IMAGING: IMAGING: IMAGING: IMAGING: IMAGING: IMAGING: IMAGING: IMAGING: Making the Transition from Paper to Electronic Making the Transition from Paper to Electronic Making the Transition from Paper to Electronic Making the Transition from Paper to Electronic Making the Transition from Paper to Electronic Making the Transition from Paper to Electronic Making the Transition from Paper to Electronic Making the Transition from Paper to Electronic OPS IM Conference 2009 OPS IM Conference 2009 OPS IM Conference 2009 OPS IM Conference 2009 April 27 April 27 April 27 April 27 th th th th , 2009 , 2009 , 2009 , 2009 Babita Ramlal Babita Ramlal Babita Ramlal Babita Ramlal MOF, Revenue Operations & Client Services Sheila Vanderlinde Sheila Vanderlinde Sheila Vanderlinde Sheila Vanderlinde MOF, Revenue Operations & Client Services Lijuan Yu Lijuan Yu Lijuan Yu Lijuan Yu MGS, Archives of Ontario
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Managing Information in the OPS: Making the Transition from Paper to Electronic
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IMAGING:IMAGING:IMAGING:IMAGING:IMAGING:IMAGING:IMAGING:IMAGING:Making the Transition from Paper to ElectronicMaking the Transition from Paper to ElectronicMaking the Transition from Paper to ElectronicMaking the Transition from Paper to ElectronicMaking the Transition from Paper to ElectronicMaking the Transition from Paper to ElectronicMaking the Transition from Paper to ElectronicMaking the Transition from Paper to Electronic
OPS IM Conference 2009OPS IM Conference 2009OPS IM Conference 2009OPS IM Conference 2009
April 27April 27April 27April 27thththth, 2009, 2009, 2009, 2009
From Framework to ImagingFrom Framework to Imaging
• OPS IM Framework
•• IM Strategy + IM PlanningIM Strategy + IM PlanningIM Strategy + IM PlanningIM Strategy + IM PlanningIM Strategy + IM PlanningIM Strategy + IM PlanningIM Strategy + IM PlanningIM Strategy + IM Planning
• Imaging Defined
• Business Drivers for Imaging
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• Business Drivers for Imaging
Preparing for ImagingPreparing for Imaging
• Business Requirements
• Technical Requirements
• Process Requirements
• Image Certification
Digital Records PreservationDigital Records Preservation
DEVELOP YOUR IM STRATEGYDEVELOP YOUR IM STRATEGYDEVELOP YOUR IM STRATEGYDEVELOP YOUR IM STRATEGYDEVELOP YOUR IM STRATEGYDEVELOP YOUR IM STRATEGYDEVELOP YOUR IM STRATEGYDEVELOP YOUR IM STRATEGY
1. Determine your strategic objectives
2. Identify your approach to meet those objectives
3. Align approach with I&IT Cluster Strategy
4. Address information governance to prioritize
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4. Address information governance to prioritize
objectives:
• accountability for information assets
• improve efficiency in business processes
• compliance with legislation, regulations, directives
• agility to respond effectively to changes
DEVELOP YOUR IM PLANDEVELOP YOUR IM PLANDEVELOP YOUR IM PLANDEVELOP YOUR IM PLANDEVELOP YOUR IM PLANDEVELOP YOUR IM PLANDEVELOP YOUR IM PLANDEVELOP YOUR IM PLAN
From Framework to ImagingFrom Framework to Imaging
• OPS IM Framework
• IM Strategy + IM Planning
•• Imaging DefinedImaging DefinedImaging DefinedImaging DefinedImaging DefinedImaging DefinedImaging DefinedImaging Defined
• Business Drivers for Imaging
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• Business Drivers for Imaging
Preparing for ImagingPreparing for Imaging
• Business Requirements
• Technical Requirements
• Process Requirements
• Image Certification
Digital Records PreservationDigital Records Preservation
IMAGING DEFINEDIMAGING DEFINEDIMAGING DEFINEDIMAGING DEFINEDIMAGING DEFINEDIMAGING DEFINEDIMAGING DEFINEDIMAGING DEFINED
IMAGING: “[The] process that records documents
as digitized images on electronic storage media
for subsequent retrieval and use.” (ARMA)
“Taking an optical or digital image of the document”
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DIGITIZING: “The process of converting records [paper or
microfilm] to binary representations that may be processed
by a computer.” (ARMA)
“Digitally capturing and converting documents to create
digitized records”
EEEEEEEE--------RECORDS vs DIGITIZED RECORDSRECORDS vs DIGITIZED RECORDSRECORDS vs DIGITIZED RECORDSRECORDS vs DIGITIZED RECORDSRECORDS vs DIGITIZED RECORDSRECORDS vs DIGITIZED RECORDSRECORDS vs DIGITIZED RECORDSRECORDS vs DIGITIZED RECORDS
�Digitized Records:
a subset of
Electronic Records
� Two origins for
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� Two origins for
Electronic Records:
• “Born-Digital”
• Converted/Digitized
PLANNING FOR DIGITIZED RECORDSPLANNING FOR DIGITIZED RECORDSPLANNING FOR DIGITIZED RECORDSPLANNING FOR DIGITIZED RECORDSPLANNING FOR DIGITIZED RECORDSPLANNING FOR DIGITIZED RECORDSPLANNING FOR DIGITIZED RECORDSPLANNING FOR DIGITIZED RECORDS
Properly utilizing and leveraging digitized records Properly utilizing and leveraging digitized records Properly utilizing and leveraging digitized records Properly utilizing and leveraging digitized records depends on understanding how they fit into:depends on understanding how they fit into:depends on understanding how they fit into:depends on understanding how they fit into:
• Business ProcessesBusiness ProcessesBusiness ProcessesBusiness Processes
• Records and Document Management ProcessesRecords and Document Management ProcessesRecords and Document Management ProcessesRecords and Document Management Processes
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• Records and Document Management ProcessesRecords and Document Management ProcessesRecords and Document Management ProcessesRecords and Document Management Processes
� What are your information needs?
� What are the relevant information workflows?
� Your objectives and workflows determine where, when, and how digitized records are integrated into your operations
From Framework to ImagingFrom Framework to Imaging
• OPS IM Framework
• IM Strategy + IM Planning
• Imaging Defined
•• Business Drivers for ImagingBusiness Drivers for ImagingBusiness Drivers for ImagingBusiness Drivers for ImagingBusiness Drivers for ImagingBusiness Drivers for ImagingBusiness Drivers for ImagingBusiness Drivers for Imaging
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•• Business Drivers for ImagingBusiness Drivers for ImagingBusiness Drivers for ImagingBusiness Drivers for ImagingBusiness Drivers for ImagingBusiness Drivers for ImagingBusiness Drivers for ImagingBusiness Drivers for Imaging
Preparing for ImagingPreparing for Imaging
• Business Requirements
• Technical Requirements
• Process Requirements
• Image Certification
Digital Records PreservationDigital Records Preservation
BUSINESS DRIVERSBUSINESS DRIVERSBUSINESS DRIVERSBUSINESS DRIVERSBUSINESS DRIVERSBUSINESS DRIVERSBUSINESS DRIVERSBUSINESS DRIVERS
EFFECTIVENESS
� Accessibility:Robust search + retrieval (FIPPA and E-discovery)
� Accessibility:
COMPLIANCE
� Accountability: Enforce defined authorizations + audit trail
� Greening:
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� Accessibility: Multiple remote accessto imaged records
� Cash flow: Same-day revenue processing
� Service Quality: Reduced cycle time
� Greening:Reduce carbon footprint
� Protection + Control:User-level access control
� Better Information sharing:
Enhances remote collaboration
BUSINESS DRIVERSBUSINESS DRIVERSBUSINESS DRIVERSBUSINESS DRIVERSBUSINESS DRIVERSBUSINESS DRIVERSBUSINESS DRIVERSBUSINESS DRIVERS
WHAT ARE THE REQUIREMENTS?WHAT ARE THE REQUIREMENTS?WHAT ARE THE REQUIREMENTS?WHAT ARE THE REQUIREMENTS?WHAT ARE THE REQUIREMENTS?WHAT ARE THE REQUIREMENTS?WHAT ARE THE REQUIREMENTS?WHAT ARE THE REQUIREMENTS?
“We have a civil case coming up that requires approximately
800 bankers boxes of legal-sized files scanned, coded as
well as OCRed.
The images must be able to be read in Summation which is
the software that we use to view the images and
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the software that we use to view the images and
do searches on.
This is just the basics to what we need, but I’m sure there is
more to it which is why I like to set up a meeting with your
From Framework to ImagingFrom Framework to Imaging
• OPS IM Framework
• IM Strategy + IM Planning
• Imaging Defined
• Business Drivers for Imaging
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• Business Drivers for Imaging
Preparing for ImagingPreparing for Imaging
•• Business RequirementsBusiness RequirementsBusiness RequirementsBusiness RequirementsBusiness RequirementsBusiness RequirementsBusiness RequirementsBusiness Requirements
• Technical Requirements
• Process Requirements
• Image Certification
Digital Records PreservationDigital Records Preservation
IM BUSINESS REQUIREMENTSIM BUSINESS REQUIREMENTSIM BUSINESS REQUIREMENTSIM BUSINESS REQUIREMENTSIM BUSINESS REQUIREMENTSIM BUSINESS REQUIREMENTSIM BUSINESS REQUIREMENTSIM BUSINESS REQUIREMENTS
Ask when considering (a) digitized records and (b) possible destruction of the original source version of records:
1. Retention period? (based on retention schedules)
2. Final disposition? (based on retention schedules)
3. Use and management of images?
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3. Use and management of images?• Records management system?
• Electronic workflow?
4. Search and Retrieval requirements?
5. Taxonomy or controlled vocabulary?
6. Ability to read the digitized records years later?
7. Migration strategy to ensure records and associated metadata readable and accessible over time?
�Metadata Capture facilitates Search and Retrieval
�Data Capture Process takes an image and
translates the contents into readable, editable text
�Controlled Vocabularies and Taxonomies enable
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�Controlled Vocabularies and Taxonomies enable
users to find information they need
CLIENT BUSINESS REQUIREMENTSCLIENT BUSINESS REQUIREMENTSCLIENT BUSINESS REQUIREMENTSCLIENT BUSINESS REQUIREMENTSCLIENT BUSINESS REQUIREMENTSCLIENT BUSINESS REQUIREMENTSCLIENT BUSINESS REQUIREMENTSCLIENT BUSINESS REQUIREMENTS
From Framework to ImagingFrom Framework to Imaging
• OPS IM Framework
• IM Strategy + IM Planning
• Imaging Defined
• Business Drivers for Imaging
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• Business Drivers for Imaging
Preparing for ImagingPreparing for Imaging
• Business Requirements
• Technical Requirements
•• Process RequirementsProcess RequirementsProcess RequirementsProcess RequirementsProcess RequirementsProcess RequirementsProcess RequirementsProcess Requirements
• Image Certification
Digital Records PreservationDigital Records Preservation
PROCESS REQUIREMENTSPROCESS REQUIREMENTSPROCESS REQUIREMENTSPROCESS REQUIREMENTSPROCESS REQUIREMENTSPROCESS REQUIREMENTSPROCESS REQUIREMENTSPROCESS REQUIREMENTS
� The specific processes followed by the end-user
to deliver the service
• Who, when, where, how, why?
�Define and document actions throughout
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�Define and document actions throughout
the data processing cycle.
� Identify potential for business process integration
DEFINING THE WORKFLOWSDEFINING THE WORKFLOWSDEFINING THE WORKFLOWSDEFINING THE WORKFLOWSDEFINING THE WORKFLOWSDEFINING THE WORKFLOWSDEFINING THE WORKFLOWSDEFINING THE WORKFLOWS
� Sequence of operations to complete specific tasks
� Paper documents needed for repeatable processes can be Paper documents needed for repeatable processes can be Paper documents needed for repeatable processes can be Paper documents needed for repeatable processes can be
digitized and incorporated into an electronic workflowdigitized and incorporated into an electronic workflowdigitized and incorporated into an electronic workflowdigitized and incorporated into an electronic workflow
• Upfront work and planning is required
• Data capture centralized or decentralized
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• Data capture centralized or decentralized
• Repository is still centralized
• Imaged documents can then be actioned
• Built-in flexibility and logice.g. if client payment > $1000 then route to Manager for approval
EXAMPLE EXAMPLE EXAMPLE EXAMPLE EXAMPLE EXAMPLE EXAMPLE EXAMPLE –––––––– WORKFLOW INITIATIONWORKFLOW INITIATIONWORKFLOW INITIATIONWORKFLOW INITIATIONWORKFLOW INITIATIONWORKFLOW INITIATIONWORKFLOW INITIATIONWORKFLOW INITIATION
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EXAMPLE EXAMPLE EXAMPLE EXAMPLE EXAMPLE EXAMPLE EXAMPLE EXAMPLE –––––––– IMAGING + DIGITIZINGIMAGING + DIGITIZINGIMAGING + DIGITIZINGIMAGING + DIGITIZINGIMAGING + DIGITIZINGIMAGING + DIGITIZINGIMAGING + DIGITIZINGIMAGING + DIGITIZING
Further technical requirements based on the following standards and legislation:
• CGSB 72.11 (Foundation of existing Certification)
• CGSB 72.34 (Replaces 72.11)
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• CGSB 72.34 (Replaces 72.11)
• E-Commerce Act
• FIPPA
• Sedona Canada Principles
• Uniform Electronic Evidence Act
HOW ROCSB CAN HELP YOUHOW ROCSB CAN HELP YOUHOW ROCSB CAN HELP YOUHOW ROCSB CAN HELP YOUHOW ROCSB CAN HELP YOUHOW ROCSB CAN HELP YOUHOW ROCSB CAN HELP YOUHOW ROCSB CAN HELP YOU
� Business Transformation Assistance• Process Analysis
• Process Re-engineering
• Work Flow Analysis & Integration
� Recordkeeping Advice
Certified Imaging and Data Capture
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� Certified Imaging and Data Capture
� Advice on Image Certification
� Taxonomies and Controlled Vocabularies
� Forms Design to facilitate metadata capture and enhanced Search and Retrieval
From Framework to ImagingFrom Framework to Imaging
• OPS IM Framework
• IM Strategy + IM Planning
• Imaging Defined
• Business Drivers for Imaging
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• Business Drivers for Imaging
Preparing for ImagingPreparing for Imaging
• Business Requirements
• Technical Requirements
• Process Requirements
• Image Certification
Digital Records PreservationDigital Records Preservation
THE INFORMATION LIFE CYCLETHE INFORMATION LIFE CYCLETHE INFORMATION LIFE CYCLETHE INFORMATION LIFE CYCLETHE INFORMATION LIFE CYCLETHE INFORMATION LIFE CYCLETHE INFORMATION LIFE CYCLETHE INFORMATION LIFE CYCLE
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DIGITAL PRESERVATIONDIGITAL PRESERVATIONDIGITAL PRESERVATIONDIGITAL PRESERVATIONDIGITAL PRESERVATIONDIGITAL PRESERVATIONDIGITAL PRESERVATIONDIGITAL PRESERVATION
� Management of digital information to ensure it is accessible
and understandable over time
� Applies to born-digital + converted content
� Physical deterioration of media
� Technological obsolescence
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� Technological obsolescence
• more serious than physical deterioration!
MEDIAMEDIAMEDIAMEDIA PRACTICAL PHYSICAL LIFETIMEPRACTICAL PHYSICAL LIFETIMEPRACTICAL PHYSICAL LIFETIMEPRACTICAL PHYSICAL LIFETIME AVG TIME TO OBSOLESCENCEAVG TIME TO OBSOLESCENCEAVG TIME TO OBSOLESCENCEAVG TIME TO OBSOLESCENCE
Magnetic (disk) 5 to 10 years
2 to 30 years
5 to 59 years
Magnetic (tape)
Optical (CD/DVD)
5 years
5 years
5 years
PRESERVATION + MIGRATION IN OPSPRESERVATION + MIGRATION IN OPSPRESERVATION + MIGRATION IN OPSPRESERVATION + MIGRATION IN OPSPRESERVATION + MIGRATION IN OPSPRESERVATION + MIGRATION IN OPSPRESERVATION + MIGRATION IN OPSPRESERVATION + MIGRATION IN OPS
�OCIPO: the corporate champion for e-records preservation within OPS
�Ministries/agencies: to ensure long-term accessibility, readability and authenticity of electronic records
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electronic records
�Archives of Ontario: to ensure preservation ofelectronic records of archival value
“Guideline for Transferring Electronic Records to the Archives of Ontario”
PREPARING FOR LPREPARING FOR LPREPARING FOR LPREPARING FOR LPREPARING FOR LPREPARING FOR LPREPARING FOR LPREPARING FOR L--------T PRESERVATIONT PRESERVATIONT PRESERVATIONT PRESERVATIONT PRESERVATIONT PRESERVATIONT PRESERVATIONT PRESERVATION