∗ _{225 pages per inch (151,875 pages)}

∗

Number of Pages x Cost per page = Scan Cost

∗

Prep Fee x Estimated Hours = Prep Cost

∗

Scan Cost + Prep Cost = Total Scanning Costs

Issues:

(24)

∗

What to Do with E-Size Drawings?

∗ _{Costly to scan – scan cost plus prep time} ∗ _{Outdated !}

∗ _{Just scan Title Block (bottom left corner of drawing)}

∗ Reference to current drawing in the Drawings Data Base

Scan and Index Instruction Manuals

Issues:

(25)

Issues:

(26)

Issues:

∗

Index Values

∗ _{B&V Contract Number} ∗ _{Contractor/Vendor Name} ∗ _{Manual Title}

(27)

∗

Shipping and Tracking

∗ _{Clerical Log}

Issues:

(28)

∗

Shipping and Tracking

∗ _Manifest

Issues:

(29)

Issues:

(30)

∗

Acceptance Testing – start with 10% sample

∗ _{All Manuals scanned and returned?}

∗ Missing 36 Manuals – Returned not scanned?

∗ _{Index Keywords Correct – minimal corrections}

∗ Export to spread sheet

∗ Run Spell Check

∗ Wrong Contract Numbers

∗ Missing Contractor Name

Scan and Index Instruction Manuals

Issues:

(31)

∗

The Mystery of 36 Missing Manuals

∗ _{Updated Inventory List from Clerical !!}

∗ Manuals had been removed prior to scanning

∗ _{Whew – That was close.}

Outcome

(32)

∗

Good Estimates of Cost – Cushion for Variables

∗

Chain of Custody – Vendor Too

∗ _{What if Manuals had been Missing or (Gasp) Lost?}

∗

Thorough Acceptance Tests

∗ Retrieval is Based on Accurate Index Keywords

∗ _{Maintain Hardcopy Manuals – at Least Until Acceptance}

Testing is Complete and ALL Issues are Resolved

∗

Employees on this Project MUST be Detail Oriented

Lessons Learned:

(33)

∗ _{IPSC implemented a document imaging system in}₁₉₉₆_.

The Imaging system contains over 2 million documents (not pages). Information has been captured and loaded into the system by ad-hoc scanning (individual employee desktop scanners), and automatic data transfer of

information from Legacy business systems. Your next assignment is to migrate data from the obsolete Imaging system into the new ECM system.

∗ _{Identify some of the issues you may encounter as you}

work on this assignment.

Case Study

(34)

Case Study

(35)

Migrate Imaging System

Issues:

(36)

∗

President and Chief Operations Officer:

“I hate the Imaging System. I can never find

anything in it.”

Balanced Scorecard goal to replace the Imaging System.

Migrate Imaging System

Issues:

(37)

Issues:

(38)

∗

In a word the Data Base was a Mess!

∗ _{System Started with Oversight (Records Manager)}

∗

Procedures were Documented at One Time

∗

There Were Standard Abbreviations, Procedures, ETC.

∗

Now - No One Can Find A Manual!

∗

Indexing is not consistent (INV#, INV, Invoice #)

∗

5 different ways to spell RECEIVING (Receiving,

Recving, Rcving, Receive, Receivng)

Issues:

(39)

∗

Proprietary File Systems – Convert files to PDF or .Tiff

∗ _{.zhp used by Swift View, Inc.}

∗

Duplicate Scanning

∗ Same document scanned by Warehouse, then by Accounting (different folders)

∗

“Living” documents scanned into Imaging system,

never updated

Issues:

(40)

∗

Documents Scanned in Time Frames

∗ _{1996 to 1997 then 1997 to 2004 in a different folder}

∗

Correspondence

∗ Organized by Delivery Method, not by Content

∗ _{Memos, Letters, email, etc.}

∗

Access Security not Applied Consistently

∗ Security Levels – Sometimes Creator was at low level

Migrate Imaging System

Issues:

(41)

∗

Need to Re-Organize Content into Big Buckets

∗ _{Do as Part of Migration or After?}

∗

Need to Convert Obsolete File Formats into Current

∗ PDF or TIFF

∗

Assign Access by Job Title – not levels (0-1000)

∗ _{More Access for Most Employees} ∗ Easier Administration

Migrate Imaging System

Issues:

(42)

∗

By Far, the Biggest Issue the Project has Faced (and

Still Faces) is . . .

∗

Change Management

∗

Some Employees Refuse to Adjust Their Procedure.

Lessons Learned

(43)

1.

Documented and Approved Universal Procedures

∗ _{Scanner Settings}

∗ _{Use Drop Down Pick List} ∗ _{No Abbreviations}

∗ _{Keyword as it appears on document} ∗ _{Don’t Add anything (INV#, INV, etc.)} ∗ _{Only Load Once (Cross Referencing)}

∗ _{Write any Corrections on Hardcopy Document}

Migrate Imaging System

Lessons Learned

(44)

∗

Use Drop Down Pick List

Lessons Learned

(45)

∗

Validate Keyword Entry Against Source When Possible

∗ _{Auto Fill Employee Name from HR System}

Lessons Learned

(46)

∗

Specific Standard Procedures

Migrate Imaging System

Lessons Learned

(47)

∗

Indexing Procedures are used to Index AND used by

Employees who want to Retrieve

∗

Know Where to Search for Actual Document AND

Format of Keywords They use in the Search

Lessons Learned

(48)

∗

You can start working on your ECM (ERM, DM)

System Today !

∗

Verify there are Standard Business Procedures for

What Employees Do Today, and the Procedures are

Being Followed – Without Exception!

∗

Saves a Ton of Frustration and Effort When You Do

Implement a System.

(49)

∗

Implement a Corporate File Plan - Inventory

∗ _{Includes Physical and Electronic Records} ∗ _{Where records are located}

∗ _{Who has access} ∗ _{Who is Custodian}

∗

Implement Retention – Wherever Possible

∗ _{Hard Copy and Electronic (Tricky)} ∗ _{Determine Retention Periods}

(50)

∗

Become Familiar with Corporate Goals

∗ _{What Really Bugs Management} ∗ _{What are They Worried About}

∗ _{What can be Tied to Records Management}

∗

Build Relationships

∗ _{You Will Need Allies in all Departments/Sections}

∗ _{You will Need Information From All Aspects of Business}

(51)

∗

Fad?

∗

Buzzword?

(52)

∗

Part of the Maturing Process for

Records Management

∗

Evolution if You Will

(53)

∗

Think About It . . .

∗

Records

Management

∗

Physical Records

∗

Paper, Micro Forms, Film

∗

Centralized Storage

∗

Proper

Management

of the Records

(54)

∗

Records Information

Management

(RIM)

∗

Physical and Electronic

∗

All Content Regardless of format or where it is

used

∗

Structured and Unstructured

∗

Electronic Included in Legal Proceedings

∗

Proper

Management

of the Records

(55)

∗

Information governance

is the specification of

decision

rights

and an

accountability

framework to encourage

desirable

behavior

in the valuation, creation, storage,

use, archival and deletion of information. It includes the

processes

,

roles

, standards and metrics that ensure the

effective and efficient

use of information in

enabling an

organization to achieve its goals.

(56)

(57)

Think About It . . .

∗

Information

Governance

∗ _{Includes RIM (All Content) Properly Managed}

AND

∗ _{Decision Rights (How Content is Used)}

∗ _{Accountability – All Employees (Shared Ownership)} ∗ _{Processes – How is Content Used}

∗ _{Roles – Who Uses the Content}

∗ _{Effective and Efficient – Business Processes}

(58)

Partnering for Information Governance

Implementing an Enterprise Content

Management (ECM) System

(59)