April 19, 2023

Implementation of an ERMS Scanning: Using Records Information Management

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Agenda

• Introduction

• Purpose of the Project

• Understanding the Process

• Digitizing Concerns

• Functionality of Software, Training

• Statistics

• Lessons Learned

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NOAA Fisheries Service is responsible for the stewardship of the nation's living marine resources and their habitat.

Who Are We

We are further responsible for the management, conservation and protection of living marine resources within the United States ‘Exclusive Economic Zone’

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Purpose of the Project

• To digitize and store Southeast Region (SERO) data in an electronic records environment for future utilization in the event of a natural disaster

• Response to litigation

• Increase efficiency of operations

• Compliance with COOP and other Presidential Directives and Code of Federal Regulation

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Edicts & Support from Management

• The project received unparalleled support from management

• Project Team was instructed which branch/division to incorporate into the system first as well as which recordsto focus on

• NARA Representative was consulted from the very start of project. Her expertise was needed.

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First Hurdle

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

Necessary features – we needed to ensure the software possessed:

DoD 5015.2: Design Criteria Standard For Electronic Records Management Software Applications Dept. of Justice : Legal Considerations in Designing and Implementing Electronic Processes: A Guide for Federal Agencies ISO 15489: Information Documentation – Records ManagementAuthenticity – Reliability – Integrity - Usability

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Software Selected & Purchased

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

Installation of the software loaded smoothly with a quick deployment

A Records Management module was installed at the same time.

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Laserfiche Functionality

• Image Capture and OCR

• Full text searching or proximity searching

• Retention assigned at the folder level

• Out the box features include: redaction, document linking, bates numbering, stamps, sticky notes, version control, auditing, workflow, digital signatures and plugs-in with Microsoft Office suite (* Ver. 8.3)

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Trouble at Scanning Central

• Contractor said – their staff was experienced in scanning – Not True

• Scanning staff was given misleading information about potential future work

• Staff not suited for the work

• Resistance to management directives

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Delay of Project

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

• The need to secure another contractor caused the project to be delayed for seven months.

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Role of the Integrator

• Integrator was hired to implement scanning, training and capture metadata only

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

• Support for product implementation was great

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Project Management Plan

Project Management Plan (PMP) is a set of operational

rules that will define a project.

You can define your approval authorization, goals,

objectives, schedule (start & end), scope, resources, roles,

funding, deliverables and any associated risks.

The importance level of a PMP for any project is mandatory. This document will serve as your road map.

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Empowering User’s with Training

• Training was provided to users within the each department – by our Integrator

• However, users will forget - plan for a refresher course

• During the refresher training utilizing their data, customization is key. This will eliminate the “new software product” intimidation

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Statistics

Branch/DivisionTotal Number

Folders/Entry ScannedTotal

Digitized

Constituency Services (Permits: Vessel, Dealers, Operator Card etc)

95,000

192,000

2.3 million

5 million

Sustainable Fisheries 18,904 700,000

Protected Resources - Research Library - File Plan Items

4,500 (In Progress)

150,000(In Progress)

Other Projects (On Going)

• FOIA’s and related materials , Lawsuits, Emails and Travel Authorizations

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Timeline of EventsKey Components, Tools and Strategy Used

Logo

text

text

2009200820072005

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5

1 24

6

Research/Consultations

Approved by Senior Mgmt

PurchaseSoftware, Servers,

Periphals & Supplies

Elevated

2010

Workflow

Users are now requestting

access for daily use,

Litigation climbing

Empowered

Users, Trained them with their

own data.

Created customized

querys templates

PMP Guidance Finalized

Trainingrolled out to users, Added licenses and

modules

Documented Usuage

Loss Integator

Laserfiche RIO

Enterprise Architecture

RM & DM Repository

Contracts/ Budget

Delays and Integrator Acquired

Legacy Data Populated ahead

of schedule

2011 2012

Elevated

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FACT

Managing information to support compliance

is a monumental challenge for

most governmental agencies.

In the last 8 years – SERO has taken on this

challenge and made significant improvements in

records information management

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Where’s the Project Now

Scanning contract has been reduced from 7 to 2 contract employees;

Digitization & Coding of the following Division/Branch /Special Projects:

Constituency Service Branch (Completed) Permits

Sustainable Fisheries Service (Completed)

Red Snapper Historical Files (Completed) space has been converted into a workout center for employees

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Where’s the Project Now (Continued)

High Density Filing systems and other filing cabinets and have been removed and new offices have been built for new staff

Travel Authorization Files (Legacy Completed) Daily Use – in all Divisions

Effective FOIA responses - (Daily Use)

Effective responses and compiling of Lawsuits for electronic submission court

New electronic Workflow processes and procedures are being tested daily to eliminate the use of paper.

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Lessons Learned

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

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

• Project Management Tools are valuable. Create a project management plan defining all of your resource. Get management to sign off on this document.

• Be careful when utilizing a temp service to perform doc prep – (you may run into training issues, turnover’s and mishandling of valuable - PII)

• Keep management informed at a more detailed level

• Never stop documenting the chronology of the project

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Questions

Contact Information:

Gwendolyn L. SanderlinInformation Technology Specialist, ERM Project Manager

NOAA Fisheries ServiceSoutheast Regional Office263 13th Avenue South

Saint Petersburg, Florida 33702Gwen.Sanderlin@noaa.gov

(727) 551-5709