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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 •Springwater
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 is driving the need for EDRMS?
•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 Organizational Readiness (Cont’d)
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!)
•Day forward or back scanning/importing
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 •Springwater
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
• So, the search was on………
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 was given for 2012
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. 8. Selected the successful vendor.
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 May 2012
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
Township of Severn
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
time & it worked
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 • Unexpected windfalls – business improvements
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 • Revamping meta data structure & security model
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
York Region’s Experience
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 Durham
Toronto Lake
Ontario
Simcoe
Peel
Halton
(1,756 square kilometres)
Steeles Avenue
York
Dur
ham
Lin
e
Lake Simcoe
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
18 - 20 Ft
Total Records 2007 to 2012
Total # of Electronic Records 2007 to 2012, Projected 2013 to 2017
Reported Projected
33.4 49.5 61.5 74.3 93.9
122.3 153.0
191.2 239.0
298.7
373.4
Millions
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” 13. Increase Communications
Electronic Records Compliance Rates
ECM’s Role in Corporate Technology Systems
Enterprise Content Management can manage business records generated by other corporate technology systems.
Business Systems GIS Microsoft CRM
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 SharePoint
& Lync Office
& Exchange TBD Maximo Cityworks
Portal
WebSphere
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 – Where We Have Been
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 Activities per day have grown by over 360% in the past 5 years.
ECM Needs Organizational Change
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
• Stronger Communication & 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.” Nick Bontis, PhD, “Information Bombardment”, 2011
The Springwater Team
Unsinkable Ships and Icebergs
Township of Springwater Ontario, Canada
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.
Unsinkable Ships and Icebergs
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.
• ….Can easily spend more.
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
7, 2011.
Who needs to buy-in? EVERYONE.
Council
Senior Management
Subject Matter Experts
End Users
Records Team
Project justification
Project justification
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 focused vision.
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.
• New Course
Communications
Branding • Springwater’s • Hub for • Accessible • Records and • Electronic • Documents
“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 culture shift; manage change – manage culture.
Corporate-Wide Culture Change Measuring Success / Buy-in 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.
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Volume Jan 2013 - May 2013
Volume
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Electronic Records and Information Management
Tips, Pitfalls and Successes
Stories from Small and Large Municipalities
