Plugging the Hole, Changing Courseand Staying Afloat

Presented by:Leslie Turner, Washington State Archives

andCynthia Jones, Washington State Department of Financial Institutions

Overview of Today’s Session• Iceberg Ahead!

(Making the business case)

• Charting a New Course(The why and how)

• Changing Course(How to change course – tools and tips)

• Staying Afloat (How to avoid re-arranging deck chairs)

Who are we?Leslie Turner, CRM, ERMp & IGp

Washington State ArchivesElectronic Records Management Consultant

Leslie.turner@sos.wa.gov509-235-7500 ext 101

Serving 187 State agencies, boards and commissions and over 2500 units of local

government

Who are we?Cynthia Jones

ERMm, ECMs, BPMpECM Lead/IT Architect

Department of Financial Institutionscynthina.jones@dfi.wa.gov

360-902-9813

ECM expert at Department of Enterprise Services (working in Governor’s office and others)

ECM and Imaging System expert in private sector

State public records laws

Since 1957, RCW 40.14 Preservation and Destruction of Public

Records

In 1972, RCW 42.56 Public Records Act (PRA)Voted in with 72% of popular vote

It’s the state version of the Freedom of Information Act (FOIA)

Records Management Won’t Do It

Neither records management or the need to preserve information will

drive change

Sad, but true

It’s not a priorityIt’s not what makes the headlines

But it still hurts!

Disclosure, now that really hurts!

Excessive time and effort required to response to records requests

(Nobody can find anything, and need to search multiple places and systems)

Inadequate searching and incomplete responses prompt lawsuits

Lawsuits cost money, period(Attorneys fees, court costs, settlements, penalties, fines)

No sympathy

Washington State courts are starting to take a dim view of agency behavior and lack of

processes

Our courts are saying “No excuses, the law requires 100% compliance”

They hit the iceberg!

2011 City of Mesa $245,940

2013 City of Shoreline $538,555(This lawsuit took 7 years!)

2014 City of Bainbridge Is $487,000 (settlement)

2014 Snohomish County $575,000 (settlement)

2014 Snohomish Co Sheriff’s Office $600,000 (settlement)

More icebergs!

2014 Port of Olympia $187,300 (settlement)

2015 Liquor Control Board $192,000 (settlement)

2016 Dept of Labor and Industries $ 502,827(lawsuit changed the way calculations made for penalty phase)

Next up, 2016Kittitas County Sheriff’s Office

Asking for $100.00 per day in penalties from June 2015

There’s fierce competition

Budgets are tighter than ever!

• Legal issues take priority• Legislative goals take priority

• IT initiatives and projects take priority

Public disclosure/public records requests have to be a priority due to

Public Records Act RCW 42.56

Bailing waterWe have a public disclosure problem because we have:

A records management problem – because we lack a solid records management strategy and the tools to

implement it

A defensibility problem – we cannot prove that we handled and dispositioned records properly

Still bailing

• How many requests do you get a month?• How many FTE’s and staff hours does it

take to fulfill a request?• How many attorneys are involved with

review/redaction/discovery?• How many lawsuits has your agency

avoided or missed by “this much”?

Hitting the other iceberg:Technology

Technology also has had a huge impact on how we do business

Hitting the other iceberg:Operational efficiencies

Did you know….

• Workers spend up to 30% if their time searching for or recreating information, means less time spent on productive tasks* (like fulfilling records requests)

*Source: IDC

Costs of doing business

The average organization:• Makes 19 copies of each document• Loses 1 in 20 documents • Spends 25 hours searching for and

then recreating each lost document *

*Source: Immersion Technologies

Doing the math

Typical enterprise with 1,000 knowledge workerswastes 2.5 – 3.5 Million per year searching for

nonexistent information, failing to locate existingInformation or recreating information

that can’t be found

The hits just keep coming

Re-arranging deck chairs

• Ignoring the problem doesn’t make it go away

• Endless debates on what the real problem is doesn’t help either

• Time to plug the holeand change course!

Charting a New Course

• How do we help people see the problem as solvable?

• How do we reach the different audiences needed to solve this problem?

• Our records management problem is largely behavior and culture driven, which is harder to fix. Can we change that?

• How do we make the behavior and culture changes easy for people to accept?

• Can today’s modern Enterprise Content Management (ECM) tools that help us solve this problem?

What is ECM?

Enterprise Content Management (ECM) is the strategies, methods and tools used to capture, manage, store, preserve and deliver content and documents related to organizational processes.

(AIIM.org)

Why ECM? Why now?• Its starting to hurt• Its impacting our Mission, Reputation, Risk

& Cost• Public Disclosure costs are driving the

change• ECM can help

– Enables our Mission through process improvement and automation

– Helps safeguard our Reputation with the public– Reduce the Risk to our records – Reduces the Cost of wasted hours spent

searching for or reproducing documents – Reduces the Cost of public disclosure

“Why is all this money being spent on ECM in a down economy? The answer is ‘productivity’.

ECM can drive process efficiency, improve data and process quality and build better channels to your customers and prospects.”

Gartner

The Feasibility Study• Does the ECM solution hold water?

• Engage Stakeholders with little or no background in ECM. (16 person team, 11 agencies, multiple roles)

• Research ECM systems as a team and see if they really measure up. (Researched/previewed 7 systems)

• What are the things that cannot be solved by an ECM? Are those things deal breakers?

Finding 1: ECM can address the technology issues we face in records management.

Finding 2: We must also address the behavior and culture issues to make any solution succeed.

Charting the way

• Drafted Charters for Initiatives– Information

Governance– Enterprise Content

Management (ECM)

Who Needs to Buy In for Success?

• Executive / Management community

• Records community

• Legal / Public Disclosure community

• Business User community

• IT Security Community

• IT Community

• Finance / Budget community

Charter and Team Selection• We must have a water-tight plan.

• The Charter shows our plan to achieve the solution.

• Buy-In on all levels is critical to success.

• Must be able to speak to the different needs and drivers of each audience.

The Team• Dave Kirk (OCIO) Speaks to Executive interests• Phil Brady (DFI) Speaks to the Public Disclosure interests• Leslie Turner (SOS) Speaks to the Records Management interests• Stakeholder Team speaks to the Business User interests• Cynthia Jones (DES/DFI) Translates ECM information, develops

roadmap and speaks to the IT and Vendor partnership interests

The StakeholdersStatewide problem, statewide solution.

Additional Stakeholder agencies include local government

Changing Course• We need access to ECM system tools today

• Budgets are tight and RFPs are expensive. Organizations need an ECM Master Contract direct purchase option.

• Must have a choice of ECM tools, not have one solution pushed on everyone.

• One size does not fit all, so Small, Medium and Large ECM systems must be available on the Master Contract.

• Organizations won’t become experts in order to buy something.

• Use a thorough RFP vetting process to make sure the statewide business needs are met.

• Require standards for systems / tools to ensure we’re getting quality products. (DoD 5015.02 v3 – Dept. of Defense Std)

What DoD 5015.2 Buys You

• Powerful search• Meta Data• Versioning• Format Integrity• Litigation Holds• Reads old and new formats 400+ (even WordPerfect)• Records Management & Retention Schedules • Proof of Appropriate Destruction or Transfer• Audit Trail - Defensible Disposition• Exit Strategy• Security & Mobility

State Master Contract

Change the Way We Think

What’s in it for you?ECM Tools make it:

– Easy to Use– Easy to Store– Easy to Find– Access from Anywhere, Anytime– Process Improvement through

Workflow & Automation tools

Tools That Make Your Part Easy

BreakthroughPrinciples ECM

Secure/Reliable

Process Improvement

DefensibleDisposition

Users

Mgmt.Administrators

RecordsManagers

PublicDisclosure

LegalSecurity

IT

Easy to Disclose

Easy to Collaborate

Easy to Find

Easy to Store

Store Up Front(Create, Tag it &

Bag it)

Destroy Documents on

Time

Single Instance of Document

Access Anytime, Anywhere

(Authorized Users)

Powerful Search Tools

Save Directly From Office or Drag and

Drop

Integrates with Box &

SharePoint

Secured User Access

Redaction and Litigation Hold

Tools

Workflow & Process

Automation

Auto Track Retention

Logs Document

History (Audit Trail)

Now That We Have Your Attention

Records Management “Mythbusters” to make it easier to understand the rules.

Tools Support Behavior Changes• Use modern ECM technology to manage your records

‘behind the scenes’ – so you get away from the manual process

• Reduce the copies and versions of records that are kept [Redundant]

• Stop keeping records long past their usefulness and retention [Obsolete and Transitory]

• The record storage location parallels the business process

• Your record actions become defensible –Destroy on time and prove you did with an audit trail*ROT: Redundant

ObsoleteTransitory

Enabling the Crew• Our team offers classes on using the ECM Toolkit

to build your Business Case and plot your course• Help everyone avoid “implementation icebergs”!• The ECM Toolkit includes document templates,

training materials and information gathering tools• We teach the different disciplines to speak the

same language (IT, Records, Line Staff, Management)

• Benefit from ECM expert experience

• How to use the ISO Road Map to guide you

Wait…There’s a road map?

• Yes!! • ISO 15489 is the best practice road map for

implementing a records management program

• It’s a stable, repeatable process • Used on an

international level• It cuts out the

confusion

Staying Afloat – Follow Your Charts

ISO 15489 – it’s a standard too!

ISO 15849 DoD 5015.02 International Standard Federal Standard

Process Standard Software Standard

Required Analysis Activities Required System Functions

Helps you identify your Helps you do your daily ECM project work work

Tool that helps define and Tool that supports your achieve your ECM goals ECM goals

How Does This Help Me?

It helps you plan for your own records management solution. It makes you an informed customer. • The Roadmap walks you through the process • It gives you specific tasks to do at each step • Tells you what to do with the information collected at

the last step• Prepares you for the work ahead

Bootcamps – ECM Education

How to plan smart

Education and Training• ECM Project Planning training sessions and live

demonstrations available statewide• Free “ECM Boot Camps” for agencies to

“get ready, here it comes!”• We’ve developed an “ECM Tool kit”

(including paper bags) for agencies to use for breathing

• We’ve developed “dashboards” and other examples of tools

• We regularly update stakeholder groups within the state (CIOs, Deputy Directors, Fiscal Managers)

What Do These Tools Look Like?

Repeatable Processes ToolsECM Project DashboardTracks where each department is in the process• Progress State• Risk areas that require assistance

Drill down into Step Report Cards

(Under Construction)

Continuous efforts

• More demos and training sessions scheduled• Videos and webinars being developed• Regular reporting to Executive Sponsors and

Stakeholders• Templates and Tools shared freely with other

agencies• Ongoing conversations and support efforts• Share information & exchange

ideas

Smooth sailing?

• Trying to turn ice bergs into ice cubes is not easy

• It’s critical communications are open with continuous feedback and exchange of ideas– It’s full steam ahead!!

It’s worth it!• It’s not a quick fix nor a cheap one

– We’ve decades of unstructured information and lost governance

– Cultural attitudes need adjusting– Change is hard

But in the long run, ECM is a real solution that will help turn the ship and avoid hitting those

icebergs !

THANK YOU!Questions? Please contact

recordsmanagement@sos.wa.gov

Ready to throw the life ring!