Document Management Needs Analysis

Findings &
Recommendations
Report
The District of North Saanich
PAGEINTENTIONALLYBLANK
Pagei
TableofContents
ExecutiveSummary.........................................................................................................................1
ProjectScopeandObjectives......................................................................................................1
SummaryofCurrentIssues.........................................................................................................3
SummaryofRecommendations..................................................................................................4
Benefits....................................................................................................................................4
BackgroundInformation.........................................................................................................6
DistrictTerminology................................................................................................................6
ReportTerminology.................................................................................................................6
Findings............................................................................................................................................7
CorporateServices......................................................................................................................7
FinancialServices.........................................................................................................................9
PlanningandCommunityServices............................................................................................11
InfrastructureServices..............................................................................................................13
PublicWorksandParks.............................................................................................................14
EmergencyServices...................................................................................................................16
IT/GISDepartment....................................................................................................................17
CurrentTechnology...................................................................................................................22
CurrentIssues............................................................................................................................23
Challenges.....................................................................................................................................26
Recommendations.........................................................................................................................29
AncillaryObservationsandRecommendations....................................................................29
RecordsManagement...............................................................................................................31
ChangeManagement................................................................................................................33
DocumentCenter......................................................................................................................35
BestPractices........................................................................................................................37
RequestforInformationandProposal......................................................................................38
PhasedImplementation............................................................................................................40
Pageii

PhaseIBaseSystemandPilotProject.................................................................................41
EDMSArchitecture................................................................................................................42
CostsandSavingsOpportunities...................................................................................................43
EDMSCosts................................................................................................................................43
OpportunityforSavings.............................................................................................................45
ImplementationMethodology......................................................................................................48
ProjectManagementMethodology..........................................................................................48
NextSteps......................................................................................................................................50
AppendixAEducationonDocumentManagement........................................................................i
EnterpriseDocument/ContentManagement...........................................................................i
DayForwardImagingandBackfileConversion.....................................................................iv
Pageiii
ExecutiveSummary
RicohCanada,Inc.(Ricoh)ConsultingServiceswasengagedtoperformaDocumentManagementNeeds
AnalysisfortheDistrictofNorthSaanich(theDistrict).ThemethodologyoftheAnalysiswastocollect
andanalyzeinformationontheflowofdocumentswithinandbetweentargetedbusinessunits.By
analyzingtheworkflowofthesedocumentsandtheirstoragesystemsandmethods,wewereableto
identifywhere,withtheimplementationofappropriatetechnologyandstructuredprocessesand
procedures,currentmethodscanbeimprovedandpossiblyautomatedinthefuture,productivitycanbe
enhancedandoveralloperationalcostscanbereduced.
Businessunitstargetedduringthisprojectinclude:
CorporateServices
FinancialServices
PlanningandCommunityServices
InfrastructureServices
PublicWorksandParks
EmergencyServices
IT/GISDepartment
ThedeliverablefromthisAnalysis,thisFindings&RecommendationsReport,providesasummaryofthe
currentstateandidentifiesopportunitiesforimprovementinthefuture.Whereapplicable,thereport
willrecommendspecificsolutionstoimprovedocumentprocesses,lowercostsandreducetherisk
associatedwithdocumentmanagement.However,thereport,asintended,willnotrecommenda
specificproductsolution.TheDistrictsintentistoissueaRequestforProposal(RFP)fortechnologyat
somepointinthefuture.
Ricohobtainedthefindingsapplicabletothetargetbusinessunitscontainedwithinthisdocumentby
interviewingthestaff,observingthefunctionalprocessflows,andassessingthecurrenttechnology;all
thewhilesearchingforopportunitiestostreamlinetheflowofworkandreduceorremoveany
challengesorassociatedbottlenecks.Therecommendationsarebasedontheinformationobtained
duringtheinterviews,Ricohsexperiencewithsimilarenvironmentsandmunicipalitiesandindustry
standardbestpracticesassociatedwiththistypeofananalysis.
ProjectScopeandObjectives
TheprojectscopeandobjectslanguageparaphrasedbelowwaspreviouslyagreedbetweenRicohand
theDistrictofNorthSaanichinaStatementofWork(#32299)datedJuly21,2010.
ThemainobjectiveofthisprojectistoconductaformalDocumentManagementNeedsAnalysisandto
presentaFindingsandRecommendationsReportthatwilldocumenttheDistrictsrequirementsand
recommendenhancementsthatcanbemadethroughtheintroductionofelectronicdocument
DistrictofNorthSaanich
DocumentManagementNeedsAnalysis

management(EDM)software.Selectcontentfromthereportisalsointendedtobeusedinafuture
EDMproductRequestforProposalwhichmaybeissuedbytheDistrict.
Thereportwillbevendorneutral,howeverifrequested,ademonstrationandestimatedpricingcanbe
deliveredforthepurposesofprovidingabaselinewithwhichtoproceed.TheDistrictofNorthSaanich
isinnowayobligatedtouseRicohasaproviderofimplementationservicesorElectronicDocument
ManagementSystem(EDMS)softwareuponcompletionofthisstudy.
ObjectivesoftheDocumentManagementNeedsAnalysis:
DefineaphasedapproachtoanEDMimplementationwithintheDistrict.
AnalyzeanddocumentkeydocumentprocessesinordertomakerecommendationsforEDM
softwarewithestimatedbudgetcostsandtimeframefordeployment.
RecognizeprocessesthatcouldbenefitfromanEDMSandprovidetime/costsavingsstatements
tosupporttheEDMinitiative.
InvestigateandmakerecommendationsforChangeManagementinordertosecurestaffbuyin
andensureasmoothtransition.
PrioritizeanddocumentwhichdepartmentswouldbenefitfromtheEDMSmostandcreatea
phasedplanfordeployingtheEDMSdistrictwideoveraperiodof35years.
SuggestaDistrictorientationplanforthepurposeofcorporatememoryduetoretirementand
staffturnover.
Servicesincludedintheprojectscope
ThefollowingaretheservicesandtaskswhichRicohwillprovideinfulfillmentofthedefinedobjective
ofthisproject:
ReviewtheDistrictsdocumentmanagementobjectivesandrequirements
Gatherdataonselectedcurrentprocessesthrough:
o InterviewswithDistrictofNorthSaanichProjectSponsors
o InterviewswithDistrictofNorthSaanichManagementandselectedEndUserswithin
theidentifiedbusinessprocesses
o InterviewswithDistrictofNorthSaanichITSupport
o HighlevelnetworkassessmentinpreparationforEDMS
CompilationandAnalysisofData
ResearchandDesignofSolution
ProjectManagement
PreparationofFindings&RecommendationsReport
PresentationtoCouncilatafuturemeeting(2030minutes)

Servicesexcludedfromtheprojectscope
Thisprojectdoesnotcoverthefollowingfunctionsordeliverables:
Networksizing,capacityanalysis,andperformanceconsiderations
Detailedcost/benefitanalysis
Advanced,automatedworkflowdesign
Customcodingorprogramming
Backfileconversionservices
TechnicalDesignorbuildservicesforanEDMS
SummaryofCurrentIssues
SeveralissueswereuncoveredduringthecourseoftheAnalysis,themostdisturbingofwhichareatotal
lackofcontrolandorganizationassociatedwithdocumentrecords,deficientorabsentprocessesfor
documentmanagementandnonexistent,orseverelyoutdated,policiesgoverningdocumentrecords.
SpecificexamplesofissuesobservedanddiscussedarelistedintheCurrentIssuessectionofthereport
onpage23.
Theexamplesarecategorizedinthefollowingfiveways:
Training,consistencyinprocess,
Lackofstructureddocumentmanagementprocessesacrossthe
centralizationofdocument
organization;bothpaperbasedandelectronic
managementbothpaperand
Limitedand/orconstrainedresourcingavailabletodevelop,
electronic,wouldbethingsIwould
disseminateandenforcewhatlittledocumentandrecords
liketoseeimprovedwith
managementpolicyexists
documentmanagementatthe
DistrictofNorthSaanich.
Distributedhardcopyarchive
Underutilizedtechnologyorutilizationoftechnologyforpurposes
otherthanintended
Notruedocumentmanagementtechnologyisinplacetoforceuserstomanagedocuments
efficientlyandeffectively
Basedonthecurrentsituationrelatedtotheaccuracy,efficiencyandaccountabilityfordocumentsand
records,theDistrictshouldundertakeseriousmeasurestoaddressthesystemicchallengeofdocument
management.
SummaryofRecommendations
Ricohsrecommendationsarederivedfromourstudyofthetargetbusinessunits,ourexperiencewith
similarmunicipalenvironmentsandthedocumentmanagementindustryatlarge.Ricohsoughttomake
recommendationsthatwouldprovideanimmediatebenefitfortheDistrict.Thus,therecommended
actionsandsolutiondiscussedhere,whileapplicabletothetargetareasinspecific,isscalableand
flexibleenoughtoapplytotheentireorganization.
InitiatecreationofaRecordsManagementPolicywithanupdatedRetentionSchedule
InitiateChangeManagementactivitiesinpreparationforHardcopyandElectronicDocument
Management
EstablishacentrallylocatedDocumentCenterstaffedwithknowledgeableresourcestoprovide
hardcopyanddigitaldocumentservicestoall
PrepareRequestforProposalforDocumentManagement,including:
o Structureandprocessesforhardcopydocumentrecords
o Technologyforelectronicdocumentmanagement
o Properlyqualifiedvendor/partnertodesignanddeploythesolutionthrougha
structured,provenmethodology
Challenges
TheDistrictwillneedtoaddressthefollowingchallenges:
Lackofresource(s)toowndocumentmanagement
Useradoptionandresistancetochange
Humandesiretoprintandstorehardcopydocumentation
Detailonthesechallengesandsuggestionstomitigatethemcanbefoundonpage26.
Benefits
Asaresultofimplementingelectronicdocumentmanagementtechnology,theDistrictstandstoreap
benefits,including,butnotlimitedtothefollowing:
Improvedproductivityintargetedbusinessunitsandbeyond
Significantincreasesinprocessingcapacitywithoutproportionalincreasesinstaffing
Reducedoperationandmaintenancecosts
Betterreliability,security,fasterdocumentretrieval
Increasedauditabilityofdocumentcentricprocesses
Reviewofthebusinessprocessesandrequirementswiththebusinessprocessownerswouldincrease
enduseracceptanceandreturnoninvestment.Consideringtechnologyonlywillincreasecost,
effectivelyloweringthereturnoninvestmentandenduseracceptance.
ROI
Technology
30%
30%
20%
Business
Process
20%
10%
0%
6%
10%
9%
Figure1Technologyvs.BusinessProcessROI1
Whileitmaynotseempossible,atthisyearspace,theDistrictwilluseenoughpapertobuildastack
theheightoftheEmpressHotel.ThoughthecurrentRecommendationmaynotdrasticallyreducepaper
consumptioninitially,saveforlongtermarchive,thefollowinggreeninformationisinteresting.
Item
Value
Numberofpagesconsumedperyear*
500,000
Numberofreamsconsumedinyear
Heightperreamofpaper(inches)
Numberoffeetperyear
HeightoftheEmpressHotel(feet)
NumberofyearstoreachthetopofEmpress
Hotel
*representsonly8.5x11"paper
1,000
2
166.7
170
1
EnvironmentalImpact
Theaverageemployeeconsumes10,000officepagesperyear2.Sinceittakes6%ofatreetomakeone
cartonofpaper,eachworkerconsumesapproximately1.2treesperyear3.
ComplexityAvalanche,OvercomingtheThreattoTechnologyAdaption
J.B.Wood,PresidentandCEO,TechnologyServicesIndustryAssociationCopyright2009
2
InfoTrends/ALLAssociatesGroup
3
www.conservatree.com:1treemakes16.67reamsofcopypaperor8,333.3sheets,1ream(500sheets)uses6%
ofatree
BackgroundInformation
OnsiteinterviewsandobservationwereconductedattheDistrictslocationinNorthSaanichovera
periodofafewdays.Itisfromthesesessionsthattheinformationprovidedinthefollowingpageswas
derived.
Participation
Thanksareduetothefollowingindividualsfortheirparticipation.
Interviewee
JohnCarnell
CurtKingsley
RobBuchan
BrianRobinson
SarahFairbrass
JohnPost
DeannaLaw
AdamFitch
GaryWilton
JenniferProvan
PatrickOReilly
BrianSimon
KellyAlbucz
SusanMcWhirter
BaohuaDuan
PatriciaRoberts
TheresaFlynn
EmmanualIturralde
ValMahoney
LisaCoburn
JackieGretchen
RickFedrigo
ShawnMunro
Title
IT/GISManager
ManagerofCorporateServices
ChiefAdministrationOfficer
WorksSuperintendent
AdminAssistant
SeniorBuildingInspector
PlanningServicesClerk
AssistantPlanner
DirectorofEmergencyServices
AdminAssistant
DirectorofInfrastructureServices
Sr.EngineeringTechnician
AdminAssistant
EngineeringClerk
EngineeringAssistant
DirectorofFinancialServices
ManagerofFinancialOperations
CapitalAssetAccountant
AdministrativeAssistant
ExecutiveSecretary/HR
AdminSecretary
NetworkSupportTechnician
GISTechnician
Department
IT/GIS
CorporateServices
CAO
PublicWorks
PublicWorks
EmergencyServices
EmergencyServices
FinancialServices
FinancialServices
FinancialServices
FinancialServices
CorporateServices
CorporateServices
IT/GIS
IT/GIS
DistrictTerminology
LGMALocalGovernmentManagementAssociation
GISGeographicInformationSystem
ReportTerminology
EDMSElectronicDocumentManagementSystem
RMRecordsManagement
Findings
TheFindingspresentbothbusinessprocessandtechnologyenvironmentsattheDistrict.Forthe
purposesofthisreport,sevenbusinessunitswithintheDistrictwerestudied:CorporateServices,
FinancialServices,PlanningandCommunityServices,InfrastructureServices,PublicWorksandParks,
EmergencyServicesandIT/GIS.
Intotal,theDistrictemploys65fulltimeemployees(FTE),11ofwhomareexempt,theremainingare
membersofunion(s).
Currenthardcopydocumentstorageisinone(1)offour(4)mainlocations,inadditiontoindividual
filingcabinets:
1.
2.
3.
4.
WestWingvault
CorporateServicesvault
Largeformatcopierroom(downstairs)
FinancialServicesvault
Thefollowingpagessummarizethebusinessandhumancentricprocesses,thetargetdocumenttypes
withineachbusinessunitandgeneralobservations,astheyrelatetothedocumentmanagementneeds.
CorporateServices
AninterviewwasconductedwithCurtKingsley,ManagerofCorporateServices;RobBuchan,CAO;Lisa
Coburn,ExecutiveSecretary;JackieGretchen,AdministrationSecretary;andLouisMuir,AuxiliaryFile
Clerk.
Responsibilities
CorporateServicesisresponsibleforprocessingallbusinessasitrelatestotheNorthSaanichCouncil,as
wellasperformingallstatutoryrequirementsasrequiredintheLocalGovernmentActandthe
CommunityCharter;coordinatesalllocalgovernmentelectionsandothervotingopportunities;provides
advicewithrespecttoprocedures,policies,andfunctions;administersandprocessesallrequeststo
accessinformationthroughtheFreedomofInformationandProtectionofPrivacyAct;andmaintainsall
vitalrecordsofthemunicipality.Additionally,CorporateServiceshandlesHumanResourcesand
RecordsManagementfortheDistrictoffice.

BusinessProcessesandPriorities
Oneofthelargest,mostimportantactivitiesperformedbyCorporateServicesiscreationoftheCouncil
Agenda.Asimplisticviewoftheprocessappearsbelow.
Figure2HighlevelViewofCouncilAgenda/PackageCreation
Conditions,constraintsandgeneralchallengesassociatedwiththecurrentAgendaprocessinclude:
AniterativereviewprocessbetweenDepartmentHeads,theirDirectors,andotherDirectors,
beforesubmission
o Contentpreparationbeginsweeksorsometimesmonthsbeforeitsready
o Hardcopiesroutedforcommentary
Statutesand/orcurrentpracticesdictatetimeconstraintstotheprocess,forexample:
o AgendaaretobeapprovedtheTuesdaybeforetheCouncilmeeting
o Posting/Advertisingforpublicnotificationpriortothemeeting
o Postedonlinesosubscriptionserviceproperlynotifiessubscribers
Packagepreparedinhardcopyform
o Eachpageisstamped(theDistrictisintheprocessofimprovingthis)
o 24copiesproduced(7toCouncil,1tolocalnewspaper,1towalkincounter,14to
seniorstaff,1extra)
Multiplecopies/partsarefiled
o ScanonetoPDFforthewebsite
o Breakuponeforsubpartfilinginthevault,fileonewholealso
o Seniorstafffiletheirowncopies
CorrespondingtotheCouncilAgenda/Packagearemeetingminutesinwrittenandaudioformat(video
isbeingevaluated).Minutesareratifiedonetotwoweeksafterthemeetingandbecomeofficial
records.Theagenda/minutesprocessissimilarforCommissions.
CorrespondenceassociatedwithCounciland/orCommissionhasadefinedprocessaswell,beginning
withcategorization:
1. Councilcorrespondencerequiringaction
2. Talk,show,fileindicatingitsreceiptisapublicrecordalsoknownastheInfoPack
3. Councilreadingfile
Eachpieceisstampedaccordingly.Afterithasbeenaddressedasrequired,therewillbearesponse
generated(letterforaletter).Thevolumeofcorrespondenceisbasedoncurrentcouncilactivitybut
averages50+/eachmonth.

OtherDistrictandCouncilrelateditemsincludeelections,publicationsand
reports(StrategicPlans,AnnualWorkPlans,andAnnualReport),etc.
HumanResourcesismanagedbyCorporateServices.Personnelfilesare
retainedprimarilyinthevault,howeverportionsofthemcanbefoundin
FinancialServicesandtheDepartmentHeadsfilesaswell,particularlyasit
relatestoperformanceappraisalsandonboarding.
Documents
Thisgrouputilizesmanydocumenttypesintheperformanceoftheirservices
including:
Somemanagersliketodothese
thingsthemselves(Speakingof
referencechecks,postings,resumes,
etc.)
(HR)issomethingwehavetodooff
thecornerofourdesks
Itsindicativeofafilesystemthat
theydonttrust
Ithinkwegetcopiesoccasionally
Counciland/orCommissionPackages
Counciland/orCommissionAgenda
Counciland/orCommissionMinutes
FollowupReports(StaffToDowork)
CorrespondenceassociationwithCounciland/orCommission
Personneldocuments
DistrictReports
Emailandcorrespondence
GeneralObservations
Filevaultcontains45rollingcabinets,lockable
Theresabroadthemeofanxietyassociatedwithdocumentmanagement
theDistrictdoesnotmaintainpermanentcounselbutreliesonexternalattorneysasrequired
Staffingconsistsof3FTE:1managerand2administrativepersonnel
FinancialServices
AninterviewwasconductedwithPatriciaRoberts,DirectorofFinancialServices;TheresaFlynn,
ManagerofFinancialOperations;EmmanuelIturralde,CapitalAssets;andValMahoney,PropertyTax
Clerk.
Responsibilities
TheFinanceDepartmentisresponsibleforallaspectsoffinancialmanagementfortheDistrict.Primary
responsibilitiesincludepreparationandmonitoringoftheFiveYearFinancialPlan;levyingandcollection
ofpropertytaxesandutilitybills;preparationoftheAnnualFinancialStatementsandtheAnnual
Report.
MajoractivitiesincludereceiptinganddepositingintactallpaymentsmadetotheDistrict;invoicing,
collecting,andaccountingforannualpropertytaxandotherlevies;maintainingaccountingrecords,

preparingfinancialreports,administeringcashflows,preparingpayrolls,handlingaccountspayable,
billingsandcollectingutilities,coordinatingthedevelopmentandpreparationoftheDistrict'sFinancial
Plan,monitoringexpendituresincomparisontobudgetedamounts,systemreviews,filinggovernment
statisticalreturnsandprovidingadviceandrecommendationstootherdepartmentsandCouncilon
financialmatters.
PropertytaxesarecomprisedofaBCassessmentandlocalbillingcomponents.Approximately,
4,800noticeseachyearareprintedbyFinancialServices.Theinsertandmailoperationis
outsourcedtoalocalvendor,FastTrack.
Utilitybillsareproducedthreetimeseachyear,approximately4,000eachtime.Again,these
statementsareprintedinFinancialServicesbuttheinsert/mailoperationisoutsourced.
TheCashReceiptsfortaxesandutilitiesisdistributed:walkins(50%fortaxes),mortgage
companies,andbanks.
Licensingforpetsandbusinessismanagedby
FinancialServices.Eachyearaninvoiceis
generatedandsentout,sameprocessasother
outboundinvoices.Theactuallicenseitselfsitsat
thefrontcounteruntiltheinvoiceispaid,thenitis
imprintedandhanded/senttotheindividual.
Accountspayableprocessed3800invoicesin2009;
resultingin2300checkspaidtovendors.Each
invoiceiscoded,approvedbydepartment,
reviewedforTangibleCapitalAsset(TCA)
implications,approvedbytheSr.Accountantand
Director.RecentlyaddedEFT(100200peryear)
FinancialServicesisresponsibleforthefinance
sideofHumanResources:payroll,workers
compensationandbenefits.Assuch,they
maintaintheirownsetofHRfiles.
TCArecordingisrequiredbygovernmentand
auditedbyexternalbodies.TheDistrictutilizesa
hostedapplicationnamedCityWidetorecordtheinformation.Iftheassetispurchased,the
informationcomesfromtheAccountsPayableprocess.Iftheassetisconstructed,the
informationcomesfromInfrastructureServices.
FinancialServicesusesEnterpriseiCitybyVADIMforalltransactions.
GeneralObservations
FinancialServicesutilizesthesharednetworkdriveextensively
Fileroomcontainsmostlyboxes,someloosefiling,openandunlockedduringtheworkday
o Boxeslabeledbydocumenttype:AP,TCA,Payroll,GL,etc.
10
AninterviewwasconductedwithJohnPost,SeniorBuildingInspector;AdamFitch,AssistantPlanner;
DeannaLaw,PlanningServicesClerk;andRobBuchan,CAO(formerlyDirectorofPlanningand
CommunityServices).
Responsibilities
ThePlanningandCommunityServicesDepartmenttakestheleadinlanduseplanningandmanyofthe
inspectionandpermittingprocessesfortheDistrictofNorthSaanich.Theprincipalfunctionsofthe
DevelopmentandCommunityServicesDepartmentare:
Planning
PermittingProcess
BuildingInspection
BylawEnforcement
Ihaveasensethatmy
departmentshouldbeawell
oiledmachinebutthewheels
arecomingoffandtheparts
arerusting;itsnotpossible.
BuildingpermitsaremostlyresidentialwithsomeAgricultural,Limited
Commercial/IndustrialandTemporaryUse.
Fromahighlevel,asuccessfulpermitprocessisseenbelow.Detailsoftheprocessinclude:
Thebringbacksmaybeextensivedependingonthetypeofpermitrequested
o Warrantee
o Engineeringdocuments
o Siteplans,buildingplans
o Easements,covenants,etc.
Bringbacksarestampedandloggeduponreceipt
Inspectorsreviewforcompletenessandaccuracybeforeadvancingtheprocess
VADIMdataenteredbyPlanningandFinancialServices
o Sequence#,address,typeofpermit,statusofpermit,estimatedvalue,fee
o Paymentinformation
Replicateapplicationfile(pink)forotherdepartmentsreview,e.g.,Engineeringsisblue
Servicelevelstocompletethewholeprocessin10days
11
Permit Review
as Needed
Engineering
Application
Bring Backs
Assemble the File

and Data Entry to
VADIM
Planning
Plan Check
Issue Permit
Emergency
Services
Figure3HighlevelPermitProcess
Thereareapproximately325permitsprocessedeachyear.
Forinspections,theteamtakesadvantageoftheCaspercalendar.Casper
isagenericaccountsetupontheExchangeserverbyIT.Buildingusesthe
calendarasamassschedulerfortheinspectors.
Developmentapplicationsforrezoning,amendments,licenses,etc.followa
similarprocess:application,supportingdocumentation,fees,review,and
issuance.Mostofthese,however,requireCouncilapprovalsothetimeline
forcompletionislonger.Forexample,rezoningtypicallytakes48months;
developmentpermitsis12weeks,etc.Thereare1012applicationsin
progressatanygiventime.
Thisgroupalsoperformsservicesforbylawenforcementwhichwould
includegeneratingnotices,followupandreportingstatus.
GeneralObservations
Thereareapproximately6,000propertyfilesfortheDistrict
o Noneforpre1965
Heartburnassociatedwithprocessing
o Activefilestakenoutoninspectionsmakingtheminaccessibletoothers
o Missingormisplacedfiles;thishappensatleastonceperweek
o Multiplesetsofthesamedocuments,e.g.,faxedinthenmailedlater
o Buildingmaintenancecontracts
o Currentconditionofpropertyrecords
Multiplepeopleaddingthesamedocuments
Nologicalorganization;wouldtakeatleastanhourtoorganizejustone
Thereare7FTEinPlanningandCommunityServices
12
AninterviewwasconductedwithPatrickOReilly,DirectorofInfrastructureServices;BrianSimon,
SeniorTechnologist;KellyAlbucz,AdministrativeAssistant;SusanMcWhirter,InfrastructureServices
Clerk;andBaohuaDuan,EngineeringTechnologist.
NoteThisgroupiscommonlyreferredtoasEngineering.
Responsibilities
TheInfrastructureServicesdepartmentisresponsiblefortheplanning,construction,maintenanceand
recordsmanagementoftheDistrictsinfrastructure.Thisincludesissuingpermitstothepublicand
publicutilitiesforanyworksproposedonDistrictroadsorproperty.Thisdepartmentadministersand
approvesallnewsubdivisionactivitieswithintheDistrictandmanagesthedesignandconstructionofall
newinfrastructureprojects.
BynatureoftheservicesprovidedbyEngineering,thisteamsendsandreceivesalotofcorrespondence,
including:
Letters
Siteplans
Constructionplans
Reports
Application
Morethanhalfofthedocumentationsent/receivediselectronicinnature.Documentationthatis
receivedinhardcopyisstampedandloggedinanAccessdatabaseanddistributeasneededwithinthe
department.
ThisteamalsosharesdocumentationwithotherDistrictDepartments.Forexample,requestsgenerated
byPublicWorksandPlanning,permittingdocumentswithPlanning,FinancialServices,andCorporate
Services(forCouncilapprovals),specialeventswithPlanning,EmergencyServices,andPublicWorks,
etc.
Foreachnewproject:subdivision,connections,construction,capital,a
fileiscreatedusingtheLGMAstandardfornamingandcontents.The
filecontentsmaybehardcopyonly,digitalonlyorboth.Themaster
LGMAlogisstoredonthesharednetworkdrive.TheLegalFilesare
storedinalockedroom;fewhavekeys.Themainpropertyfileisstored
centrallyinalargeroomaccessiblebyall.Filesareintendedtobe
signedout(withacardleftinitsplaceindicatedwho/when)whenthey
areremoved.Indicationsarethatthesignoutprocessisnotobservedbyallstaff.
13

SubdivisionfilesarestoredintheDirectorsofficeuntilsuchatimeastheprojectiscomplete,i.e.,
registeredwithLandTitleOffice.Thereare19activeprojectsnowwhichwillspanmultipleyearsbefore
completion.Theywillnotbeaddedtothecentralfileuntilcompleted.
Abackfileconversionwasperformedonlargeformatdrawings.Approximately3040%ofthetotal
drawingsaredigitizedandstoredonthesharednetworkdriveoronCDinthevault.
Documents
Letters
Siteplans
Constructionplans
Reports
Applications
Correspondenceandemail
GeneralObservations
Mainpropertyfileroomconsistsof8rollingcabinetseachwith7shelves
Challengeswiththefilingsystemexist
o Sharingpartswithotherdepartments(permitswithBuilding,feeswithFinance,etc.)
o Chainofcustodywhenfilesareremovedfromthecentrallocation
o LimitedtrainingonLGMAstandards
o Mostelectronicdocumentsharingisdoneviaemail
Majordrawings,i.e.,thoseforcapitalprojects,arebackup;minordrawings,e.g.,consultant
submittedasbuilt,arestoredonCDandnotcurrentlybackedup
o TheassignedEngineermakesthedeterminationonwhatismajorvs.minor
PublicWorksandParks
AninterviewwasconductedwithBrianRobinson,WorksSuperintendent.SarahFairbrassprovided
informationintheformofresponsestotheNeedsAnalysisQuestionnaire.
Responsibilities
PublicWorksworkscloselywithInfrastructureServicestomaintaindaytodayoperationsofthe
Districtsinfrastructureincluding:
Utilities
Parks
Infrastructure(roads)
Fleet
Capitalimprovement
14

Bynature,PublicWorksisbothaproactiveandreactivegroup.Theyproactivelyparticipateinmajor
infrastructureprojectsandrespondtorequestsforservices.
Documents
Thisgrouputilizesmanyformsanddocumenttypesintheperformanceoftheirservicesincluding:
RequestForms
WorkOrders
SignMaintenance
TreeRemoval
Shouldering
DitchMaintenance
InventoryMaintenanceRecords
Variousinspectionreports
Generalstaffreports
Resources
Staffingasfollows:
PublicWorks6FTE,2seasonal(includes1Foreman)
Utilities7FTE(includes1Foreman)
Parks3FTE,3seasonal(includes1Foreman)
Everymorning,eachForemancompletesaDailyActivityLogwhichsummarizeshisteamswork.
Theteamusesthenetworksharednetworkdriveforelectronicdocumentstorage(refertoIT/GIS
Departmentbeginningonpage17).Everyonehastheirownfolderandaccesstoeachothersfoldersis
allowed.Hardcopydocumentstorageisprevalentaswell.
TheWorksSuperintendent,BrianRobinson,viewsthegroupsprioritiesasfollows:
1. Maintenancemanagement
2. RequestForm/log/management
3. Newinventory(disseminateinfotootherdepartments)
Issuesspecificallyidentifiedduringtheinterviewsessioninclude:
Timelyfiling
Sensitivity(ofconfidential/secureinformation)
(Staff)performancereviews(theprocessingeneralislacking)
15

GeneralObservations
LGMAstandardsfordocumentfilingaretoogenerictomeetourneeds
Timelierupdateofinformationbetweendepartmentsisneeded,e.g.whenPublicWorksfinishes
aprojectonbehalfofInfrastructureServices,thefile(s)needtobeupdatedquickly,and
possibly,dependingontheproject,EmergencyServicesmayneedtobenotifiedaswell
Thereareapproximately60vehiclesinthefleet
o InventoryMaintenanceRecordsarecritical;auditedeverythreeyears
Emailmanagementisdoneannually(retainwhatisworthy)
Norealgoodplacetostoredigitalphotos
o Assetphotos,signage,maintenance,insuranceclaims
o Currentlyusesharednetworkdrive
Publichasaccesstosomeformsonthewebsitebutsubmitmostelectronicallyoruploadfiles
Generaldesiretobemoreproactive
Maintenanceinspectionvolume/frequency(documentationforeachispreparedandretained)
o 4,000meterreadsconducted3timesperyear
o 13sewerliftsinspected2timesperweek
o 450hydrantsinspected2timesperyear
o Exerciseapproximately2,500watervalvesonceeachperyear
EmergencyServices
AninterviewwasconductedwithGaryWilton,DirectorofEmergencyServices,andJenniferProvan,
AdministrativeAssistant.
Responsibilities
ForthepurposesofthisNeedsAnalysis,theresponsibilitiesofEmergencyServices(ES)include
documentationrelatedtoemergencyevents(reports,photos,etc.),permitting,andinspections.
Ingeneral,fireservicesareprovidedby4careerand40volunteerfirefighters;Policingisprovidedby
RCMP;andemergencymedicalservicesareprovidedbyBCAmbulanceService.
Documents
Thisgrouputilizesmanyformsanddocumenttypesintheperformanceoftheirservicesincluding:
Burningpermits
WoodBurninginspections
Oilburningequipmentinspections
Fireinspections
HumanResourcesdocuments
Trainingdocumentation
Incidentreports
Photos
ReportstoCouncilandinsurance
16
ThepermittingprocesscarriedoutbyEmergencyServicesisstructuredandrequiresalotofformbased
documentation.Eachformismultipart(oneforfirehall,oneforDistrict,oneforowner)andis
completedbyhand.CertaindatafromtheformissubsequentlykeyedintoanAccessdatabase.If
needed,digitalphotosaretaken.
NotificationoftheneedforaFireInspectionismadetoESbythePlanningDepartment,sendingacopy
oftheissuedpermit.
IncidentReports,fillintheblankforms,arelegaldocuments.Theycontainwrittencommentaryabout
theeventandareconsideredconfidentialforthepublic(notfortheDistrict).Photosaretaken(~150
perfire)andstoredonanexternalharddrive,uncompressedtopreservethedetail.Someofthephotos
willbetransferredtoaDistrictserverandpostedtotheWebforpublicconsumption.
Thereareapproximately550callsperyear.Sevenyearsworthofreportsarefiledatthefirehouse.Fire
reportsaresimilarlygeneratedwithmajorstructurefirereportsbeingsharedwiththePlanning
Department.
Checklistsareused,andretained,forequipmentinspections.
TheEMSAccessdatabaseisuploadedtothefiretruckonamonthlybasistoprovideadditional
informationduringacall.
GeneralObservations
Spacefordocumentstorageisextremelytight,howeveranewfirehallisbeingbuiltwhich
willallowtheoldonetobeusedforofficespaceandstorage
IT/GISDepartment
AninterviewwasconductedwithJohnCarnell,IT/GISManager;RickFedrigo,NetworkSupport
Technician;ShawnMunro,GISTechnician;DawnGould,AuxiliaryProjects(Intranet).
TheInformationTechnology(IT)Departmentisresponsibleforthemanagementofallactivityrelatedto
theDistrictsintegratednetworkofcomputers,theGeographicInformationSystem(GIS),andthe
municipalwebsite.TheprimarygoaloftheITDepartmentistodeliverinnovativeandcosteffective
technologysolutionsthatenabletheDistricttomeetitsbusinessandcorporateobjectives.
SharedNetworkDrive
IThasputinplaceforthebusinessalargesharednetworkdrive
(X:\)whereuserscanstoredocumentation.Eachdepartmenthas
theirownmainfolderinwhichtheycancreatesubfoldersasthey
seefit.Departmentstaffhasfullaccessto
17

create/view/modify/deletewithintheirownfolder,buthaveonlyviewaccesstootherdepartments
folders.
Table1DepartmentUsageofSharednetworkdrive
Department
Administration
Bldg/Planning
Engineering
Finance
Fire
IT/GIS
Total
QtyFiles
TotalSize(GB)
22,989
8,425
74,782
37,896
10,066
41,720
195,878
38.7
3.5
64.0
13.0
6.3
60.5
186.0
Additionally,usershavetheirownpersonalfolderswhichanalysisshowsaccountsforanother50,000+
files.Thesefoldersareforpersonaluse,notpersonaldocuments.
QuantityofDepartmentFiles
Adminstration
12%
Bldg/Planning
4%
IT/GIS
21%
Fire
5%
Adminstration
Bldg/Planning
Engineering
Finance
Fire
Finance
20%
Engineering
38%
IT/GIS
Figure4SharednetworkdriveFilesbyDepartment
18
SpaceConsumed(GB)byDepartments
Adminstration
38.7
21%
IT/GIS
60.5
33%
Bldg/Planning
3.5
2%
Adminstration
Fire
6.3
3%
Bldg/Planning
Engineering
Engineering
64.0
34%
Finance
13.0
7%
Finance
Fire
IT/GIS
Figure5SharednetworkdriveSpaceConsumptionbyDepartment
Manyofthefilesstoredinboththedepartmentalandpersonalfoldersareduplicateswhencomparing
filenameandsize.Whenalistoftheduplicatedfileswasprepared,284pagesworth,approximately
50,000werenoted.Inthiscase,duplicateindicatesatleasttwowerefound,meaningtherecould
havebeenmore.AfewexamplesfromtheAdministrationpagesarebelow.Noticetheaudiofile
(*.mp3)existsbothinamainfolderandayearnamedsubfolder,thefirstWorddocumentislocatedin
anAudioFilesfolder,thesecondWorddocumentappearsinapermanentfolderaswellas
(presumably)anonpermanentoperatingfolder.
FileName
FileLocation
FileSize
(KB)
Council20100215.mp3
Council20100215.mp3
AACAgenda03042010.doc
AACAgenda03042010.doc
hsJuly16Sanschafax.doc
hsJuly16Sanschafax.doc
X:\Administration\Meetings\AudioFiles\Councilmeetings
X:\Administration\Meetings\AudioFiles\Councilmeetings\2010
X:\Administration\Metings\AudioFiles\Commissions\Agendas\AAC\2010
X:\Administration\Meetings\Commissions\Agendas\AAC\2010
X:\Administration\Meetings\TriMunicipals\Agendas
X:\Administration\Permanent\Meetings\TriMunicipals\Agendas
122644.1
122644.1
41.0
41.0
411.0
411.0
19

GeographicInformationSystem(GIS)
TheGeographicInformationSystem(GIS)fromESRIisoneoftheprimaryapplicationssupportedbythis
team.GISprovidesgeographicdata,andsomedocuments,relatingtolot,blockandsectiondetail
aboutthepropertieswithintheDistrict.
Figure6GISViewofPropertyLocation
TheLandTitlesOfficesendsanemailtotheDistrictITManagerwithnotificationofavailabilityofanew
LegalPlan.TheemailisforwardedtotheappropriateGISresourcethatdownloadsaPDFversion,
redrawsitinAutoCAD,producesaTIFFversionanduploadsittoGIS.NoticetheLinktoPlaninthe
lowerleftofFigure6isblue.Thisindicatesthereisalegalplandrawingavailableforviewing.Clicking
thelinkdisplaystheplan.
Figure7ViewofLegalPlaninGIS
20

GISisalsolinkedtotheSQLdatabasebehindFinancesiCity(Vadim)forownershipinformationonthe
properties.
Inthefuture,theDistrictwouldliketoaddpermitstothedocumentsthatareavailablethroughGIS.
IntranetSite
ITisintheprocessofbuildinganintranetsiteforDistrictstaffusage.Thegoalsoftheprojectinclude:
ConnectionthroughLDAPtotheActiveDirectory
foruseraccessandmanagement
Centrallocationforformsmanagement
o Employeeoriented
o Policiesandprocedures
ITHelpDesk
Departmentspecificpages
MayorandCouncilpagesfortheirownuse
NoteConsiderationwillbegiventoleveragingtheIntranet
calendaringsystemnotonlyforconferenceroomsbutforotherinternalscheduledactivitieslikebuildingandfire
inspections,personneltimeoff,etc.
Documents
Thisgrouputilizesdocumenttypesintheperformanceoftheirservicesandsimplymanagesdocuments
onbehalfoftheDistrictincluding:
VendorContracts
PolicyandProceduremanagement
HardwareandSoftwareDocumentation
GeneralObservations
IT/GIShas3FTEand1auxiliaryconsultantbroughtinasneededforlargeprojects
www.northsaanich.caishostedexternally
RequestforFeedbackformssubmittedonthesiteareemailedtoanadminmailbox
TheCityWidesystem(usedbyFinancialServicesforTangibleCapitalAssetmanagement)isa
hostedsolutionwhichcannotbeintegratedwithGISoriCitywithoutsignificanteffort
21
CurrentTechnology
SincethefuturedocumentmanagementsystemwillintegratewithcomponentsoftheDistricts
technologyenvironmentfortheprocessinganddeliveryofinformation,areviewoftheexistingsystems
wasnecessary.
CorporateApplications:iCityfromVadimSoftware;AutoCADMap3D2001,AutoCAD2009,AutoCAD
2011,AcrobatPro9Ext,GISfromESRI9.3;MicrosoftExchange2003,SQL2005and2008
DesktopApplications:Windows764bit,Office2003(upgradingto2010overthenextfewmonths);
Corporatesystemsasneededbyuserrole
Servers:MostlyDell,someoldHP;Windows2003and2008
Upgradedeveryfouryears;duein2012
SANreplication(3.7TB);Local(6TB);totaldataapproximately1TB
Workstations:workstations(64)andlaptops(12)runningWindows7,4GBRAM,120GBHD
Upgradedeveryfouryears;donethisyear
Output:OceTPS100,HPDesignJet800ps,CanoniRC6800;currentlyinvestigatingpurchaseofa
plotter/scanner,OceColorWave300
VariableDatasolution:None
Multifunctiondevices:Scanandprintenabledmultifunctionaldevices
ITDepartmentStructure:
ITDepartmentsupportsallapplicationsandsomepackageshaveexternalsupportagreementsas
well
NoformalHelpDeskprocessexistsbutwillbeinvestigatingnextyear
Other:
Nodatastoredonlocalworkstations
Staffdoesnothavelocaladminrights
Cat5eorCat5dependingonlocationinthebuilding,fiberfromserverroom
Realtimebackups(3hoursnapshot),duplicated,monthly/quarterlyscheduleforoffsite
rotation
22
CurrentIssues
HighlightedintheExecutiveSummaryistheneedfortheDistricttoactdecisivelyandassertivelyto
rectifyyearsofdeficientproceduralanddocumentmanagementhabits.Thesepoorhabitshavebeen
leftuncheckedresultinginacompoundingoftheproblem,anairofuncertaintyandconfusionamong
thestaff,wastedtimeandeffort,andadverseeffectsonqualityandservicelevelsforthepublic.
AsstatedintheExecutiveSummary,thebiggestdefectsintheDistrictscurrentpracticesare
Considerablelackofcontrolandorganizationrelatedtodocumentrecords
Deficientorabsentprocessesfordocumentmanagement
Nonexistentpolicygoverningdocumentrecords
Whatisimpossibletoassessistheimpactassociatedwithaconfidentialitybreach,Administrative
Fairnesscomplaint,orfailedFreedomofInformationrequest.Caseinpoint,AdministrativeFairness
requiresthatdecisionsaremadelawfully,notnegligently,andthatdecision
makingprocessesarereasonablyfairandpromptwithinadefinedprocessand
timeframe.Duetothedocumentrecordenvironmentinplacetoday,thisis
Everysingledaythatwework
challengingtoachieve.Inaddition,imaginethepotentialconsequences
wemakethesituationworse;
compoundingtheproblem,
associatedwithsensitivefilesgoingmissing.TheDistricthasbeenfortunatethus
whichwillmakeithardertofix
farthatnodisastrouseventshavetakenplace.
thelongerwewait.
ThefollowingissueswereobservedanddocumentedduringtheNeedsAnalysis:
Lackofstructureddocumentmanagementprocessesacrossthe
organization;bothpaperbasedandelectronic
Thesituationisbadandgetting
worse.
Thelossofstafftimelooking
forfilesisconsiderable.
Incaseswherethereisasemistructuredmethodinplace,e.g.LGMA,
usageislimitedduetolackofbroadbasedunderstandingofthe
requirementsandmethods
ThosefewstaffthataretrainedinLGMAstandardsfindthemselvespolicingthemasses
whodontcomplywiththestandardsordontknowhowtocomply
Incaseswherethisisnostructuredmethodinplace,adhocmethodspersistcreating
difficultyforallbuttheoriginalfiler;thisisespeciallytrueofthesharednetworkdrive
Specificexamplesofthisissueareevidentwiththefollowing:
o
o
o
o
Duplicationandmultipleversionsofdigitalandpaperfiles
Limitedfilestoragestructure:namingconventions,accessandsecurity
management,andeffectiveretentionmanagement
Nobackupofhardcopyrecords
DuetoanoverlylargeamountofduplicationwithintheDistricts250,000digital
files(+/40%),digitalbackupsaretimeconsumingandcreatespaceissuesonthe
computernetwork
23
Nodefinedprocessesorspecificstoragelocationsforcertaindocumenttypes:
contracts,confidentialdocuments,email,photos,CADdrawings
Limitedand/orconstrainedresourcingavailabletodevelop,disseminateandenforcewhat
littlepolicyexists
TheexistingRecordsManagementPolicydated1998isnotonlyexceptionallyoutofdate
andincomplete,moststaffareunawarethatitexists
Noresourcingforadministeringdocumentpolicies
o
o
o
o
Impossibletotrainstaffontheexistingmethods(astheyarelargelynonexistent
andinconsistentwheretheydoexist)
Nodestructionpolicy
FulfillingFreedomofInformationrequestscanbeverychallengingand
unnecessarilytimeconsumingduetothedifficultiesfindingappropriatedocuments
Thereisconsiderableconfusionaboutwho/how/whenthenextstepinawork
processisconducted(permittingworkflowsisaperfectexampleofthis)
Distributedhardcopyarchive
Manyfileroomsexistmakingitdifficultforanindividualtoaccessdocumentationeasilyor
toknowwhereitis
Eventhoughsignin/signoutproceduresexist,frequentlytheyarenotobservedsoifafileis
notwhereitshouldbe,theresoftennoindicationwhenitwasremovedorbywhom.This
resultsinfilesfrequentlybeingmisplaced
Documentsarestoredinpersonalfoldersandofficesmakingtheminaccessibletoothers
o
o
o
o
Overrelianceonandoveruseofpaperincludingpotentialforlostfiles(paperand
electronic)andthetimetofile,refileandrecreatefiles
Staffprintandstoredocumentsunnecessarilyduetolackofconfidenceinthe
centralfilingsystem
Somedocumentsremainunfiled,inboxes,inoffices,storageroomsandfilerooms
Unfileddocumentsinboxesthathaventbeentouchedinyears
Underutilizedtechnologyorutilizationoftechnologyforpurposesotherthanintended
Stretchingthelimitsofanapplicationsintendedfunctionbyusingittofillagap
Corporatesystemsthatshouldbeintegratedbutarenot
24

o
o
o
UseofMicrosoftOutlookPSTfilesfordocumentstorageratherthanacentral
storagelocationthatissearchable
Documentsandprocessesaretrackedindepartmental(orpersonal)databases
withoutstandardsorintegrationtocorporatesystems
Multifunctionphotocopiersthatarecapableofscanningbutarenotusedfor
documentfiling
Notruedocumentmanagementstandardortechnologyisinplacetoallowusersto
managedocumentsefficientlyandeffectively
TheonlytechnologyremotelyresemblingelectronicdocumentmanagementleveragesGIS
withreferencelinkstodocumentfilesonanetworkserver
Basicofficedocumentsarestoredonasharedserverspacewithvirtuallynorulesorsecurity
forthefilesandcertainlynosatisfactorystructureinwhichtofilethem
o
o
o
o
o
o
UsingOutlookemailapplicationforthestorageofelectronicdocumentsandemail
(therearesignificantlimitstosearchingcapabilitiesandaccessibility)
Noproductionscanningequipmentforofficedocumentsandlargeformatdrawings
Notrue(crossfunctional)searchcapabilities
Nounderlyingdocumentmanagementenvironmenttosupportthemanycorporate
applications
Noorganizedordocumentedworkflowresultinginmultiplemanualprocesses
createdbystaff
Noonlineprocessestostreamlineworkflowsbetweendepartmentsandreduce
paperusage
DespiterequestsforimprovementsinpriorITStrategicPlans,thecurrentrecordsmanagement
practiceshavebeenallowedtocontinueunchecked.Documentmanagementwasfirstrecommended
withinthe2001ITStrategicPlanwhentheDistricthadapproximately12,000digitaldocumentfiles.In
2006,theITStrategicPlanidentifiedsome60,000digitaldocumentfiles.The
Districtnowhasapproximately250,000digitalfilesandapproximately40%of
The(digitaldocumentcount)
thesefiles(100,000)areduplications.Basedonthesefigures,theDistrictstotal
figuresdonottakeintoaccount
numberofdigitaldocumentshasincreasedbyapproximately35%peryear.Ifthis
hardcopyrecordsorfiles.
trendcontinues,theDistrictwillhaveoveronemilliondigitaldocumentswithin
fiveyearsmakingthecurrentsituationconsiderablymoredifficulttoresolve.
25
Challenges
Duringtheanalysisprocess,Ricohidentifiedareasthatcouldposeathreattothesuccessofthe
Districtsplanneddocumentmanagementinitiative.Thechallengescontainedwithinthissectionare
potentialroadblockstoasuccessfuladoptionofthepoliciesandpractices,aswellasanytechnology
broughtintofacilitatethem.
Challenge#1 Endusersreluctancetoembracechangeandtechnology.Someindividualsmayresist
usingnewEDMStechnologyandmaynotalwaysaccesstheappropriatesystemscorrectlyorefficiently.
Thisslowadoptioncouldcreateabottleneckintheworkflowprocess.Giventhatcustomerservice,
bothinternal(otherdepartments)andexternal(residents)isparamount,anytechnological
implementationmustbeaspainlessanduserfriendlyaspossible.
Suggestions:ImageenablingGISandotherCorporateSystemsforaseamlesssolutionwillassistin
acceptance.Regardlessofthedocumentmanagementproductchosen,itshouldbeabletofully
integrate(fromanimagestandpoint)withGISandiCity.Thismeansthatcasualuserswouldnotneedto
logintodocumentmanagementtoretrievedocuments,butwouldbeabletodosofromwithinthe
corporatesystem.
Second,thecreationofaninternalmarketingcampaigntopromotetheefficacyofintegrateddocument
viewing.Thisshouldoccurwellbeforesystemimplementation.Thiscampaignshouldalsoincludea
strongargumenttowardsgoinggreen,andthebenefitstothebusinessunitandtheindividualusers.
Thisshouldincludeeliminatingthepropagation(viaxerographicduplication)ofpaperbased
information;smallerfootprintintermsofdocumentstorage;andinstantaccesstoinformation.It
shouldalsopromotethedecreaseofrisksbyhavingsecuredigitalinformation.
Third,seniorleadershipendorsementiscritical.Asisthecasewithmanyprocessimprovement
initiatives,ifseniorleadershipanduppermanagementdonotfullyandpublicallysupportthisproject,
theprojectislikelydoomedforfailure.
Fourth,selectapartnerthatemploysasoundprojectmanagementandimplementationmethodology.
Strictadherencetoasoundprojectmethodologyisrequiredtoaccuratelydetermine,craft,and
subsequentlyimplementthecorrectsolution.TheDistrictshouldchooseapartnerwhotakesaholistic
approachtounderstandingthetruebusinessneedsbeforeimplementingasolution.Doingsowillhelp
toensurethatthesystemworkswellfromthebeginning.Thisapproachwillmeanthatpoor
performance,systembugs,orpoorlyintegratedworkflowswillnotexisttofrustrateusers.
Finally,recruitsubjectmatterexpertsandsuperusersfortheirinputintothesystemdesign.Inshort,
maketheseindividualsanintegralpartofthedesignandsubsequentimplementationphases.Giving
themthatsenseofownershipisakeyfactorinincreasinguseradoption.
26

Challenge#2 Documentdestructionmustoccur;elsetheproliferationofpaperwillnotabateina
timelyfashion.
Suggestions:Destroypaperrecords,whenallowedbytheRecordsManagementpolicy,afteradding
themtothedocumentmanagementsystem.Ricohnormallyrecommendsa30to60dayhardcopy
documentretentionpracticepostingestionandauditing.Afterthistime,securelydestroythehard
copyrecords.
If3060daysistooaggressive,analternativeapproachcouldbetodestroypaperrecordsoneyearafter
ingestion.Ifanauditofrecordsoccurswithinoneyearandtheauditorneedsthehardcopyrecord,a
boxforthatdatecontainingthefileinquestionishardcopyretrievable.Theextratimeittakesto
retrievethehardcopyfilemightdissuadetheauditorfromwantingtheoriginal,thereforeresortingto
theingestedcopyforauditpurposes.
TheDistrictsLegalCounselmustweighthedestructionpolicycarefully.Uponreachingadecision,
establishapolicyforshredding(hardcopyordigital)recordsafterscanning/ingestionandaudit
processes.
Challenge#3 Reluctancetoacceptdigitalinformationasthesolesourcewhenthesameinformation
coexistsonpaper.Thisisacommonissueandisadebatedsubjectinmanyorganizations.Many
municipalitiesoften,unfortunately,errtothesideofkeepingthepaperevenafterithasbeenimaged.
Suggestion:theDistrictshoulddefineapolicythatallowselectronicdocumentstobeacceptableasa
sourceofrecord,whereallowedbylaw.TheDistrictneedstodisseminatethispolicyinformationand
bepreparedtoenforceitscompliancewiththeuserbasesopaperinformationsubsidesratherthan
persists.Itispossibletouseelectronicrecordsasevidence,providedthattheycanbeproventobethe
genuineandauthenticrecord4.BasedonTheBritishColumbiaRulesofCourt(Reg221/90),underthe
ElectronicEvidenceProject,itisadmissibleevidence.Asarecommendation,andbasedonbest
practice,allimagesarebeststoredintheG4TIFFformat.Thisisconsideredbymanycourtsastheleast
alterableofthedigitalimageformatsandthethereforethemostfavorablefromalegalitystandpoint.
Challenge#4 Lackofadedicatedresourcetomanageenterpriseimaginganddocument
managementwillbeacauseforconcern.ThisisachallengefortheDistrictbothfromatacticaland
strategicstandpoint.Currently,nooneindividual(orgroup)hassole
responsibilityandaccountabilityofthedocumentmanagement,process
metrics,filemaintenanceandchainofcustody.Additionallynooneperson(or
(Weneedto)thinkcorporately
group)isresponsiblefordepartmentalliaisingandsettingthestrategicvision
notdepartmentally.
fordocumentimaginganddigitaldocuments.
Suggestions:Createadedicatedleadershiproletooverseedocument
management.Thisindividualwouldberesponsibleformanagingtheimagingoperationsaswellas
settingfuturetechnicalandprocessorienteddirectionforthisongoingendeavor.
LGMARecordsManagementManualforLocalGovernmentsinBritishColumbia,3rded.Victoria,2006
27

Duringtheimplementationandrolloutofdocumentmanagementsystem,retainaconsultantwith
strongindustryexperienceandpracticalapplicationofimplementingEDMsystems.Thisindividualwill
helpguidetheDistrictthroughthephasesofdesign,planning,andimplementationoftheEDMS.
Challenge#5 Multipleinstances/versionsofthesamedocumentsthroughouttheDistrict.Asisso
oftenobservedwithtodaysorganizations,multipleversionsofthesamedocumentfrequently
exist.Thisincludesthesamedocumentbeingstoredinmultiplelocations,multipleversionsofthesame
documentbeingstoredinthesamelocation,nativeelectronicversionsbeingsavedwhenapaper
versionisalreadyonfile,thesameelectronicfilebeingsavedonseveralharddrives,and/orshadow
records(copies)beingcreatedandstoredjustincase.
Suggestion:Implementawelldesigned,stateoftheart,EDMSforthestorageofscannedimagesand
nativeelectroniccontent.Suchasystemwillsignificantlyreducetheinstancesofmultipleversionsof
documentsandnativeelectronicfileswithintheDistrict.Bygrantingcentralizedaccessbasedonuser
security,theDistrictwillessentiallyahaveacommondocumentrepositoryandinformationhub.
Challenge#6 Aftertechnologyimplementation,enduserswilldesiretoprint.Thisisacommonissue
inmanyorganizations.Knowledgeworkers,especiallyduringprocesseswhereareviewof
documentationmustoccur,tendtodesireatangiblepieceofpapertoworkwithratherthanviewing
andannotatingthedocumentationonscreen.Beyondthat,paperbasedinformationposesarisk
concerningprivacy.Notably,thepotentialforidentitytheftincreasesexponentiallywhenpersonal
informationbecomesportableandpronetoduplication.Securedigitalinformationislessproneto
suchrisks.
Suggestions:Animplementationofprintauditingtechnologywillcontrolthedesiretoprint.Inshort,
thisisabehavioralmanagementapproach.Itcanbeconfiguredtobepassive,simplycollecting
information,oraggressive,actuallyrestrictingusersactions,anironfist.Suchtechnologywillallow
theDistricttodeterminewhotheoffendersareand,overtime,warnaccordingly.Printmanagement
softwarecanbeagoodapproachtobothcontrollingprintingcostsanddirectingprintjobstoless
expensivedevices,aswellasmodifybehavior.
Second,providesuperuserswithlargescreenmonitors.Thiswillallowtheusertoworkwiththeimage
andthecorporateapplicationsimultaneouslywithouttheneedtotogglebetweenthetwo.
Challenge#7 PerformancewithscanningtechnologiesmustNOTbeslow.Digitalimagesarestored
onacentralserver/SANforviewingbyendusersandthepropertechnologiesmustbeinplace.Users
tendtobeveryunforgivingandresistanttoadoptnewtechnologiesifthenewsystemslowsdownthe
performanceoftheirtasks.Thisisevenmorecriticaliftheinformationiselectronicandtimesensitive,
andrelatedtocriticalbusinessprocesses.
Suggestion:Ensurethatadequatecapacityandbandwidthisavailableatproductionscanningfacilities.
Giventhataccesstodigitalimagesissomewhatcritical,thescanningoftheimageswillbeondemand
andnotsentinbatchestotheEDMSonaschedule.Likewise,imagingtechnologywillbereliantonlocal
server(s).
28
Recommendations
AftercarefulanalysisofthecurrentpracticesandmethodsofdocumentmanagementattheDistrict,
Ricohrecommendsfirstinstitutingstructureinthedocumentmanagementenvironment,andthen
implementtechnologytofacilitateandenforcethatstructure.
Thestructureneededcanbeobtainedwiththefollowingfivesteps:
1. RecordsManagement
o Createandhire,oridentifyfromwithin,anindividualtobetheDocumentCustodian5
o CreateRecordsManagementPolicyandupdatetheexistingRetentionSchedule
o Educatestaffonthenewpolicy,checkforunderstandingandenforcecompliance
2. ChangeManagement
o Createawareness
o Disseminateknowledge
o Reinforcechange
3. EstablishaDocumentCenter
o Hardcopylocationforpaperrecordstorageandimagingoperations
o Functionsasasharedservicecenterforthebusinesswithwalkupfiling,scanning
services,libraryservices,etc.
o Equippedwithhardware,softwareandresourcestoperformserviceorientedactivities
o Couldbeoutsourcedorselfsourced
4. TechnologyAcquisition
o IssueaRequestforInformation(RFI)toabroadbase
o IssueaRequestforProposaltoaselectionofvendorpartnersidentifiedbytheRFI
o Selectavendorpartner,selectaproductsetandpurchasethetechnology
5. PhasedTechnologyImplementationandExpansion
o Identifyonetargetbusinessunitforapilotimplementation(PhaseI)
o Design,implementanddeployabaseEMDSforthepilottarget
o Expandtootherbusinessunits(PhaseII)andincreasecomplexityofthesystem(PhaseII
orIIIdependingonneedandspeedofadoption)
AncillaryObservationsandRecommendations
Theseitems,whenfurtherinvestigated,havepotentialtoimproveoperationsfortheDistrict.
DualroleDuetocurrentworkloadconstraints,theDistrictshouldconsiderthe
creation/additionofasingledualpurposepositionthatwouldserveinthecapacityasboththe
DocumentCustodianandHumanResourcesManager
OthertermstorefertothisroleincludeChiefContentOfficer,RecordsManager,RecordCustodian,etc.
29

Withtheadditionofadedicatedindividualfortheaforementionedduties,morefocus
ondocumentandpersonnelcentricactivitieswouldbeallowed,thusmakingthe
Districtmoresuccessfuloverall.
Eachrole,individually,wouldnotlikelywarrantafulltimestaffperson
Thisrolewouldideallyholdrecordmanagementandhumanresource
complianceresponsibilities,soitisstronglyrecommendedthattheindividual
possessestheappropriateauthoritylevelwithintheDistrict(atleastManager
level,perhapsevenDirector)
Ricohsexperienceswithpreviousclients,coupledwithindustrybestpractices,
hasshownthatsimplyaddingeachresponsibilitytoexistingpersonnelwilllikely
yieldlessthandesiredresultsfortheDistrict
o GiventhenatureoftheDocumentManagementprojectoverall,thisrolewouldbe
influentialinhowtheprojectisexecuted;therefore,toensureasmoothproject
implementation,itisbesttoputthisresourceinplacepriortoacquisitionoftechnology
anddevelopment/implementationofprocedures,etc.
Form(re)DesignForconsideration,tofacilitatescanning,theDistrict
shouldmodifyallformswithinyourcontrolbyaddingdocumenttype
specificbarcodesandconstrainedhandprintboxesforhandwritten
information.
o
Thebarcodeswill:
o
o
o
o
Identifytheform
Separatetheformfromotherformsinscanningprocess
Improveaccuracyofindexing
Speedupscanningprocess
Theconstrainedhandprintboxeswillprimarilyfacilitateautomateddataextraction(which
reduceshumanerrorandtimeconsumedfrommanualdataentry).
VariableDataPrintAvariabledataprintsolutionenablesthecreationandprintingof
transactionaldocuments(e.g.,earningsstatements,invoices,revolvingchargebills,etc.)aswell
asautomatestheirdistributionbasedonworkflowrules.Documentscanbeprinted,archived,
emailedand/orfaxedaspartofthisoutputmanagementapplication.Conditionaltext,business
graphsandimagescanbeincorporatedbaseduponinformationcontainedwithinthedata
stream.
FortheDistrict,variabledataprinttechnologywouldhavemanyusesincluding:
o
Intelligentmanipulationandproductionofprintedmaterials
Utilitiesstatements
Taxstatements
Onetoone,transactionalmarketing
Intelligentprocessingfordocumentsdestinedforimaging
30
Placinggenericorcustombarcodesondocuments
Convertingprintstreamdatadirectlytoimageandmetadataforstorageinan
archivesystem
NoteInkeepingwiththeideathattheDocumentCenterwouldfunctionasasharedservice,itwouldbeagood
locationtohouseproductionoutput(print)equipment,appropriatelysizedfortheDistrictsneeds.Giventhestaffing
neededtooperatetheDocumentCenter,costsavingsandefficiencygainsmaybehadbybringinginhousethose
print/mailjobsthatarecurrentlyoutsourced.
RecordsManagement
WhatisaRecord?
Recordsareinformationcreated,received,andmaintainedasevidenceandinformationbyan
organizationorperson,inpursuanceoflegalobligationsorinthetransactionofbusiness6.
Recordscomeinmanyformats,includinghardcopypaper,electronicdocumentsandmessages,website
content,dataindatabase,etc.
ARecordsManagementandRetentionPolicyisdefinedasaprogramthatprovidesforthesystematic
managementofrecords.Thetypicalpolicyencompassescreationandorganization,collection,access,
disclosure,maintenance,retention,security,storage,preservationanddisposalofrecordsincompliance
withapplicablelawsandstandards.
Thepolicywillneedtoestablishadefinitionforeachofthefollowing:
Recordinformationcapturedtomeetbusiness,operational,legal,evidentiaryandregulatory
requirementsoftheDistrict.
TransitoryInformationincludesduplicatecopiesofrecordsusedforshorttermreference
purposes,blankforms,publications,correspondenceandmessagesusedprimarilyforthe
informalcommunicationofinformation.Thisinformationhasnolongtermbenefittojustifyits
maintenanceafteritsuse.
VitalRecordsrecordsthatareessentialtothecontinuedoperationorreconstitutionofthe
Districtduringandafteranemergencyandshouldbeidentifiedassuch.
RecordsCustodianhasresponsibilityforthemaintenanceoftheactiveandinactiverecordsof
theirfunctionalgroup,fromcreationthroughrecorddestruction,regardlessofthestorage
locationorthesystemsusedtoretaintherecords.
RecordIndexanindexofallactiveandinactiverecordsretainedbyafunctionalarea.Each
functionalareaoftheDistrictmusthaveaRecordIndex.
RetentionSchedulealistoftheapplicableretentionperiodsforeachrecordlocationortypeas
definedbylocalornationallaws,orbytheneedsoftheDistrict.Eachfunctionalareaofthe
DistrictmusthaveaRetentionSchedulethatappliestothetypesofrecordsitcreates.
ISO154891,3.15InformationandDocumentationRecordsManagement
31
Policytocreate,use,maintain,preserveanddestroyrecordsinaccordancewithallnational
andlocalrequirementsandallapplicableDistrictpolicies.
Speakingspecificallytotheretentionschedule,electronicdocuments,notjustpaper,mustbe
monitoredaswell.Becausethecostofelectronicdocumentstorageisrelativelylow,somehave
suggestedpreservingcopiesofelectronicdocumentsevenwhenthereisnobusinessreasonorlegal
obligationtodoso.Thisoverlooksthefactthatindiscriminatecopyingandretentionofelectronicfiles
evenifcheaperthanindiscriminatecopyingandretentionofpaperfilesleadstothesameorgreater
headachesinlitigation:ballooningcostsofreviewforrelevanceandprivilege,largenumbersof
duplicatedocuments,andproblemsdealingwithretrievingdocumentsinobsoleteformatsthathave
beenunnecessarilyretained.7
Asanorganizationsvolumeofunstructuredcontentexpands,theassociatedlitigationriskand
discoverycostgrow.Retentionmanagementassistsinthefollowingmanor:
Lowerscostbyquicklydifferentiatingbetweenrecordsthatneedtobedestroyedfromthose
thatarerequiredtoberetained
Savestimeandprovidesaccuracybyautomatingeventstotriggerretention/destructionof
records
Lowerscostsassociatedwithlitigationandincreaseslikelihoodofsuccessinlawsuits
Facilitatescompliancewithregulationandbusinesspolicy
Minimizesstorageandadministrativecostbyenforcingretentionpolicyanddispositionof
records
ProvideseasieraccesstoinformationneededfortheongoingoperationoftheDistrict
Providescapacitytoaccessinformationpertinenttoenhanceddecisionmaking
Promotesjobsatisfactionforworkerswhoworkpredominantlywithinformationmanagement
andaccess
AlongwithcreationofaformalRecordsManagementpolicy,theDistrictshouldputinplacearesource
responsibleformaintainingitandensuringgeneralcompliancewithitsparameters.Thisposition,often
referredtoasaDocumentCustodian,orChiefDocumentOfficerintheprivatesector,wouldhave
responsibilityforalltheDistrictsdocumentrelatedmatters,bothhardcopyandelectronic.Giventhat
theDistricteventuallyintendstoimplementEDMtechnologytocomplimentitshardcopydocument
managementneeds,thisindividualwouldbeaprimecandidatetoowntheEDMSaswell.Thiswould
requiretheindividualtohavethefollowingqualificationsand/orpriorexperiences:
FamiliaritywithBritishColumbiaandCanadianRecordsManagementbestpractices,standards,
lawsandregulations(e.g.,ARMACA,BCRulesofCourt,ElectronicEvidenceProject,LGMA,etc.)
Responsibilityforhardcopyandelectroniccontent(e.g.,imagequality,securitypolicies,data
integrity,chainofcustody,etc.)
TheSedonaCanadaPrinciples,January2008
32

Experiencedwithtechnologyimplementations,changemanagement,projectmanagement,and
resourcemanagement
Familiaritywithdigitaldocumentmanagement,documentlibraryservices,imagingtechnology
(scanning);experiencewiththeEDMsystems
Setfuturetechnicalandbusinessprocessorienteddirectionforthisongoingendeavoracross
multiplebusinessunits
Responsibilityforpoliciesandprocedures
associatedwithdocumentation
Ensureemployeeawarenessand
understanding
Providerepeated/continued
reinforcementasstaffadvanceand/or
arereplaced
Auditforcompliance
ChangeManagement
Thevaluefromanytechnologyusageinan
organizationisprimarilyderivedfromuseradoption.8Effectiveuseradoptionisnotachievedthrough
ProjectManagement;itisachievedthroughChangeManagement.
Bydefinition,ProjectManagementfocusesontheresources,tasks,timelines,budgets,etc.,associated
withimplementingtechnology.Thereisanelementofusertraininganddocumentationassociated
withanewsystem,butsimplyteachingusershowtousethesystemandgoinglivedoesnotensure
actualsuccessfuladoption.ChangeManagement,bydefinition,istheprocess,toolsandtechniquesto
managethepeoplesideofchangetoachievetherequiredbusinessresults.9ItisChangeManagement
thatwillensurethesuccessoftransitioningtheDistrictfromapaperbasedworldtoapartiallyorfully
electronicenvironment.
Foranygivenorganizationalchange,therearethreehumanfactorsthatimpacttheamountof
expectedimprovementfromasolution:
1. SpeedofadoptionHowquicklydopeoplegetonboard?
2. Ultimateutilization(participation)Howmanypeopleareonboard?
3. ProficiencyHowmuchimprovementoccurswhenpeopleareonboard?
AspartoftheAnalysisproject,RicohconductedahighlevelImpactAssessmenttodeterminethe
Districtsreadinessforchange.TheresultsoftheAnalysisindicatethatalthoughthiswillbeaLarge,
Disruptivechangeoverall,theDistrictischangeready.
8
9
Source:TSIA(TechnologyServicesIndustryAssociation)/Neochange/SandHillGroup
Prosci2010
33
Figure8ImpactAssessment
Thegreatestcontributorstosuccess,andthereforethegreatestimpedimentstoresistance,are:
Activeandvisibleexecutivesponsorship
Frequentandopencommunications
Structuredchangemanagementapproach
Dedicatedresourcesforchangemanagement
Employeeengagementandparticipation
AproperChangePlanfortheDistrictmustincludea:
CommunicationPlan
o Frequent,regular,positivecommunication
o Timing,message,deliverymethod,andsenderareallimportant
SponsorshipRoadmap
CoachingPlan
o Prepareforthechangethenleadthroughit
o Appliestotargetbusinessunitsandindividualsalike
ResistanceManagementPlan
o Anticipate,mitigateandmanage
34

o Diagnosetherootcause,coach,communicateandimplementconsequences
TrainingPlan
o Provideknowledgeandabilitytosucceedthroughthechange
o Developmaterials,delivertraining,andreinforce
DocumentCenter
Togainmaximumefficiencyfordocumentimagingandproduction,aDocumentCentershouldbe
centrallylocated,closetowherethedocumentsaretoday,andeasilyaccessibletothebusinessunits
thatwillutilizeitsservices.
Figure9andFigure10showexamplesofergonomicallyfriendlyandefficientworkareasforthe
documentpreparationandscanningactivitiesthatwouldoccurinaDocumentCenter.Itrepresentstwo
individualscanningareas,twoquality/indexingareas,androomfortransientboxeddocumentstorage.
HavingtwoscanareasgivestheDistrictabackupintheeventthatoneoftheunitsisbeingserviced,
temporarilynonfunctionaloratfullcapacityduetobackfileorbacklog.Theequipmentrecommended
includes:
Worktablesforpreparation
Documentjoggersandshreddingequipment
Workcubiclesordesksforscanning(toaccommodatePC,scanner,anddocuments)
Productionleveldocumentscanners
PCswithminimumlargemonitors
Securedocumentstoragespace
Considerationshouldalsobegiventocolocatingdocumentoutputequipment(productionprinting)and
mailoperationstocreateatrulysharedserviceenvironment.(Equipmentofthissortisnotdepictedin
theexamples.)
35
Figure9DocumentCenter(Example1)
Figure10DocumentCenter(Example2)
36

Options
theDistricthasthreeoptionsforestablishingtheDocumentCenter;althoughonlytwoofthemare
feasibleinthiscase.
1. OutsourceOutsourcing,istheprocessofsendinganorganizationsdocumentstoaservice
providertoperformtheimagingwork.TheserviceproviderwilloftenreturnCDsofimagesand
possiblytheoriginalpaperdocumentationdependingontheorganizationsrequirements.This
optionisnotfeasiblefortheDistrict.
2. InsourceInsourcing,alsoreferredtoasonsiteoutsourcing,istheprocessofbringing
temporarystafffromaserviceproviderintoanorganizationtoperformtheimagingwork
onsite.
3. SelfsourceSelfsourcingisthemethodbywhichanorganizationusestheiremployeesto
performtheimagingwork.
Theprosandconsofeachoptionareinthetablebelow.
Table2Pros&ConsofImaging
OutsourceImaging
InsourceImaging
SelfsourceImaging
Pro
Allowsyourstafftototallyfocuson
theirjob
Oftenthefastestmethod
Allowsyourstafftocontinuefocusing
ontheirjob,withminimalsubject
matteroversight
Documentsdonotleavethe
premises
Moderatecostassociated
Littleornonetnewcostassociated
withlabor
Imagingisperformedbysubject
matterexperts
Nosecurity/confidentialityexposure
Con
Peopledoingimagingworkarenotas
experiencedwiththedocument
content
Highercostassociated
Documentsleaveyourpossession
Peopledoingimagingworkarenotas
experiencedwiththedocument
content;theyarelikelynotsubject
matterexperts
Takesyourstaffawayfromtheir
regularjob;couldbecostlyifyou
havetobackfilltheirposition
Oftenthemosttimeconsuming
(duration)methodifstaffisnot
dedicatedtoimaging
BestPractices
Thereareaminimumoffourdistinctstepsorprocessesinvolvedintheconversiontoanelectronic
image:Preparation,Scanning,Indexing,andRelease.Twoadditionalstepsareveryoftenadded:
QualityAssuranceandValidation.
Documentpreparationisthemostdifficultprocessforcaptureduetoitsmanualnature
o Stapleremoval,postitnotes,paperclips,openingofmail,unfolding,etc.
Scanningistheconversionofpaperdocumentsintoelectronicimages
Indexingisusedbyendusersfortheretrievaldocumentsandmustbemeaningful
37

Indexdataoughttobeafinitesetofeasilyidentifiableandassessablebusiness
information
Qualityassuranceistheprocessusedtoensurehighimagequalityandreadabilityofthe
digitizeddocument
Validationistheprocessusedtoguaranteedataintegritypriortoreleaseintotherepository,
toolsinclude:
o Databaselookups,OCR,ICR,BCR,IDR,OMR,AdvancedCapture,etc.
Archivingisthereleasingofthedigitizedimageandassociateddatatotherepositoryforstorage
o
Figure11DocumentCaptureProcess
RequestforInformationandProposal
ARFIisastandardbusinessprocesswhosepurposeistocollectwritteninformationaboutthe
capabilitiesofvarioussuppliers.Normallyitfollowsaformatthatcanbeusedforcomparative
purposes.
TheRFIisprimarilyusedtogatherinformationtohelpmakeadecisiononwhatstepstotakenext.RFIs
arethereforeseldomthefinalstage,andareinsteadoftenusedincombinationwithaRequestfor
Proposal(RFP).Inadditiontogatheringbasicinformation,anRFIisoftenusedasasolicitationsenttoa
broadbaseofpotentialsuppliersforthepurposeofconditioningsupplier'sminds,developingstrategy,
buildingadatabase,andpreparingforanRFP.
InformationPoints
Therespondentswillneedtoaddressthefollowingpoints:
Asingle,enterprisewideEDMSwillneedtobeimplementedtoserveasthefoundation
Basicfeaturesofthesystemmustinclude:
o Supportfor~60namedusers(or~20concurrent)
o Completedocumentmanagement
38
Versioncontrolandaudittrailmethodsformonitoringchangesinthedocument
andkeepingtrackofmultipleversionsofit
Checkin/outprivilegessoonlyoneuserisallowedtomodifyadocumentata
giventime
Allowannotationstodocumentswithoutchangingtheunderlyingfile
Indexingsystemtoorganizedocumentsintorelatedgroups,suchasfolders
Robustindex/metadatasearchingforrapidretrievalbasedonflexiblecriteria
Freetextsearchandretrievaltoenablerapidaccesstodocumentsbasedon
findingkeywordsintext
CapableoflaunchingnativeapplicationwhenviewingfileinEDMS
PrintdriverforprintingdocumentsintoEDMS
Faxin/outcapability(faxserverintegration)
Import/Exportfunctionsfordataanddocuments
o Supportformultiplefileformats
PDFandTIFscanfileswhichwouldincludelargeformatdrawings
CADdrawings
Webcontent
MSOfficedocuments:Word,Excel,etc.
Anyotherpredefinedfiletype:JPG,GIF,BMP,etc.
Eforms(HTML,XML)forfutureconsideration
o Supportforproduction,workgroupandMultifunctionDevice(MFD)basedscanning
o Supportforintegrationwithothersystems
ImageenablementtechnologythatsupportslinkagesbetweentheEDMSand
CorporateSystems
OpendataexchangeODBC,XML,SQL
OpenAPIApplicationProgrammingInterface
o Fullaudittrailcapabilities(view,print,add,delete,email)
o AbilitytosupportfullRecordsManagement
Includeshardcopyrecordssupport(boxlocations,microfiche,etc.)
Automateddispositionfunctionality
Declarationofadocumentasaformal(nonalterable)record
Additionalfeatures,sometimesintheformofboltonmodulesforfutureexpansionshould
allow:
o Rulesbasedandadhocworkflow
o ERM(ElectronicReportManagement)storageforlargevolumeelectronicstoragemedia
andpermanentarchivingofdocuments
o Digitalwritinganddigitalsignaturecapabilities
o Electronicforms
o Advancedcapturetechnologies
Provisionsforprofessionalservices
o ProjectManagement
o ChangeManagement
39
o Consultingfordesign
o Engineeringforimplementation
o Traininganddocumentation
o Postimplementationsupport
DisasterRecoveryfortheEDMSsolution
Captureofdocumentsshouldhavethefollowingcapabilities:
o Templateorstructuredrulesbasedformsprocessing
o Semistructuredformsprocessing
o Abilitytoprocessunstructureddocuments
o Machineprinted,handwrittenandbarcoderecognitioncapabilities
o Theabilitytocreatetextsearchabledocuments
Allbasedonstandard,nonproprietarytechnologyplatformsthatintegratewiththeDistricts
existingtechnologyinfrastructure
PhasedImplementation
Thephasedimplementationstrategymimicsawalkbeforeyourunapproach,startingwithabasic
archivalsystemforonebusinesstarget,thenprogressingtomorecomplextechnologyforthefirst
businesstargetandbasicarchivalforasecondtarget,andsoon.Thisprocessisrepeateduntil
eventuallyallbusinessunitsareoperationalwithvaryinglevelsoftechnologicalcomplexitybasedon
need.
PhaseI
InstallabaseEDMSwithsimplecapture/store/retrievefunctionalitytoactasanarchive
systemonly(fornow)
Configureanddesignthearchivesystemforoneobject
Trainusersanddeploythesystem
Beginbackfileconversionimagingonexistingfiles(thathavebeenpreviouslypurgedof
nonvalueaddeddocuments)
PhaseII
Identifythenexttargetbusinessunitforsimplearchiveservices
ExpandthecomplexityofthefirstconfigurationtointegratewithCorporateSystemsfor
specificDocumentTypes(mayrequirepurchaseofadditionaltechnologydependingon
theconfigurationofthebasesysteminitially)
PhaseIII Identifythenextbusinessunittargetforsimplearchiveservices
Expandthecomplexityofsecondconfigurationtoencompassarulesbasedworkflow
thatismeasurableandmonitored(mayrequirepurchaseofadditionaltechnology
dependingontheconfigurationofthebasesysteminitially)
Andsoon.
40
PhaseIBaseSystemandPilotProject
Theykeytomakingaphasedimplementationsuccessfulistonottakeontoomuchatonetime.This
meanslookingatabusinessprocessordocumenttype,notanentiredepartment.Forexample,
FinancialServicesisanextremelycomplexdepartmentincludingAccountsPayable,Accounts
Receivable,TaxandUtilitybilling,CashReceipts,CashManagement,FinancialReporting,etc.Totakeon
FinancialServicesinitsentiretyinasinglephaseoftheprojectwouldbeaskingforalengthy,complex
design,followedbyadrawnoutbuild,laborioustestphase,andlikelyalotofreworkactivity;all
makingforanunhappyuserbase.
Focusononemanageabletargetatatime.AstheDistrictbecomesmorecomfortablewithEDMS
technologyanddeployingit,multiple(related)targetscanbetakenonsimultaneouslywithsuccess.
TheprofileofthefirstfewEDMSimplementationtargetsshouldbelongtoadepartmentwiththe
followingcharacteristics:
Strongcommittedleaderwithpoliticalcapital(respectedwithintheorganization)
Significantthroughput,wherebyachangewillbeabletodemonstratefinancialandprocess
improvementsthatcandemonstrativelyscaletootherdepartmentsthroughput
Experiencegoingthroughchangesorhavedocumentedpainpoints
Desiretofinishwhattheystart(sticktoitattitude)
Giventhoseparameters,RicohrecommendsPropertyFilesbethePhaseItarget.Propertyfilesarea
painpointformorethanonegroup,wouldbeeasilymanagedfromabasicarchivalperspectiveand
wouldgarnersignificantsuccesspointswithotherswhentheprojectisexecutedsuccessfully.
Design,PlanandImplementthenewlyEDMSsoftwareandrelatedhardwareforPropertyFilearchiving.
Createaprojectplanoutliningthetime,effortandresourcingrequiredtoperformthe
implementation
EstablishtheDocumentCenterincloseproximitytothepaperfiles(maybeinthesameroom)
SpecifictoPropertyFilesarchiving:
o Createcaptureprocessflowsfordayforwardandbackfileimagingandelectronic
documents
o Designthedatabasewithappropriatemetadataattributes
o Establishausermanagementandsecurityschema
o InstallandconfiguretheEDMSaccordingtodesign
PerformSITandUATandtrainusers
o Createtestplans
o Createuserproceduresforimagingandqualitycontrol
o Createsystemtrainingguides
Deploythesystem
Beginbackfileimagingonmostfrequentlyaccessedfilesfirst
41
EDMSArchitecture
Figure12reflectsapotentialfuturestateviewofacentralizeddocumentmanagementsystem.While
thedisplayofallknownsystemsisnotpossible,thisdepictiongivesanoverviewoftheEDMS.
Figure12HighlevelEDMSArchitecture
Thefuturesystemdepictsonecentralknowledgehubforintegrateddocumentcapture,storageand
retrievalinPhaseI.Figure13showsadepictionofthearchitecturereflectingtheinterrelationsandco
existencesbetweeneachcorporateapplicationandtheEDMSinPhaseIIandbeyond.Greenand
orangearrowsrepresentdataflow.Thisdepictionalsoshowsthebidirectionalflowofdataandimages
asretrievalmaybefromwithinthecorporatesystem.
Figure13PotentialFutureStateEDMS
42
CostsandSavingsOpportunities
EDMSCosts
Approximatelyeverythreeyears,foranotherclient,RicohConsultingServiceshasbeenengagedto
prepareaProductComparisonMatrix.Overtime,thisclientfacedpotentialissuesencompass(ing)
documentsstoredonsharednetworkdrives,arelianceonolderorproprietarydocumentmanagement
platforms,anewcollaborationplatformbasedonMicrosoftSharePoint,adhocworkflowsandapproval
processes,andregulatoryrequirementsforcollecting,storing,andprotectinginformation.Theclient
alsohad,atthetime,aninvestmentinoneoftheproductsbeingcompared.Asaresultoftheirissues
andadesiretoinvestigatecurrenttechnologyavailable,thisproductcomparativematrixwas
commissionedandisrepeatedapproximatelyeverythreeyears.TheclientscurrentEDMS,whichhas
beenupgradedovertheyears,isalwaysoneoftheproductscompared.
Thismatrixconsistedoffive,wellknown,midtierdocumentmanagementproductsflexibleenoughto
accommodatechangeasusersadapttobusinesschange;scalableenoughtoallowfuturegrowthfor
usercounts,transactionspeedandfrequency,andexpansionthroughtheorganization;yetstructured
enoughtomaintaincontrol,complianceandaccountabilityforthebusinessprocesseswithin.These
productswerecomparedonthefollowingcriteria:
Coredocumentmanagement
Reporting,auditing,andrecordsmanagement
Webcontentmanagement
Captureandretrievalmethodsandinterfaces
Securityandarchitecture
Endusersoftwarefunctionality(usabilityorfriendliness,customizability)
Manufacturerinformation(administrationandsupport,professionalservices,backgroundand
stability,horizontalandverticalareasofexpertise)
Thecomparisonexcludedthefollowing:
Networksizing,capacityanalysisandperformanceconsiderations
Advanced,automatedworkflow
Customcoding,programming,integrationrequirements
Detailedpricinganddistributioninformation(asthisisproprietaryandconfidential)
Informationregardingendusertraining
FortunatelyfortheDistrict,thiscomparativematrixdidincludeahighlevelcostingcomponent,shown
belowinTable3.Pricingisfullretail,whichgovernmententitiesrarelypay,andexcludeshardwareand
professionalservices.Additionally,theaveragetimetoimplementacoresystemisdisplayed.
43

Table3Highlevel,MidtierEDMSCosts
Product1
Product2
Product3
Product4
Server
PerUser
$50,00075,000
$300
60,000100,000
$250
100,000150,000
$225
50,00075,000
$200
ForTheDistrict
~60users
$18,000
$15,000
$13,500
$12,000
CostRange*
$68,00093,000
TimetoImplement
68weeks
75,000115,000
113,500163,500
34weeks
46weeks
62,00077,000
34weeks
Product5
50,000100.000
Unknown
Unknown
50,000100,000+
46weeks
*Excl ude s ha rdwa re ,profe s s i ona l s ervi ces a nda nnua l ma i ntena nce
Implementationcostswouldnormallyincludehardware,softwareandassociatedprofessionalservices.
AlsoincludedshouldbetheDistrictscostsforITandbusinessuserparticipationplusaportionof
overheadforinfrastructureandadministration.Totalimplementationcostisoftenestimatedbyusing
softwarecostasthebasis:professionalserviceswillcostapproximately40%ofwhatwaspaidforthe
software.Hardwareandotheritemswillcostapproximately20%ofwhatwaspaidforthesoftware.
Meaning,whateveryoupayforsoftware,youshouldexpecttopay40%ofthatamountforprofessional
servicestoimplementallofit(inyearone),andabout20%ofthatamountforhardware,overhead,
incidentals,etc.
NoteMostorganizationswillnotactuallyimplementanddeployallofthesoftwarepurchasedinyearone.For
example,toachieveagreaterdiscountonthepurchase,ahigherlicensecountmayhavebeenbought(onelicensefor
everyemployee)howevernotallthelicensesweredeployedinPhaseI,perhapsonlyonedepartmentwasdeployed.
Thismakesthesoftwarecostsdisproportionatetotheservicescostsinitially.
TheimplementationcostinyearoneforthefiveproductsisshowninTable4below.Subsequentyears
wouldhave,ataminimum,softwaremaintenance(typically20%oforiginalsoftwarecost,yearover
year)andanyservicesassociatedwithexpansion,additionalscopesofworkorsupportservices.
Table4ExtrapolatedTotalImplementationCosts
EstimatedTotal
Implementation
Software
Hardware
Implementation
Total
Product1
Lower
$68,000
$13,600
$27,200
$108,800
Upper
$93,000
$18,600
$37,200
$148,800
Product2
Lower
$75,000
$15,000
$30,000
$120,000
Product3
Upper
$115,000
$23,000
$46,000
$184,000
Lower
$113,500
$22,700
$45,400
$181,600
Upper
$163,500
$32,700
$65,400
$261,600
Product4
Lower
$62,000
$12,400
$24,800
$99,200
Upper
$77,000
$15,400
$30,800
$123,200
Product5
Lower
$50,000
$10,000
$20,000
$80,000
Upper
$100,000
$20,000
$40,000
$160,000
44
OpportunityforSavings
ByimplementinganElectronicDocumentManagementSystem,theDistrictcancreateanelectronic
librarytomanageallcriticaldocuments.Thissolutionwillincreaseproductivity,makingitdramatically
easiertoretrieveinformationinatimelymanner.
IndustryStandardsShowGreaterPotentialSavings
Documentmanagementindustryanalystsindicatethecostofdocumentmanagementasaportionof
toplinerevenues.Examplesinclude:
IDC10%ofcorporaterevenueondocumentproduction,managementanddistribution
XplorInternational610%ofcorporaterevenuespentondocumentrelatedactivities
InfoTrends1215%ofacorporationsrevenues
CAPVentures515%ofrevenuespentonprintingandmanagingdocumentscosts
AsCAPVentureshasthelargestrange,wellusetheirpercentages:515%ofrevenue.10
Perthe2009AnnualReport,theDistricthasrevenuesequaltoapproximately$15million.
Table5PotentialSavingsAccordingtoIndustryStandards
Document Management Costs According to Industry Standards
Revenues
$15,000,000
Avg % of Revenues Managing Documents
5%
Annual Document Management Expense
$750,000
$15,000,000
10%
$1,500,000
$15,000,000
15%
$2,250,000
DocumentManagement,asrepresentedbytheindustryanalystsabove,encompassesmorethanwhat
wedeemdocumentmanagementinthisNeedsAnalysis.Theanalystdefinitionincludesprinting,
infrastructure,administration,etc.Ourdefinitionfocusesonlyonthestorage/archivalofdocuments.
10
TheCostofBusinessCommunication:ALookattheBusinessDocumentLifecycle,InfoTrends/CAPVentures
45

BasedoninformationprovidedbyALLAssociates,awellrespectedconsultantinthedocumentindustry
whoworkswithbothbusinessconsumersandindustrysuppliers,47%ofthetotaldocument
managementcostsareattributabletowhatthisNeedsAnalysisconsidersdocumentmanagement.
Table6DocumentManagementCostsAccordingtotheDistrictDefinition
Document Management Costs According to Industry Standards
Revenues
$15,000,000
$15,000,000
10%
$15,000,000
Avg % of Revenues Managing Documents
5%
15%
Annual Document Management Expense
$750,000
$1,500,000
$2,250,000
Needs Analysis Def'n "Document Management"

at 47% of Total DM Cost
$352,500
$705,000
$1,057,500
Basedonsimilarimplementationsoflikecomplexity,Ricohanticipatessavingsequaltoa25%to40%
reductionintimemanagingdocuments.TheDistrictcouldachievethisreductionbyreducingor
virtuallyeliminatingtheneedtosearchforpaperdocuments,transmittingfileselectronicallyinsteadof
viahardcopy,andbygreatlyenhancingtheabilitytomanageworkflows.Reducingthetimespenton
documentmanagementwillfreeupstafftimeforcorebusinessactivities,whilealsoimproving
responsivenesstootherstaffneedsandimproveservicetothepublic.
46

Table7showsconsolidatedcostsandpotentialbenefits.
Table7ProjectCostReduction
CostDisplacement
ExistingOverallEstimatedCost
47%of
EDMSImplementationCost
MidrangeEst.Ttl.Impl.
BenefitOpportunity
25%CostRecovery
40%CostRecovery
5%
$352,500
High(P3)
$221,600
10%
$705,000
Med(P2)
$152,000
15%
$1,057,500
Low(P4)
$111,200
$55,400
$88,640
$38,000
$60,800
$27,800
$44,480
NoteAstheunderlyingassumptionsareallconservative,theestimatedpaybackisverylikelytooccurin30to48
monthsdependingonhowaggressivelytheDistrictpursuessavings.
Intangiblebenefitsaboundwiththeimplementationofelectronicdocumentmanagementtechnology
including:
Securityandoperationalriskavoidance
PositiveimageassociatedwithGoingGreen
Improvedcustomerserviceprovidedtoresidents
Reducedcostofoperationsresultingintaxpayersavings
Theseintangiblescannotbequantifiedintermsofdollarssavednonethelesstheyarevaluable.
47
ImplementationMethodology
Todeliverasuccessfulproject,theDistrictmustenvisiontheprojectfromstarttofinish,andhavethe
prowesstoexecutethatvision.
Thereisatendencyforprojectstoshortchangetheplanningprocess,withtheemphasisbeingon
jumpingrightinandbeginningthework.Thisisamistake.Thetimespentproperlyplanningtheproject
willresultinreducedcostanddurationandincreasedquality.Properplanningandgoodchange
managementpracticeswillreducethefearofchangeamongtheuserbase.
Thekeytoasuccessfultechnologyimprovement,regardlessofsaidtechnology,isitsimplementationin
acontrolledenvironment.Organizationsthatrevolutionizethehardware,software,andprocessacross
theenterpriseinoneprojectcyclearealmostcertainlydestinedforfailure(bydoingtoomuchtoofast),
thusincreasingthecostoftheprocessandnodoubtdoominganyfutureattemptsatimprovement.
Thatsaid,themosteffectiveandsuccessfulcourseofanytechnologyimplementationiswithaproven
methodology.
ProjectManagementMethodology
TheRicohMethodologyFrameworkisbasedonindustrybestpractices,andyearsofconsultingand
projectdeliveryknowledgeinthefieldofbusinesscommunications.Itconsistsofsubdividingalarger
projectintosmaller,moremanageablephases,allowingtheDistricttocontroltheprogressofthe
projectbymonitoringeachPhasetoensuretheneedsandexpectationsarebeingmet.
Discovery
Thisphasefocusesonclearlydefining,understandinganddocumentingtheexisting
informationaboutthebusinessprocesses,environmentandinfrastructuretobeableto
developandexecuteadetailedsolutiondesignandimplementationstrategyinthesubsequentphases.
Documentationtypicallyincludesanydocuments,volumes,datastreams,etc.,thatwouldbeincludedin
thefutureproject.ThisphaseoftheMethodologyiscompletewiththeDistrictsacceptanceofthis
Findings&RecommendationsReport,hencethegreencheckmark.
48

Design
TheDesignphaseiswheretheinformationgatheredintheDiscoveryisappliedtospecific
equipment,software,andservicestoenabletheDistricttoreachtheirdesiredfuturestate.
Thedeliverableofthisphaseisathorough,comprehensibleDesigndocumentforreviewandapproval.
TheDesigndocument,oftencomprisedoftwodistinctsections(onebusinessrelated,theothersystem
related)is,inessence,theblueprintofthesystem.ThisphaseoftheMethodologyhasnotbegun,
hencetheredcheckmark.
Planning
Onceallpartiesinvolvedagreetothefulldesign,thePlanningphaseestablishestheproject
implementationtimelinesandresponsibilitiesofimplementationresources.ThePlanning
phaseiswherethebulkoftheprojectmanagementactivityoccurs,andthesuccessoftheprojectis
directlyrelatedtotheleveloffocusinthisarea.
Implementation
Afterallpartieshaveagreedtotheimplementationtimelineandresponsibilities,the
Implementationphasewillessentiallydeliverythepromisedsolution.Itisthephasewhere
thesystembecomesareality.Sinceprojectslikethisonecansometimesinvolvedramaticchangesto
theprocesses,astrictchangecontrolmethodallowsforchangestothesolutionwhilemaintainingthe
integrityofthescopeoftheproject.Communicationbetweenallmembersoftheprojectteamis
paramountatthisphase.
Support
TheSupportphaseinvolvestransitioningthesystemsupporttotheassignedDistrictIT
resourcesaswellaspotentialinitiationofanynumberofsupportoptions,including
maintenance,technicalandeducationtoenhancethesolutionandensuremaximumbenefitisderived.
Recall,whenspeakingofthecosttoimplementthistypeoftechnology(page43),ProfessionalServices
typicallyequatesto40%ofthesoftwareinvestment.That40%allocatesacrossthe5phasesofthe
ImplementationMethodologyFrameworkasfollows:
Discovery1520%
Design2025%
Implementation3540%
Planning1520%
Support10%
Noticethateachphaseisapproximated.Thisisbecausethescopeofwork,complexityoftheproject
andlevelofcustomizationandintegrationmakeithighlysubjective.
49

ThefollowingstandardswillsupporttheDistrictinachievementofaneffectiveproject:
Visualizeguideeveryoneinthesamedirection;avoidvaguedescriptionsatallcosts,be
specific,drawdiagramsandpictures,andmakecertaineveryoneisinagreement
Planningmustbedetailed,organized,andrequiresteamparticipation
Senseofurgencywithasettimeline,budget,andresources,itisofutmostimportancethatthe
projectprocessisconstantlybeingdriventowardscompletion
Deliverablescompleteonastepbystepprocess,whichwillseemlessforeboding
Micromanagementdonotmicromanage;focusonmilestonesorprojectcompletion,nothow
thetasksarecompleted
Agilerespondwithagilitytorisingissuesandunseenchanges
Communicationadheretoapolicyofopencommunication,encouragingallmemberstovoice
opinionsandconcerns
Sightbeawareoftime,budget,andquality
NextSteps
TheDistrictisonaproperpathtakingintoconsiderationnotonlytechnologybuttheimpactonthe
business.
Step1.
Step2.
Step3.
Step4.
Step5.
ValidateNeedsAnalysisandHireStaffwiththeProperSkillSettoSupporttheInitiative
InitiateStepstowardProperRecordsManagement
BeginPlansforaDocumentCenterwithaDedicatedDocumentCustodian
SolicitandAcquireDocumentManagementTechnology
DeployDocumentManagementinaPhasedApproach
50
AppendixAEducationonDocumentManagement
EnterpriseDocument/ContentManagement
ThelargestopportunityforcostsavingsandprocessimprovementfortheDistrictliesinimplementation
ofatrueenterpriseclassdocument/contentmanagementsystem.Asystemofthiscalibercouldbe
usedfrombasiccapture/store/retrievearchivingtorulesbasedworkflowthatcanbemeasuredand
monitored,equallywell.
AttributesofaRobustEDMS
OneofthemostconciseandappropriatewaystodescribeanElectronicDocumentManagementSystem
(EDMS)istothinkofitasalibrary.Asinahardcopylibrarybuilding,documentscanbestoredand
retrievedaccordingtoawidevarietyofattributes.Theseattributesarecommontoallbooksinthe
library,andincludethingssuchasauthor,title,subject,anddate.Inacontentmanagementsystem,
thesepropertiesarereferredtoassearchcriteria.Thiscriteriaisalternativelycalledmetadata
(metadataisdataaboutdata)andaredescriptivefieldsthatare
attachedtoeachdocumentasitgoesintotheelectroniclibrary.All
Adocumentiscopied,
documentsthatcanbedigitizedarecandidatesforentryintothe
eitherhardcopyor
documentmanagementsystem.AMicrosoftWordfile,anExcel
electronically,9to11
spreadsheet,ascannedimage,anemail,asoundbiteorvideoclip
times,atacostof
$18Coopersand
anythingthatcanexistindigitalformatcanbeorganized,tracked,
Lybrand
retrieved,orpurgedaccordingtologicalrelationships.
Forexample,theEDMScouldhouseafolderforeachdepartmentor
suborganizationintheDistrict.Itemswithineachfoldercouldberelatedbysomeuniqueidentifier,
suchasDocumentNumber,LGMANumber,orPropertyID.Thesewouldbeembeddedwithineach
document,includingMicrosoftWord,MicrosoftExcel,PDF,eforms(electronicforms),and/orscanned
imagesrelatingtothattopic.
Alternatively,iftherearenumerousdocumentsrelatedtoaproperty,eachcouldbesegregated
accordingly,withdocumentsflowingtoindividualsubfoldersbasedontype.Allfileswouldbe
retrievable,securely,viaintegratedcorporateapplications(GIS,iCity,etc.),MicrosoftOffice,orWeb
browserbyanyonewithsufficientpermissiontoaccessthem,andtheywouldbeinvisibletothosewho
didnothavepermission.
Rememberthough,themagicofadocumentmanagementsystemfolderisactuallyjustacustomized
viewofaparticularsetofdocuments.ThereisnotruefolderingsystemasintheMicrosoft
WindowsExplorerenvironment.

Theunderlyingstructuretothelibraryisthemasterdatabasethatmaintainsallthemetadata.
Therefore,theonlylimittothenumberofwaysdocumentscanbeorganized(putinfolders)isthe
numberofcombinationsofmetadatausedtocategorizethem.
Justasinalibrary,auser(withtheproperpermissions)couldcheckouttheoriginaldocumentsand
makechangestothem.Otherusers,withlesserpermissions,wouldonlybeabletoviewthedocuments
ortodownloadcopies,butbeunabletoaffecttheoriginals.Whentheuserfinisheswiththedocument,
s/hewouldreturnthedocumentstothelibraryviaacheckinfunction,andthesystemwouldkeep
trackofthechangesthroughitsversioncontrolfeature.Inthecaseofapropertydiagram,oncethe
planisfinalized,theoriginaldocumentscanbelockeddownsothatnofurthereditscouldbemade,
thuscreatingaformalrecord.Thesystemwillallowauserwithappropriatepermissionstomakea
copyoftheoriginal,orannotateitelectronicallysimilartothewaysomeonemayaddanotationor
postitnotetoapaperdocument,butthelockeddownfilecanbepreservedintact.
Bycreatingadigitallibrarywhereitcangathertogethermaterialfromdifferentsoftwareapplications
anddatabasesinoneplace,theDistrictwillmakeaquantumleapforwardinthespeed,accuracy,and
securityofsharinginformationacrosstheenterprise.
AttributesofaRobustEDMS
OneofthecorecomponentsoftherecommendedsolutionistheimplementationofanEDMSwiththe
followingfeatures:
DocumentAcceptanceinMultipleFormatsthedocumentmanagementsystemshouldacceptthe
followingcontent:
Electronicfilesfromstandardapplications,suchasMSWord,Access,Excel,PowerPoint,Project
andVisio
AutoCAD
Eforms(HTML,XML)
Webcontent
PDFandTiffscanfiles
Electronicreports
Anyotherpredefinedfiletype:JPG,GIF,BMP,etc.(Therearehundreds).
CompleteDocumentManagementthesystemshouldsupportallkeydocumentmanagement
features,specifically:
Allowannotationstodocumentswithoutchangingtheunderlyingfile
Indexingsystemtoorganizedocumentsintorelatedgroups,suchasfoldersorbooks
Robustindex/metadatasearchingforrapidretrievalbasedonflexiblecriteria
ii
Freetextsearchandretrievaltoenablerapidaccesstodocumentsbasedonfindingkeywordsin
text
Metadataindexingtoenabledocumentworkflowcontrolledbyindexdatasuchastheauthor,
title,datecreatedormodified
Electronicpublishingforassemblyofcombinationdocumentsintocoherentcollectionsand
selectivedistribution
ERM(ElectronicReportManagement)storageforlargevolumeelectronicstoragemediaand
permanentarchivingofdocuments
SupportforpublishingtothewebviaHTTPandXML
CapableoflaunchingnativeapplicationwhenviewingfileinEDMS
PrintDriverforprintingdocumentsintoEDMS
Faxin/Faxoutcapability(faxserverintegration)
Import/Exportfunctionsfordataanddocuments
IntegrationwithImagingthekeyfunctionalityfortheDistrictisadocumentmanagementsystems
abilitytoacceptdocumentinputfrommultiplefrontendcapturesystems,andseamlesslyroute
documenttothedocumentrepositoryforautomatedfiling.Imagingshouldsupport:
Scanner
DigitalWriting(electronic/intelligentpen)
Fax
ElectronicForms(viakiosk,computer,orhandhelddevice)
Additionally,thesystemshouldleverageintelligentcapturefunctionality,including:
OCR(zoneandfulltext)andICRrecognitiontechnologiesthatenableconversionofimaged
paperdocumentsintocomputerusabledata
Imageenhancement,tocorrectthemostcommonandbasicerrors(deskew,despeckle,image
registration,adjustcolordepth,etc.)
Supportforproductionscannersandnetworkedmultifunctiondevices
Automateddocumentclassificationthatenabledocumenttypeidentificationwithlittleorno
humanintervention
Securityakeychallengeorganizationsfaceisthattheydontknowwhattheydontknow,whichcan
ultimatelycauseissuesinthedocumentlifecycle.Adocumentmanagementsystemshouldprovide
multiplelevelsofsecurityfromcertificatebasedauthenticationtoSSLencryptiontodocumentlevel
accesscontrolandstorageencryption.Itshouldalsoprovide:
Securitycontrolsthatrestrictuseraccessaccordingtodocumenttypeandpurpose
Featureaccesscontrolbasedonuser/groupsecurity
iii
Inheritablesecurityrightsandpermissionsbasedongroupsorotherlogicalcollections
Audittrailsthattrackdocumentactivity(view,edit,print,etc.)throughoutthelifecycle
DigitalSignatures/DigitalRights/InformationRightsManagement
LifecycleManagementreferstotheabilitytoeffectivelymanagedocumentsthroughouttheir
lifecyclefromauthoringthroughreview,approval,distribution,andarchivingwithinasingle
application.Desirablelifecyclemanagementfunctionsinclude:
Easeofuseforupdates,comments,expirationevents,remindersandticklerstokeepreview
andapprovalcyclesmovingsmoothly
Multicontributordocumentauthoringeasilyaccessiblefrommultipleclients
Distributionofcontenttomultipleaudienceseasily,suchasfromintranettoextranet;with
automaticconversiontothemostsuitableviewingformat(e.g.,converttoPDFforweb
publishing)
Automaticallymovedocumentstoalternaterepositoriesbasedonflexiblecriteria
Rulesbasedarchive/retentiontoaddressvariablestoragerequirements,frominstantshort
termstoragetoperpetualarchive
OpendataexchangeODBC,XML,SQL
OpenAPIApplicationProgrammingInterface
Scriptingengineforautomation
IntegrationwithWorkflowenablesworkflowsystemstoroutethedocumentsthatarestoredwithin
thedocumentmanagementsystem.Thesystemsshouldalsoallowusersto:
Definelifecyclestepsquicklybyfillingoutaformorviaagraphicalprocessdesigntool
Performdocumentrouting
Receiveactivenotificationofpendingworkflowitems
Monitortimelapseforeachworkflowstep
Collaboratebyenablingsimultaneousdocumentsharingandmultipleauthorshipofdocuments
Easilytrackwheredocumentsareintheworkflow
DayForwardImagingandBackfileConversion
Dayforwardandbackfilearetermsfrequentlyusedinthedocumentmanagementindustryto
describehowimagingwilltakeplace.Dayforwardreferstotakingnewdocuments(fromthisday
forward)andconvertingthemtodigitalformat.Backfileconversionistheimagingoflegacy
documents.Backfileconversionsusuallytargettransitionfromoneimagingplatformtoanother,
overflowingfilerooms,offsitepaperstorage,oranyotheraccumulationsofpaperthathavebecome
unwieldytotheenterprise.Bothdayforwardandbackfileimagingcanfacilitateworkflowautomation,
andbothareintegralelementsofanorganizationsdisasterrecoveryplan.
iv

Themainpointsofanimagingprojectaretomakeretrievalofdocumentseasierandcheaper.(The
exceptionisfordisasterrecovery/businesscontinuityrequirementsthatdemandimagingoflegacy
files.)Therefore,ifdocumentretrievalrequirementsareminimal,itisgenerallynotcosteffectiveto
convertthem.Whenfilesareretrievedandrefiledfrequently,itmaybemorecosteffectivetoperform
abackfileconversion.Outsourcedbackfileimagingcostsaretypicallyintherangeof$0.08$0.20per
officesizedpage,dependingonthelevelofcomplexityoftheproject.Oldfolderswillcycleoutofactive
usebyattritionuntilretrievalratesdroptovirtuallyzerotimesperyear.
Theotheroptionistoastheendusersretrievethedocumentsascanofthefilesondemandhappens.
Whilethisisagoodstrategy,itcantakeyearstodigitizealltheinformationanditdoesaddan
additionalsteptothefileretrievalprocessformanyyearstocome.Italsomeansthathardcopy
documentstorageslowlydiminishesasopposedtothemorerapidregainingofspacethatoccurswhen
afullonbackfileconversionoccurs.

Document Management Needs Analysis

Hochgeladen von

Dokumentinformationen

Copyright

Verfügbare Formate

Dieses Dokument teilen

Dokument teilen oder einbetten

Freigabeoptionen

Stufen Sie dieses Dokument als nützlich ein?

Sind diese Inhalte unangemessen?

Copyright:

Verfügbare Formate

Document Management Needs Analysis

Hochgeladen von

Copyright:

Verfügbare Formate

Findings &

The District of North Saanich

Assemble the File

Avg % of Revenues Managing Documents

Annual Document Management Expense

Avg % of Revenues Managing Documents

Annual Document Management Expense

Needs Analysis Def'n "Document Management"

Das könnte Ihnen auch gefallen