Top Banner
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
48

Managing Information in the OPS: Making the Transition from Paper to Electronic

Mar 08, 2023

Download

Documents

Rayna Slobodian
Welcome message from author
This document is posted to help you gain knowledge. Please leave a comment to let me know what you think about it! Share it to your friends and learn new things together.
Transcript
Page 1: Managing Information in the OPS: Making the Transition from Paper to Electronic

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

Babita RamlalBabita RamlalBabita RamlalBabita Ramlal

MOF, Revenue Operations &

Client Services

Sheila VanderlindeSheila VanderlindeSheila VanderlindeSheila Vanderlinde

MOF, Revenue Operations &

Client Services

Lijuan YuLijuan YuLijuan YuLijuan Yu

MGS, Archives of Ontario

Page 2: Managing Information in the OPS: Making the Transition from Paper to Electronic

SESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONE

From Framework to ImagingFrom Framework to Imaging

•• OPS IM FrameworkOPS IM FrameworkOPS IM FrameworkOPS IM FrameworkOPS IM FrameworkOPS IM FrameworkOPS IM FrameworkOPS IM Framework

• IM Strategy + IM Planning

• Imaging Defined

• Business Drivers for Imaging

2

• Business Drivers for Imaging

Preparing for ImagingPreparing for Imaging

• Business Requirements

• Technical Requirements

• Process Requirements

• Image Certification

Digital Records PreservationDigital Records Preservation

Page 3: Managing Information in the OPS: Making the Transition from Paper to Electronic

OPS IM FRAMEWORKOPS IM FRAMEWORKOPS IM FRAMEWORKOPS IM FRAMEWORKOPS IM FRAMEWORKOPS IM FRAMEWORKOPS IM FRAMEWORKOPS IM FRAMEWORK

3

Page 4: Managing Information in the OPS: Making the Transition from Paper to Electronic

SESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONE

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

4

• Business Drivers for Imaging

Preparing for ImagingPreparing for Imaging

• Business Requirements

• Technical Requirements

• Process Requirements

• Image Certification

Digital Records PreservationDigital Records Preservation

Page 5: Managing Information in the OPS: Making the Transition from Paper to Electronic

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

5

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

Page 6: Managing Information in the OPS: Making the Transition from Paper to Electronic

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

1. Determine operational

objectives

2. Identify approach to

achieve those objectives

6

achieve those objectives

3. Identify business

processes impacted

4. Identify alternatives for

business process

improvement**

Page 7: Managing Information in the OPS: Making the Transition from Paper to Electronic

“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED

“Record” means a record of information in any form,

including a record made, recorded, transmitted or

stored in digital form or in other intangible form by

electronic, magnetic, optical or any other means,

but does not include a mechanism or system for

7

but does not include a mechanism or system for

making, sending, receiving, storing or otherwise

processing information; (“document”)

Archives and Recordkeeping Act, 2006

Page 8: Managing Information in the OPS: Making the Transition from Paper to Electronic

“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED

“Public Record” means a record made or received by

a public body in carrying out the public body’s

activities, but does not include constituency

records of a minister of the Crown or published

works; (“document public”)

8

works; (“document public”)

Archives and Recordkeeping Act, 2006

Page 9: Managing Information in the OPS: Making the Transition from Paper to Electronic

“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED

“[Electronic RecordsElectronic RecordsElectronic RecordsElectronic Records are] records recorded in a form

that requires a computer or other digital device to

process it, and that otherwise satisfy the

definition of a record.”

9

Association of Records Managers and Administrators (ARMA)

When simplified, there are two types:

1. Structured (system-created, “standardized” content)

2. Unstructured (human-created, “free-form” content)

Page 10: Managing Information in the OPS: Making the Transition from Paper to Electronic

“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED“ELECTRONIC RECORD” DEFINED

� Electronic records can exist in single- or multi-media (image, text and sound)

� Metadata links content and structure to context (to provide records in recognizable form)

� Continuous accessibility is critical in the maintenance of

10

� Continuous accessibility is critical in the maintenance of electronic records

� Integrity essential for content to serve as unique evidence of business transactions

� Preservation of integrity requires record be reliable, complete, authentic, and possess sufficient context

Page 11: Managing Information in the OPS: Making the Transition from Paper to Electronic

SESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONE

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

11

• Business Drivers for Imaging

Preparing for ImagingPreparing for Imaging

• Business Requirements

• Technical Requirements

• Process Requirements

• Image Certification

Digital Records PreservationDigital Records Preservation

Page 12: Managing Information in the OPS: Making the Transition from Paper to Electronic

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”

12

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”

Page 13: Managing Information in the OPS: Making the Transition from Paper to Electronic

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

13

� Two origins for

Electronic Records:

• “Born-Digital”

• Converted/Digitized

Page 14: Managing Information in the OPS: Making the Transition from Paper to Electronic

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

14

• 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

Page 15: Managing Information in the OPS: Making the Transition from Paper to Electronic

15

Page 16: Managing Information in the OPS: Making the Transition from Paper to Electronic

SESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONE

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

16

•• 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

Page 17: Managing Information in the OPS: Making the Transition from Paper to Electronic

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:

17

� 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

Page 18: Managing Information in the OPS: Making the Transition from Paper to Electronic

BUSINESS DRIVERSBUSINESS DRIVERSBUSINESS DRIVERSBUSINESS DRIVERSBUSINESS DRIVERSBUSINESS DRIVERSBUSINESS DRIVERSBUSINESS DRIVERS

BUSINESS CONTINUITY

� Accessibility:

Remote access to vital

documents

� Resilience:

EFFICIENCY

� Cost Reduction:

Reduce cost of storage +

archiving

� Cost Reduction:

18

� Resilience:

Transferability of workflows

to alternate locations

� Replication:

Alternate restorable copies

of vital documents

� Cost Reduction:

Reduce processing +

workflow cost

� Cost Reduction:

Reduce information

handling cost

Page 19: Managing Information in the OPS: Making the Transition from Paper to Electronic

SESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONE

From Framework to ImagingFrom Framework to Imaging

• OPS IM Framework

• IM Strategy + IM Planning

• Imaging Defined

• Business Drivers for Imaging

19

• Business Drivers for Imaging

Preparing for ImagingPreparing for Imaging

• Business Requirements

• Technical Requirements

• Process Requirements

• Image Certification

Digital Records PreservationDigital Records Preservation

Page 20: Managing Information in the OPS: Making the Transition from Paper to Electronic

REQUIREMENT TYPESREQUIREMENT TYPESREQUIREMENT TYPESREQUIREMENT TYPESREQUIREMENT TYPESREQUIREMENT TYPESREQUIREMENT TYPESREQUIREMENT TYPES

1. Business Requirements

2. Technical Requirements

3. Process Requirements

20

3. Process Requirements

Page 21: Managing Information in the OPS: Making the Transition from Paper to Electronic

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

21

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

imaging staff to go over the specs.”

Page 22: Managing Information in the OPS: Making the Transition from Paper to Electronic

SESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONE

From Framework to ImagingFrom Framework to Imaging

• OPS IM Framework

• IM Strategy + IM Planning

• Imaging Defined

• Business Drivers for Imaging

22

• 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

Page 23: Managing Information in the OPS: Making the Transition from Paper to Electronic

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?

23

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?

Page 24: Managing Information in the OPS: Making the Transition from Paper to Electronic

METADATA + DIGITIZED RECORDSMETADATA + DIGITIZED RECORDSMETADATA + DIGITIZED RECORDSMETADATA + DIGITIZED RECORDSMETADATA + DIGITIZED RECORDSMETADATA + DIGITIZED RECORDSMETADATA + DIGITIZED RECORDSMETADATA + DIGITIZED RECORDS

�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

24

�Controlled Vocabularies and Taxonomies enable

users to find information they need

Page 25: Managing Information in the OPS: Making the Transition from Paper to Electronic

CLIENT BUSINESS REQUIREMENTSCLIENT BUSINESS REQUIREMENTSCLIENT BUSINESS REQUIREMENTSCLIENT BUSINESS REQUIREMENTSCLIENT BUSINESS REQUIREMENTSCLIENT BUSINESS REQUIREMENTSCLIENT BUSINESS REQUIREMENTSCLIENT BUSINESS REQUIREMENTS

1. Program Legislative or Policy Requirements

2. Objects, Events and Data required by Program

3. Business Rules re: Objects, Events and Data

4. Event Triggers and Outcomes

25

4. Event Triggers and Outcomes

5. Exception Events

6. Relationships between Users and Data

7. Relationships between Events, Users and Data

Page 26: Managing Information in the OPS: Making the Transition from Paper to Electronic

EXAMPLE: IMAGE PROCESSINGEXAMPLE: IMAGE PROCESSINGEXAMPLE: IMAGE PROCESSINGEXAMPLE: IMAGE PROCESSINGEXAMPLE: IMAGE PROCESSINGEXAMPLE: IMAGE PROCESSINGEXAMPLE: IMAGE PROCESSINGEXAMPLE: IMAGE PROCESSING

26

Page 27: Managing Information in the OPS: Making the Transition from Paper to Electronic

SESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONE

From Framework to ImagingFrom Framework to Imaging

• OPS IM Framework

• IM Strategy + IM Planning

• Imaging Defined

• Business Drivers for Imaging

27

• Business Drivers for Imaging

Preparing for ImagingPreparing for Imaging

• Business Requirements

•• Technical RequirementsTechnical RequirementsTechnical RequirementsTechnical RequirementsTechnical RequirementsTechnical RequirementsTechnical RequirementsTechnical Requirements

• Process Requirements

• Image Certification

Digital Records PreservationDigital Records Preservation

Page 28: Managing Information in the OPS: Making the Transition from Paper to Electronic

CLIENT TECHNICAL REQUIREMENTSCLIENT TECHNICAL REQUIREMENTSCLIENT TECHNICAL REQUIREMENTSCLIENT TECHNICAL REQUIREMENTSCLIENT TECHNICAL REQUIREMENTSCLIENT TECHNICAL REQUIREMENTSCLIENT TECHNICAL REQUIREMENTSCLIENT TECHNICAL REQUIREMENTS

1. Document preparation needs

2. Image preparation needs

3. Data capture needs (OCR, OMR, ICR)

4. Repository for the images

5. Storage Media for the images

28

5. Storage Media for the images

6. File format for the images

7. File format for the content data

8. Quality assurance required

9. Expected volume of imaging & digitizing

10. Processing Approach

11. Disposition of source documents

Page 29: Managing Information in the OPS: Making the Transition from Paper to Electronic

DATA CAPTURE TECHNOLOGIESDATA CAPTURE TECHNOLOGIESDATA CAPTURE TECHNOLOGIESDATA CAPTURE TECHNOLOGIESDATA CAPTURE TECHNOLOGIESDATA CAPTURE TECHNOLOGIESDATA CAPTURE TECHNOLOGIESDATA CAPTURE TECHNOLOGIES

�OCR (Optical Character Recognition)

Machine- and hand-printed data recognition

� ICR (Intelligent Character Recognition)

Advanced handprint and handwriting recognition

29

Advanced handprint and handwriting recognition

�OMR (Optical Mark Character Recognition)

Read tick marks within constrained areas

�Barcode (1D/2D) Reading

Extract information from preprinted patterns

Page 30: Managing Information in the OPS: Making the Transition from Paper to Electronic

TECH REQUIREMENTS EXAMPLETECH REQUIREMENTS EXAMPLETECH REQUIREMENTS EXAMPLETECH REQUIREMENTS EXAMPLETECH REQUIREMENTS EXAMPLETECH REQUIREMENTS EXAMPLETECH REQUIREMENTS EXAMPLETECH REQUIREMENTS EXAMPLE

� Archives’ Minimum Requirements for

Images of Archival Value (High-Resolution Masters)

• RGB 300dpi / Greyscale 600dpi

• 8-bit color depth

30

• 8-bit color depth

• Uncompressed TIFF master image

• Output size 8”x10”

(RGB 2400x3000 px / greyscale 4800x6000 px)

�Business may decide to go RGB 600dpi

Page 31: Managing Information in the OPS: Making the Transition from Paper to Electronic

BROAD TECHNICAL REQUIREMENTSBROAD TECHNICAL REQUIREMENTSBROAD TECHNICAL REQUIREMENTSBROAD TECHNICAL REQUIREMENTSBROAD TECHNICAL REQUIREMENTSBROAD TECHNICAL REQUIREMENTSBROAD TECHNICAL REQUIREMENTSBROAD TECHNICAL REQUIREMENTS

�Guided by OPS I&IT Policies and Directives

• Infrastructure

• Security

• Access

31

• Access

• Storage & Retrieval

• System integration

�System and network architecture planning

Page 32: Managing Information in the OPS: Making the Transition from Paper to Electronic

SESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONE

From Framework to ImagingFrom Framework to Imaging

• OPS IM Framework

• IM Strategy + IM Planning

• Imaging Defined

• Business Drivers for Imaging

32

• 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

Page 33: Managing Information in the OPS: Making the Transition from Paper to Electronic

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

33

�Define and document actions throughout

the data processing cycle.

� Identify potential for business process integration

Page 34: Managing Information in the OPS: Making the Transition from Paper to Electronic

DEFINING THE WORKFLOWSDEFINING THE WORKFLOWSDEFINING THE WORKFLOWSDEFINING THE WORKFLOWSDEFINING THE WORKFLOWSDEFINING THE WORKFLOWSDEFINING THE WORKFLOWSDEFINING THE WORKFLOWS

� Sequence of operations to complete specific tasks

�Developing workflow models involves identifying• Inputs

• Outputs

• Actions

34

• Actions

• Relationships

� Examples:• Procurement

• Payment processing

• Forms processing

Page 35: Managing Information in the OPS: Making the Transition from Paper to Electronic

IMAGING + ELECTRONIC WORKFLOWSIMAGING + ELECTRONIC WORKFLOWSIMAGING + ELECTRONIC WORKFLOWSIMAGING + ELECTRONIC WORKFLOWSIMAGING + ELECTRONIC WORKFLOWSIMAGING + ELECTRONIC WORKFLOWSIMAGING + ELECTRONIC WORKFLOWSIMAGING + ELECTRONIC WORKFLOWS

� 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

35

• 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

Page 36: Managing Information in the OPS: Making the Transition from Paper to Electronic

EXAMPLE EXAMPLE EXAMPLE EXAMPLE EXAMPLE EXAMPLE EXAMPLE EXAMPLE –––––––– WORKFLOW INITIATIONWORKFLOW INITIATIONWORKFLOW INITIATIONWORKFLOW INITIATIONWORKFLOW INITIATIONWORKFLOW INITIATIONWORKFLOW INITIATIONWORKFLOW INITIATION

36

Page 37: Managing Information in the OPS: Making the Transition from Paper to Electronic

EXAMPLE EXAMPLE EXAMPLE EXAMPLE EXAMPLE EXAMPLE EXAMPLE EXAMPLE –––––––– IMAGING + DIGITIZINGIMAGING + DIGITIZINGIMAGING + DIGITIZINGIMAGING + DIGITIZINGIMAGING + DIGITIZINGIMAGING + DIGITIZINGIMAGING + DIGITIZINGIMAGING + DIGITIZING

37

Page 38: Managing Information in the OPS: Making the Transition from Paper to Electronic

SESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONE

From Framework to ImagingFrom Framework to Imaging

• OPS IM Framework

• IM Strategy + IM Planning

• Imaging Defined

• Business Drivers for Imaging

38

• Business Drivers for Imaging

Preparing for ImagingPreparing for Imaging

• Business Requirements

• Technical Requirements

• Process Requirements

•• Image CertificationImage CertificationImage CertificationImage CertificationImage CertificationImage CertificationImage CertificationImage Certification

Digital Records PreservationDigital Records Preservation

Page 39: Managing Information in the OPS: Making the Transition from Paper to Electronic

WHY CERTIFY?WHY CERTIFY?WHY CERTIFY?WHY CERTIFY?WHY CERTIFY?WHY CERTIFY?WHY CERTIFY?WHY CERTIFY?

� Legal Record considerations: Admissible as evidence in court of law?

� Prove accuracy of the copy

� Prove copy has not been changed or altered

39

� Prove copy has not been changed or altered

� Applies to copies in any media:• Physical photograph

• Digital image

�Certification of the system and process

Page 40: Managing Information in the OPS: Making the Transition from Paper to Electronic

IMAGE CERTIFICATIONIMAGE CERTIFICATIONIMAGE CERTIFICATIONIMAGE CERTIFICATIONIMAGE CERTIFICATIONIMAGE CERTIFICATIONIMAGE CERTIFICATIONIMAGE CERTIFICATION

Further technical requirements based on the following standards and legislation:

• CGSB 72.11 (Foundation of existing Certification)

• CGSB 72.34 (Replaces 72.11)

40

• CGSB 72.34 (Replaces 72.11)

• E-Commerce Act

• FIPPA

• Sedona Canada Principles

• Uniform Electronic Evidence Act

Page 41: Managing Information in the OPS: Making the Transition from Paper to Electronic

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

41

� Certified Imaging and Data Capture

� Advice on Image Certification

� Taxonomies and Controlled Vocabularies

� Forms Design to facilitate metadata capture and enhanced Search and Retrieval

� Project Management

Page 42: Managing Information in the OPS: Making the Transition from Paper to Electronic

SESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONESESSION MILESTONE

From Framework to ImagingFrom Framework to Imaging

• OPS IM Framework

• IM Strategy + IM Planning

• Imaging Defined

• Business Drivers for Imaging

42

• Business Drivers for Imaging

Preparing for ImagingPreparing for Imaging

• Business Requirements

• Technical Requirements

• Process Requirements

• Image Certification

Digital Records PreservationDigital Records Preservation

Page 43: Managing Information in the OPS: Making the Transition from Paper to Electronic

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

43

Page 44: Managing Information in the OPS: Making the Transition from Paper to Electronic

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

44

� 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

Page 45: Managing Information in the OPS: Making the Transition from Paper to Electronic

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

45

electronic records

�Archives of Ontario: to ensure preservation ofelectronic records of archival value

“Guideline for Transferring Electronic Records to the Archives of Ontario”

Page 46: Managing Information in the OPS: Making the Transition from Paper to Electronic

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

1. Investigate + identify e-records requiring long-term preservation

2. Define preservation requirements

3. Understand technical features of the records

4. Consider current and near-future technology

46

4. Consider current and near-future technology

5. Conduct risk and cost-benefit analyses

6. Determinemost feasible preservation method(including migration considerations)

7. Develop preservation plan

8. Revisit and update plan every three years

Page 47: Managing Information in the OPS: Making the Transition from Paper to Electronic

IMPORTANT STANDARDS + LEGISLATIONIMPORTANT STANDARDS + LEGISLATIONIMPORTANT STANDARDS + LEGISLATIONIMPORTANT STANDARDS + LEGISLATIONIMPORTANT STANDARDS + LEGISLATIONIMPORTANT STANDARDS + LEGISLATIONIMPORTANT STANDARDS + LEGISLATIONIMPORTANT STANDARDS + LEGISLATION

� ISO 10196:Document Imaging Applications –Recommendations for the Creation of Original Documents

� ISO 15801:2004 Electronic imaging - Information stored electronically -Recommendations for trustworthiness and reliability

� CAN/CGSB 72.34.1993: Electronic Records as Documentary Evidence

� CAN/CGSB 72.11.2005: Microfilm and Electronic Images as Documentary Evidence

� AIIM MS52:Recommended Practice for the

47

Recommendations for trustworthiness and reliability

� ISO 19005-1:2005 Document management - Electronic document file format for long-term preservation - Part 1: Use of PDF 1.4 (PDF/A-1)

� ISO 23081-1:2004:Records management processes –Metadata for records – Principles

� Sedona Canada Principles

Recommended Practice for the Requirements and Characteristic of the Original Documents Intended for Optical Scanning

� AIIM TR15:Planning Considerations, Addressing Preparation of Documents for Image Capture

� ANSI/ARMA 16-2007:The Digital Records Conversion Process: Program Planning, Requirements, Procedures

Page 48: Managing Information in the OPS: Making the Transition from Paper to Electronic

CONTACT INFOCONTACT INFOCONTACT INFOCONTACT INFOCONTACT INFOCONTACT INFOCONTACT INFOCONTACT INFO

ROCSB RIM Contact:

Babita Ramlal

(416) 325-4655

(905) 442-3960

Email: [email protected]

Archives of Ontario Contact:

Lijuan Yu

(416) 327 1588

Email: [email protected]

48

ROCSB Imaging Contact:

Sheila Vanderlinde

(905) 433-5823

(905) 441-0800

Email: [email protected]