APPA ConferenceSeptember 21, 2004 - Jacksonville, FL

Document Management & Record Retention

Presented by Gene Bailey - with contributions by Ann Doerrer – ElectriCities of North Carolina

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Electronic Culture

Dramatic change from a decade ago with e-mail, word processing, and spreadsheets on individual C:/drives, PDAs, cell phones, etc.

• Gartner Group – 60% of business critical data is now contained within e-mail systems

• IDC – Projects that daily e-mail will grow from 9.7 B in 2000 to 35 B in 2005. E-mail storage demand at annual growth rate of 300% in 2003.

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E-Mail and Digital Document Growth

• While growth is phenomenal, retention is not • Creative Networks – only 29% of companies could

find an e-mail that was six months old• Time to manage electronically

• Manage and retain by value, not by format, as well as

from creation to disposition

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Corporate Document Compliance

Post – Enron era, compliance and electronic records management issues are frequently in the news

• SEC Rule 17a-4 requires quick retrieval • Sarbanes-Oxley Act of 2002 places new and strong

requirements on record retention with potential penalties on corporate execs

• Although, neither of these laws technically apply to us, NC and FERC guidelines for e-mail and electronic document retention, disposition, and destruction do.

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E-mail and Digital Documents - public record ?

The content of e-mail and other digital documents are public records (according to GS 121-2(8) and 132-1) and….

• Electronic mail is a public record when sent or received in normal business processes….

• E-mail and all digital documents have the same retention requirements as their paper cousins, and need to be handled in the same manner.

• Retain e-mails that: a) issue policy b) state decisions c) outline procedures d) shows actions e) gives guidance or f) not sure

• Toss e-mails for: a) travel reservations b) personal c) junk mail d) confirm appts. e) forwarding e-mail

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How do you handle this beast?

Electronic Document Management System retains all types of records, documents – paper, microfilm, and electronic within the same system with metadata

• All integrated functionality without “add-on” modules. Bar coding is also built in

• Viewer can access Word, WordPerfect, Lotus 1-2-3, Excel, etc. documents from years ago regardless of version/ release, etc. thru electronic browser

• Uses Optical Character Recognition (OCR) to index hard copy documents

• Security to restrict or grant access

Infovision EDMS

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InfoVision - Features

• Allows compliance with NC e-mail and digital documents regulations.

• Tremendously improves workflow/ collaboration• Wealth of info to new employee at fingertips• Key Word search by subject / topic• Dynamic linking of documents allowed• Will not allow inadvertent destruction of Vital Records• Retains id of anyone accessing EDMS• Automatically applies retention rules on EDMS

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Performance Benefits

Comply with laws/ regulations – electronic records must be managed just like paper

• Comply with NC requirements for mandatory backup protection of electronic processes and documents as published by NC Dept. Cultural Resources

• Document business events – More and more business is done digitally (93% in 1999), often bypassing the traditional paper venues

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….Continued

Staff Productivity – Workloads have increased over the past few years with more info created. Once operational and functioning, system ensures retrievals

• Succession Planning – how to access knowledge from their documents when experienced and older employees are gone (18 over age of 55)

• Business Continuity and Disaster Recovery – Ensuring the protection and retention of vital records

• Litigation Support - Provides process for ensuring admissible evidence & streamlines discovery process

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Litigation Support Example

• Largest civil litigation in NC history • Case - construction of nuclear power plant• Estimated millions of documents exchanged• Employed (200) temps at height of case• Dedicated IBM 4381 and IBM 3380 disks• BRS/ Search used for 400,000 responsive

documents in text database metadata• Rapid search by software on metadata

manually entered of microfilmed documents

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Implementation

Cultural shift in thinking about documents. Need decisions regarding value of documents created/received

• Need to implement in stages• Some changes necessary in daily workflow.• Workflow process to be fully charted prior to

implementation and deployed by division or department beginning with Planning Division

• Administrative assistant primary role in each dept/ div

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Conclusion

Record /Document management is not a “luxury”, but a “must” to support business and protect legal interests. Some EC records series must be retained for 50 years as determined by FERC.

• The need for such a system is universal. It’s not a matter of if, but when. Because of regulatory issues facing us, that time is now.

ElectriCities’

Electronic Document Management System

EDMS

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Total Information Management

Manages Paper Based and Electronic Files

Integrated Distributed Scanning

Version Control of internally generated documents

User-Friendly Windows Based interfaces

User Defined Business Rules

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Key Features Overview

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Interface Macro Saves Documents Directly to Database_____________________________________________________

Same Macro to appear for Word, Excel, Same Macro to appear for Word, Excel, PowerPoint, and GroupWise for E-mailPowerPoint, and GroupWise for E-mail

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Easy Self-Registry Screen

Self-Registry form is the same for all macrosSelf-Registry form is the same for all macros

Detailed Narrative Summary

Document type

File plan

Key word Thesaurus

External X-references

Link existing documents

More than one file code

Many fields self populate

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Read over 200 document formats. Read any document stored in the Records

Repository. Embedded Filters require no 3rd party

applications to view and mark up documents.

Viewer Value Points

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File / Document Search

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Search Results

Searches Return Both Electronic and Paper Documents

View Detailed Summary or View Document

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Advanced Search Screen

Text searchText search

Search by KeywordSearch by Keyword

or Thesaurusor Thesaurus

Search by:Search by:DateDateAuthorAuthorAddresseeAddresseeSignatorySignatoryDocument Document typetypeFile numberFile numberOr Or CombinationCombination

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Subdivisions; Strata Lots Licensing for Demolitions, Fences & Signs Automatic Document Creation for

Inspections Benchmark Performance Indicators Workload Indicators Corporate Information Reduced Site Inspections Concurrent Inspections Application Submissions via the Web

Building & Planning Applications

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Service & Customer Requests

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Questions ?

• Q & A