Implementation of Implementation of EDMS/RMA for NOAA EDMS/RMA for NOAA

Marine Fisheries Division, Marine Fisheries Division, Southeast RegionSoutheast Region

Gwen Sanderlin - NOAAGwen Sanderlin - NOAADonna Read, CRM - NARADonna Read, CRM - NARA

Mike Justen - NOAAMike Justen - NOAAJohn Montel – General DynamicsJohn Montel – General Dynamics

April 2007

Introductions:Introductions:NOAA – National Oceanic & NOAA – National Oceanic & Atmospheric Administration Fisheries Atmospheric Administration Fisheries ServiceService

• Protects and preserves the nation’s living Protects and preserves the nation’s living marine resources through scientific marine resources through scientific research, fisheries management, research, fisheries management, enforcement and habitat conservation.enforcement and habitat conservation.

• A voice for commercial and recreational A voice for commercial and recreational fisheries.fisheries.

• NOAA works to ensure sustainable fish NOAA works to ensure sustainable fish harvests, are the stewards of marine harvests, are the stewards of marine resources and their habitats.resources and their habitats.

NARA – National Archives & NARA – National Archives & Records AdministrationRecords Administration

• 44 U.S.C. 2904 vests in the Archivist of the United 44 U.S.C. 2904 vests in the Archivist of the United States responsibility for providing guidance and States responsibility for providing guidance and assistance to Federal agencies with respect to assistance to Federal agencies with respect to ensuring adequate and proper documentation of ensuring adequate and proper documentation of the policies and transactions of the Federal the policies and transactions of the Federal Government, including developing and issuing Government, including developing and issuing standards to improve the management of records. standards to improve the management of records.

• Targeted Assistance Initiative – Providing records Targeted Assistance Initiative – Providing records management expertise to Federal agenciesmanagement expertise to Federal agencies

General Dynamics IT - TeamGeneral Dynamics IT - Team

• 20+ years in Document Management• Over 81,000 employees• $21.24B in Revenue• Local offices in 23 states• Unlimited support services• Largest single integrated software suite• Most common shared application• Implemented with 20,000 clients• Secure Intelligent Platform Architecture• CMMi Level 3 Certified• DoD 5015.2 Certified• ISO Certified• On staff certified CDIA personnel• On staff certified NARA records managers

What’s in place at NOAA What’s in place at NOAA today?today?

•EDMS with RMA moduleEDMS with RMA moduleElectronic Document Management Electronic Document Management System with Records Management System with Records Management ApplicationApplication

•Laserfiche – a document and Laserfiche – a document and image management systemimage management system

•Three NARA Certified Records Three NARA Certified Records Managers with more to followManagers with more to follow

What was the reason for the What was the reason for the project?project?

• NOAA needed to NOAA needed to meet several meet several business needs:business needs:

1) Protection of 1) Protection of valuable recordsvaluable records2) Quick response 2) Quick response to FOIA and to FOIA and litigationlitigation

Edicts & Support from Edicts & Support from ManagementManagement

• Project Team instructed which Project Team instructed which department to incorporate into the new department to incorporate into the new system firstsystem first

• Instructed which records to focus on firstInstructed which records to focus on first

• The project has received unparalleled The project has received unparalleled support from senior managementsupport from senior management

Project PathProject Path

• Began in May 2005Began in May 2005• Defining the requirements of the softwareDefining the requirements of the software

1) Provide for authenticity of the records1) Provide for authenticity of the records2) Scanning capability2) Scanning capability3) Full text searching3) Full text searching4) Proximity searching4) Proximity searching5) Non-proprietary formats5) Non-proprietary formats6) User friendly6) User friendly

First HurdleFirst Hurdle

• Convincing the original Project Lead not to build a Convincing the original Project Lead not to build a system from scratch.system from scratch.

DoD 5015.2: Design Criteria Standard For Electronic DoD 5015.2: Design Criteria Standard For Electronic Records Management Software ApplicationsRecords Management Software Applications Dept. of Justice :Dept. of Justice : Legal Considerations in Designing Legal Considerations in Designing and Implementing Electronic Processes: A Guide for and Implementing Electronic Processes: A Guide for Federal AgenciesFederal Agencies

ISO 15489:ISO 15489: Information Documentation – Records Information Documentation – Records ManagementManagement

(Authenticity – Reliability – Integrity – Usability)(Authenticity – Reliability – Integrity – Usability)

Next ChallengeNext Challenge

Project was on track with project plan and Project was on track with project plan and needs assessments under wayneeds assessments under way

Project High-jacked by the Project High-jacked by the Procurement ProcessProcurement Process

• Budget issues required a choice of Budget issues required a choice of software within a two week timeframe!!!software within a two week timeframe!!!

Procurement ProcessProcurement Process

• Service agreements for hardwareService agreements for hardware

• License software assurance plan (what you License software assurance plan (what you have, lifecycle of the hardware)have, lifecycle of the hardware)

• Wrong choice of scanning equipment Wrong choice of scanning equipment

• Time delays meant warranties expired Time delays meant warranties expired before project startedbefore project started

• Architecture of the LAN – will it support the Architecture of the LAN – will it support the speed at which you are pushing data into speed at which you are pushing data into the system - had to lay fiber to handle the the system - had to lay fiber to handle the loadload

Document Prep for Document Prep for ScanningScanning

• Who is responsible for the document Who is responsible for the document prepprep

• Part of the contract or notPart of the contract or not• Details importantDetails important

Remove staplesRemove staplesKnow how to use copierKnow how to use copierLift boxesLift boxesFilingFilingNothing to small to noteNothing to small to note

Lesson LearnedLesson Learned

•Planning will always Planning will always be superseded by be superseded by reality!!!reality!!!

Time for Field Trips!!!!Time for Field Trips!!!!

• Site visits to locations in Florida Site visits to locations in Florida where EDMS software was in usewhere EDMS software was in use

• Demos by the users – not by sales Demos by the users – not by sales staffstaff

1) City of Kissimmee – Laserfiche1) City of Kissimmee – Laserfiche2) City of Tampa - TRIM2) City of Tampa - TRIM

Continued ResearchContinued Research

• Phone interviews with users of other Phone interviews with users of other software packages across the software packages across the countrycountry

• Research in the internet Research in the internet

• Demo disks of softwareDemo disks of software

• Discussions with other agencies who Discussions with other agencies who have already taken the plungehave already taken the plunge

Software purchasedSoftware purchased

• Laserfiche chosen based on cost, Laserfiche chosen based on cost, functionality, and user friendliness (less functionality, and user friendliness (less clicks to perform functions)clicks to perform functions)

• Software installed smoothly and quicklySoftware installed smoothly and quickly

• Records Management module installed Records Management module installed at the same timeat the same time

Laserfiche FunctionalityLaserfiche Functionality

• Image Capture and OCRImage Capture and OCR

• Full text searchingFull text searching

• Proximity searchingProximity searching

• RedactionRedaction

• Retention assigned at the folder levelRetention assigned at the folder level

• Multiple modules allowing for additional Multiple modules allowing for additional features (like bates numbering)features (like bates numbering)

Scanning Contract SignedScanning Contract Signed

• Number of pages estimated for Number of pages estimated for the initial records collectionthe initial records collection

• Document preparation taken Document preparation taken into accountinto account

• Contract let based on these Contract let based on these figuresfigures

Trouble at Scanning CentralTrouble at Scanning Central

• Contractor said staff experienced in Contractor said staff experienced in scanning - not truescanning - not true

• Scanning staff given misleading Scanning staff given misleading information about potential future workinformation about potential future work

• Staff not suited for the work Staff not suited for the work

• Resistance to management directivesResistance to management directives

Delay of ProjectDelay of Project

• Due to personnel issues Due to personnel issues with the scanning staff, with the scanning staff, the scanning contract the scanning contract was cancelled.was cancelled.

• The need to secure The need to secure another contract caused another contract caused the project to be delayed the project to be delayed for almost a year.for almost a year.

The Role of the IntegratorThe Role of the Integrator

• Our scanning woes were tied directly to the Our scanning woes were tied directly to the lack of a single integratorlack of a single integrator

• Support for product implementation was great Support for product implementation was great

• Laserfiche purchased from FC Business Laserfiche purchased from FC Business Systems (since purchased by General Systems (since purchased by General Dynamics) but not hired to implement Dynamics) but not hired to implement scanning part of the projectscanning part of the project

Lessons LearnedLessons Learned

• Don’t underestimate the importance Don’t underestimate the importance of the having an integrator.of the having an integrator.

• Pay the bucks for the people with Pay the bucks for the people with experience in both scanning and the experience in both scanning and the software you are using.software you are using.

Needs Assessment Needs Assessment ContinuedContinued

• Determined the order of priority for each Determined the order of priority for each division to be pulled into the new systemdivision to be pulled into the new system

• Identify the interdependencies between Identify the interdependencies between the business functionsthe business functions

• Identify duplicate records (you don’t want Identify duplicate records (you don’t want to scan records from one department only to scan records from one department only to find that you already scanned the same to find that you already scanned the same records from another department). records from another department).

Identifying Metadata to be Identifying Metadata to be CapturedCaptured

• Lots of back and forth with users in Lots of back and forth with users in department where initial scanning department where initial scanning taking placetaking place

• Difficult to convince users to change Difficult to convince users to change business process – wanting to capture business process – wanting to capture way too much metadataway too much metadata

• Users don’t trust technology and find it Users don’t trust technology and find it hard to think out of their familiar boxeshard to think out of their familiar boxes

Assistance from theAssistance from the Records Manager Records Manager

• File plans needs to be in place for mapping File plans needs to be in place for mapping records to their retentionsrecords to their retentions

• Work of the Records Manager to work with Work of the Records Manager to work with each department to finalize their file planseach department to finalize their file plans

• Help by raising awareness of records Help by raising awareness of records management in general among the staffmanagement in general among the staff

Training RequirementsTraining Requirements

• High level view of the product shared High level view of the product shared with almost all staff – they mistook it with almost all staff – they mistook it for detailed trainingfor detailed training

• Included demos of how the product Included demos of how the product worksworks

• Detailed training given to individual Detailed training given to individual users within the pilot departmentusers within the pilot department

Legal Department Needs Legal Department Needs MetMet

• Link within their intranet to LaserficheLink within their intranet to Laserfiche

• Ablitliy to access scanned recordsAblitliy to access scanned records

• Response to court case with electronic recordsResponse to court case with electronic records

• Redaction cababilityRedaction cabability

• Bates numberingBates numbering

• Reduction in cost of preparing and shipping Reduction in cost of preparing and shipping administrative records to court and other partiesadministrative records to court and other parties

Where the Project is Where the Project is NowNow

• New scanning contract that includes General New scanning contract that includes General Dynamics as the integrator for all aspects of Dynamics as the integrator for all aspects of the projectthe project

• 74, 688 pages scanned in a one month period74, 688 pages scanned in a one month period

• Able to use redaction feature for a FOIA requestAble to use redaction feature for a FOIA request

• Able to scan and deliver electronic records for Able to scan and deliver electronic records for court litigation – with bates numberingcourt litigation – with bates numbering

Vision for the ProjectVision for the Project

• Scanning of all 1.5 millions documentsScanning of all 1.5 millions documents

• All employees using the system for All employees using the system for everyday document managementeveryday document management

• All the field office records included for the All the field office records included for the Southeast RegionSoutheast Region

• Secure disaster recoverySecure disaster recovery

• Quick and accurate search and retrieval for Quick and accurate search and retrieval for response to litigation, FOIA, & everyday response to litigation, FOIA, & everyday workwork

Time for QuestionsTime for Questions

Thank youThank you

Contact Information:Contact Information:

Gwen Sanderlin – Gwen Sanderlin – gwen.sanderlin@noaa.govgwen.sanderlin@noaa.gov

Donna Read – Donna Read – donna.read@nara.govdonna.read@nara.govMike Justen – Mike Justen – mike.justen@noaa.govmike.justen@noaa.govJohn Montel – John Montel – john.montel@gdit.comjohn.montel@gdit.com