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Managing Municipal eRecords A Case Study

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Title: Managing Municipal eRecords A Case Study


1
Managing Municipal e-Records A Case Study
Bob GuzSr. Business Systems AnalystCity of
Austin
IIMC Annual ConferenceMay 22, 2009
2
Project Overview
Enterprise Document and Imaging Management System
(EDIMS)
3
City of Austin
  • Capital of Texas
  • Approximately 800,000 citizens
  • 1.5 million in greater metro area
  • 11K 12K City employees
  • City government responsible for wide varietyof
    operations
  • Administration of City government
  • Police, Fire, and EMS departments
  • Public utilities (electric, water, solid waste)
  • International Airport

4
EDIMS Project Objectives
Enterprise Document and Imaging Management System
  • Implement Open Texts Livelink ECM eDOCS DM/RM,
    BI, Kofax Ascent Capture, and EMC Centera
  • Replace legacy document management systems
  • Enforce compliance with mandated records
    retention requirements

5
EDIMS Project Objectives
  • Make public records readily accessible to
    citizens, their elected officials, and to City
    staff
  • Provide common platform for image capture, and
    document/records management for City departments
    and operations

6
EDIMS Project Deployment
  • Strategic rollout, staged department by
    department
  • Prioritization of departments based on
    cost-benefit analysis
  • Prioritization of document types based on
    established corporate criteria
  • Focus on structured documents, with plans to
    expand to unstructured documents

7
COA Corporate Criteria Examples
  • Public records subject to Open Records requests
  • Records associated with well defined workflows
    and business processes
  • Records that have a high retrieval or reference
    activity
  • Documents that require collaboration and
    coordination across multiple departments
  • Records with lengthy retention requirements

8
Examples
  • Public records associated with City Council
    activities and decisions
  • Financial and other filings by officeholders,
    PACs, and candidates for public office
  • Birth and death certificates
  • Board and Commission appointment process and
    training programs
  • Standard operating procedures
  • Contracts and related attachments and amendments

9
Document and Records Management in Open Text
eDOCS
10
(No Transcript)
11
Deployment
Master
Browsers
OCC
OVR
Public
Dept.
Dept.
12
The File Plan
13
The File Plan
  • Provides a structured hierarchy for an
    organizations documents/records
  • Classification and Lifecycle Management
  • Provides containers in which documents/records
    are classified
  • File Plan containers are associated with records
    management rules
  • When a document is filed in the system, it
    inherits classification, access permissions, and
    retention rules
  • City policy requires all documents to be filed
    in the File Plan

14
Our Goal Develop a File Plan that
  • Addresses both physical and electronic records
  • Establishes consistent granularity and complexity
    across the enterprise
  • Distinguishes the File Plan from an ever-shifting
    organizational structure
  • Acknowledges that different departments may be
    responsible for records that support the same
    activity
  • Leverages the automation capabilities of
    OpenText eDOCS

15
COA File Plan
  • Business Functions
  • Broad categories (big buckets) of similar
    business processes
  • Record Classes
  • Records that support the parent Business Function
    but have different retention requirements
  • Record Series
  • Having same retention requirements i.e., are
    governed by the same disposition authority
  • Have one official retention period and one
    custodian of record
  • Level at which business rules are applied

16
File Plan Excerpt
17
Files and File Parts
  • Specific locations in which documents are
    filed
  • Files are organized to align with the retention
    rule associated with the parent container
  • Examples
  • A known event plus a period of time (e.g.,
    calendar year end 5 years) Organize by year,
    set event to end of year
  • A conditional event plus a period of time (e.g.,
    end of contract 10 years) organize by
    contractor name or contract number, set event to
    end of contract date

18
Files and File Parts
19
File Plan Components
Building Retention Rules
20
Events When does it happen?
  • Date-based triggers that can be used as the
    starting point for a variety of actions
  • Examples
  • Immediately upon a known event (e.g., election
    day)
  • A known event plus a period of time (e.g.,
    calendar year end 5 years)
  • A conditional event plus a period of time (e.g.,
    end of contract 10 years)

21
Actions What happens?
  • Storage Actions
  • Define if and when an item must be moved from an
    Active Location to an Inactive/Off-line Location
  • Cutoff/Rollover Actions
  • Define when to close files and open new files
  • Disposal Actions
  • Define the final disposition of records
  • Example Permanent, Destruction, or Transfer

22
Business Records Rule
  • Event Action Records Rule
  • Immediately following an election (Event)
  • Close the current election file for candidate
    ballot applications and associated documents
    (Cutoff Action)
  • Declare ballot applications and associated
    documents as records (Cutoff Action)
  • Two years after file closure, delete the records
    (Disposal Action)

23
Sample Business Records Rule
24
Records Destruction Processing
  • Procedure executed annually (Q1)
  • Identify records eligible for destruction
  • Route candidate report to custodian of record
  • Suspend destruction, place legal hold on records,
    as required
  • Execute destruction process
  • Generate Certificate of Destruction and file in
    system as a permanent record

25
Public Access
26
Council Meeting Information Center
  • www.ci.austin.tx.us/cityclerk/edims/council_meetin
    g_info_center.htm

27
Council Meeting Information Center
  • Provides a "one-stop" source for City Council
    meeting records
  • Agendas
  • Approved meeting minutes
  • Meeting videos and closed caption transcripts
  • Executed ordinances and resolutions
  • Workpapers, drafts, and other documents presented
    to the Council during meetings
  • Brings together documentation that was previously
    difficult to find because it was scattered across
    the City's website in multiple locations

28
Council Meeting Information Center
  • Supports the City Council's goal to increase
    transparency in government, making information
    available to citizens more quickly and
    conveniently
  • All records are full-text indexed
  • Optical Character Recognition (OCR) on scanned
    images
  • Supports keyword content searching
  • ADA compliance
  • For historical research, minutes of Council
    meetings are available online, 1880 - present
  • Currently averaging 100K documents downloaded
    per month via the public website

29
Public AccessDemonstration
30
Search Options
31
Search Results
32
Thank you!
Bob GuzSr. Business Systems Analystbob.guz_at_ci.au
stin.tx.us
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