Enterprise Content Management (ECM)

Enterprise Content Management (ECM)

Dealing with Information Overload Increase Productivity Save Time … Save Paper Reduce Costs

FGFOA School of Governmental Finance November 13, 2012 Sarasota, FL City of Tampa Steven Cantler, Project Manager Joseph Hagge, Lead Analyst

Agenda

Session Overview

What is ECM

Benefits Identifying Requirements Acquiring a Solution

Tampa’s Journey

Have You Experienced…

Where did I save that document? If I can’t find it, I’ll have to re-create it.

Has someone else already done this?

What is the current status of the review and approval for…?

I have several different copies; which is the current and most accurate version?

What is ECM

AIIM – Association for Information and Image Management …the technologies, tools and methods used to capture, store, manage, deliver & preserve content across an entire enterprise

Unstructured Content

Unstructured …anything NOT under an existing automated business application Electronic: Word, Excel, PowerPoint, CAD, GIS, audio, video, image files Paper: text, photographs, maps, drawings ECM = Increase Productivity, Reduce Costs

Florida Public Records

What is a record Florida Statutes Section 119.011(12)… “Public records” means all documents, papers, letters, maps, books, tapes, photographs, films, sound recordings, data processing software, or other material, regardless of the physical form, characteristics, or means of transmission, made or received pursuant to law or ordinance or in connection with the transaction of official business by any agency.

Public Records Access Florida Statutes Section 119.07(1)(a)… Every person who has custody of a public record shall permit the record to be inspected and copied by any person desiring to do so, at any reasonable time, under reasonable conditions, and under supervision by the custodian of the public records.

Penalties for Non-Compliance Florida Statutes Section 119.10… A knowing or intentional violation is a 1st degree misdemeanor punishable by a fine of up to $1,000 and a jail term not to exceed one year. An unintentional violation is a non-criminal infraction, punishable by a fine up to $500. A public officer who intentionally violates the public records law is subject to suspension or removal from office. Attorney's fees and court costs are available to the requestor that prevails in a civil suit for access.

Capture

ECM system

Capture … putting content into the repository Paper scanning, imaging, OCR Direct saves from authoring tools such as Microsoft Word, Excel Bulk imports (+ drag & drop) Email, Fax, Web ECM = Save Paper, Save Time

… where the content goes and how to find it again Classification Search & Retrieval Check Out/In Version Control

Store

Store Attributes establish order/structure metadata taxonomy Ideally in one location ECM = Increase Productivity, Reduce Costs

Manage

Manage

Current Status who has what; waiting how long History review of a specific occurrence; macro views of volumes, totals, trend analysis … tools & techniques for moving content around and performance monitoring Access and Security Audit Trails Collaboration, Workflow ECM = Save Paper, Save Time

Deliver

Deliver

… getting the right content to the intended audience Display, Printing, Reporting Reuse Redaction Redaction Issues …what is confidential or exempt …black out or white out redaction …legal basis for redaction required ECM = Increase Productivity, Reduce Costs

Preserve

Preserve …options for long term storage and proper disposal at end-of-life Archiving Holds Retention and Disposition Transfer, Export ECM = Save Paper, Save Time

GS1-SL (250+ Record Series)

Accounting, Budget, and Finance Administration Building/Development Health and Medical Human Resources, Personnel, and Payroll Maintenance, Property, and Purchasing Public Safety Risk Management, Security, and Insurance Social/Human Services and Veterans Services

Accounting, Budget & Finance

Annual Report to the Board of County Commissioners -- #380 Audit Trails: Critical Information Systems -- #393 Audit Trails: Routine Administrative Information Systems -- #394 Audits: Auditor General -- #8 Audits: Independent -- #56 Audits: Internal -- #73 Audits: State/Federal -- #83 Audits: Supporting Documents -- #57 Automated Accounting System Reports -- #50 Bank Statements: Reconciliation -- #85 Bond Administration Records -- #250 Bond Registers -- #251 Bond Resolutions/Ordinances -- #191 Bonds and Bond Interest Coupons -- #226 Budget Records: Approved Annual Budget -- #58 Budget Records: Supporting Documents -- #88 Business Tax Receipt Records/Occupational Licenses -- #221 Contracts/Leases/Agmts: Capital Imprvmnt/Real Property -- #64 Contracts/Leases/Agreements: Non-Capital Improvement -- #65 Disbursement Records: Detail -- #340 Disbursement Records: Summary -- #341 Donation Records -- #342 Electronic Funds Transfer Records -- #264 Encumbrance/Certification Forward Records -- #20 Endowments/Bequests/Trust Fund Records -- #211 Expenditure Plans: Capital Improvement -- #208 Facility Reservation/Rental Records -- #270 False Alarm Records -- #345 Federal Income/Employment Tax Forms/Reports -- #157 Fee/Service Schedules -- #271 Financial Account Authorization Records -- #84 Financial History Summary Records -- #347 Financial Reports: Annual (Local Government) -- #107 Financial Rpts: Annual (Local Govt Supporting Docs) -- #108 Fuel Tax Reports -- #213 Grant Files: Grantor Agency -- #109 Grant Files: Recipient -- #348 Investment Records -- #278 Local Government Mileage Reports -- #390 Payment Card Sensitive Authentication Data -- #395 Petty Cash Documentation Records -- #202 Public Depositor Annual Report Records -- #389 Purchasing Records -- #42 Rain Checks -- #293 Receipt/Revenue Records: Detail -- #365 Receipt/Revenue Records: Summary -- #366 Revenue Sharing Applications -- #388 Sales/Use/Local Option Tax Records -- #368 Tourist Development Tax Records -- #305 Travel Records -- #52 Truth-In-Millage (Trim) Compliance Files -- #375 Unclaimed Property Records -- #309 Unemployment Compensation Records -- #149 Vouchers: Federal Projects Paid -- #156 [50+ record series]

Record Series Examples

Calendars - #89

This record series consists of calendars, appointment books, planners, or other records showing official daily appointments and meetings. The series might also include lists of “prioritized daily tasks,” background materials, issues for discussion, and speaking points or remarks.

Retention: 1 anniversary year.

Drafts and Working Papers - #242

This records series consists of materials used in developing, compiling, and assembling a final product such as an agency report or database. The series may include, but is not limited to, circulated drafts; data entry forms; notes; calculations; and other supporting documents.

Retention: Retain until obsolete, superseded, or administrative value is lost.

Hands-On Classification

Can you find it?

…everyone else?

One word for…

Brief description for…

RECORD

Common characteristics…

Unique characteristics…

How to locate?

ABC Company Tent

ABC

How to locate? (continued)

Core ECM Features

Benefits Identifying Requirements Acquiring a Solution

ECM Benefits

Tangible Intangible SAVINGS Money Time Space Legal Compliance Efficiency Cost Reduction Per EMC 2 , each office document costs: $20 in labor to file $120 in labor to locate $1 to store $5 to retrieve …and on average 5% are lost, each of which take 25 hours to recreate

2009 EMC 2 Corp

Tangible Benefits

Minimizing electronic storage costs by eliminating duplicate files and old versions that are not needed.

Minimizing administration costs by centralizing management of shared assets.

Maximizing staff utilization by focusing on a single system vs. cross-training on many platforms.

Managing workflows to optimize the use of resources.

Reducing paper by sharing digital vs. paper files.

Convert paper records when appropriate to reduce onsite and offsite storage expenses.

Quantifiable Savings

Intangible Benefits

Improves find-ability and speed of access to information assets.

Increases knowledge sharing and reduces duplication of efforts, as awareness of information developed by others will be accessible.

Enhancing the quality of decision making by sharing information.

Enhances understanding of information status and activity with version controls and audit trails, i.e. who, what, when, etc.

Enables the application of State mandated records retention periods to previously unstructured information.

Expedites and improves discovery efforts, such as public information requests, legal actions and audits, while also enabling record protection.

Access to sensitive information can be restricted to authorized individuals and groups, and help ensure information is redacted.

Compliance

Providing layers of security, ensuring that any given document or particular details within a document can be viewed only by authorized individuals.

Providing redaction tools to protect material.

Automating processes for retaining public documents and purging them when they are no longer needed, according to specific retention policies.

Increasing government transparency and accountability.

Postal Service Loses Open Records Lawsuit (10/25/2012) Washington State Pays Open Government Coalition $65,000 to Settle Records Case (10/22/2012) Blogger Files Lawsuit Against Lawrence After Being Denied Access to Document (10/06/2012)

Efficiency

Converting paper documents into electronic ones, ending the paper shuffle.

Storing content in one central repository, giving each authorized user access to all the information needed to do his or her job.

Indexing content for easy search and retrieval.

Allowing an authorized user to quickly access collections of documents, without worrying about what documents are called or who “owns” them.

Making information available 24/7 from any computer with access to the repository.

Increasing opportunities for information sharing and collaboration.

Keeping documents from getting lost.

Providing version control for documents undergoing revision.

Reducing Costs

Reducing the need to buy or rent expensive office space, file cabinets, folders and boxes for storage.

Reducing labor costs by eliminating time employees used to manage paper records and unstructured electronic documents.

Making it easier to assemble information needed for actions and decisions.

For Return on Investment (ROI) reporting, focus on Tangible Benefits.

Locate Key Performance Indicators to measure for before and after implementation comparison.

Identifying Requirements

Where to Begin

Standards -- MoReq2, DoD5015.2, Dublin Core, etc.

Industry Associations: AIIM / ARMA Undertake an Information Inventory [department, section/team, role/function] Locate and assess other recent efforts

Identify the Scope

Who will Sponsor/Champion Resources -- $’s, personnel What are the most important functions

Acquiring a Solution

Partner with your IT dept; ask what they are doing to capture, store, manage, preserve & deliver content.

Engage your Records Management Liaison Officer.

Join AIIM; investigate training and certifications.

Perform online research; attend web casts; talk with other agencies about what they have done.

Create & distribute requests for information and/or proposals.

Get relevant demonstrations of solutions focused on your business functions.

Tampa’s Journey

Timetable

Mid-2008 to early 2009…initial project team identified functional requirements in RFP [37 Team Members] 2 yrs in purchasing [9 RFP Committee Members] 2011 Sire Technologies selected for implementation; team re-assembled [75 Team Members]

Major Activities

initial focus on identifying standards for pilot implementation key areas of contract scope paper to electronic conversion (vital records) records management (convert existing system) migration of electronic content (network shares) basic collaboration & workflow (forms, electronic signatures)

Reading List

Content Management Bible by Bob Boiko The Content Management Handbook by Martin White Everything Is Miscellaneous: The Power of the New Digital Disorder by David Weinberger Managing Enterprise Content: A Unified Content Strategy by Ann Rockley Organising Knowledge: Taxonomies, Knowledge and Organisational Effectiveness by Patrick Lambe

Other Resources

AIIM, Association for Information and Image Management http://www.aiim.org

Dublin Core Metadata Initiative http://dublincore.org

ECM Connection http://www.ecmconnection.com/ Florida Department of State, Division of Library and Information Services, Records Managers http://dlis.dos.state.fl.us/recordsmgmt/statutes.cfm

MoReq2, Model Requirements for the Management of Electronic Records http://www.moreq2.eu

Questions ?

…for future follow-up contact Steve Cantler via LinkedIn or [email protected]

Joe Hagge at [email protected]