The City of Edmonton
E-Records Project
Project Charter
A project to develop a corporate wide strategy for managing electronic records
June 12, 2003
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Project Owner
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______________________
Project Sponsor
Table of Contents
Introduction
3
Project Scope
6
Goals and Objectives
Deliverables
Scope
Project Execution
Approach
Plan Summary
Management Approach
Roles and Responsibilities
Appendices
Appendix A – Issue Work Sheet
Appendix B - Communication Strategy
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Introduction
The City of Edmonton has identified the need to address electronic record issues at both
the corporate level and department level. Electronic records in the context of business
processes are the official record of the corporation. The goal of the E-Records project is to
create an integrated, robust solution for managing electronic records.
The unstructured, non-database electronic records (word, e-mail, excel, Power Point, etc.)
present the most diverse set of issues. The solution will consist of policy, practices, roles,
responsibilities and accountabilities, guidelines, and business rules. Consideration of an
electronic document management system (EDMS) for implementation throughout the
Corporation is a key element.
Policy documents and retention schedules will be developed for database systems. These
documents will represent corporate interests and provide direction for future system
developments and enhancements.
History
Activities have been and are underway in a variety of departments. Efforts are at various
stages of progress.
1995
 April, POSSE is first implemented in Planning and Development to improve customer
service
 June, FileNET is acquired by Accounts Payable
1996
 January, Bylaw Ticket Administration and Payment Processing implements FileNET
1997
 June, SAP cheques are stored in FileNET
1999
 July, Records/Document/Workflow Management IT Project is initiated
 July, Policy A1410B – Corporate Records & Information Management is approved and
published
 October, Freedom of Information and Protection of Privacy legislation comes into effect
for local public bodies
 October, Gartner Group completes work, recommendation accepted that where
possible departmental systems will be discontinued in favour of enterprise-wide
applications (identified common computing applications as desktop applications such
as e-mail, document management, workflow, and business intelligence
2000
 January, Records/Document/Workflow Management IT Project makes a presentation
to Senior Management Team.
 May, Material Safety Data Sheets (MSDS’s) are stored on FileNET by Materials
Management
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2001
 January, Ambulance Trip information is stored on FileNET by Emergency Response
Department
 June, OmniRIM implemented in the Corporate Records Centre
 June, SAP Portable Document Formats (PDF’s) are stored on FileNET
 August, SAP financial information is stored on FileNET
 September, ADVISOR 2001 Project Team is formed to review current structure and
identify a future state design for the Assessment & Taxation Branch.
 September, Office of the City Clerk identifies non-compliance to Policy A1410B for
electronic records, acquires budget dollars and a position
2002
 February, Commercial POSSE implemented in Transportation & Streets, Public Works,
Financial Services
 May, Commercial POSSE implemented in Development Compliance Branch
 August, Office of the City Clerk introduces Electronic Records Management
Administrator
 September, Commercial POSSE in Emergency Response Department
 December, Commercial POSSE planned for Drainage Services of Asset Management
& Public Works
2003
 March, Commercial POSSE planned for Land & Housing of Asset Management &
Public Works
 June, OmniWeb planned for Corporate Records Centre and roll out to Departmental
Records Coordinators.
Issues
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Electronic records created using desktop tools such as e-mail, Word, Excel, Access,
Power Point (non-structured data) are uncontrolled and growing volumes are a
complicating factor. Risks stem from costs to manage and store, retrieval time for
staff, response time and effort for FOIP requests, and loss of public confidence in the
event of unauthorized disclosure.
Inconsistent recognition of electronic records as official records has resulted in
practices that are not intended to support long term organizational needs. The
resultant risk for the corporation is not being able to meet legislated obligations or
respond effectively during litigation.
Multiple systems are being considered and/or implemented for the purpose managing
electronic records. Issues include:
 systems not being used to full potential,
 systems being used to provide solutions they were not built to perform,
 required functionality is not fulfilled,
 management and maintenance of computer systems is complicated for the IT
group.
Long term accessibility of information with archival value in an electronic format is not
guaranteed.
Structured databases in use by the City of Edmonton do not have defined retention
schedules developed. The capability to implement retention currently exists in a
limited form within SAP only. Information maintained in an active environment beyond
its active value is takes up storage space, requires more effort to manage, complicates
searching of high-activity information, and presents a legal liability.
Links to Corporate Goals
The E-Records project is anticipated to complement and support other activities in
progress around the corporation. A record management system (OmniRIM) is in place for
semi-active hardcopy records and a workflow system (POSSE) is in place.
The E-Records project links to corporate goals by providing the tools to each department to
optimize information utilization and management. Document management is identified as
one of the common computing applications in the City of Edmonton’s Enterprise
Information Systems. The E-Records Project specifically contributes to corporate goals by:
 Establishing a standard for departments to use when considering solutions to
information management issues.
 Selecting and implementing an electronic document management system (EDMS).
 Identifying information retention requirements for use in system enhancements and
future system development/acquisition.
Summary of Business Case
Corporate Policy A1410B is not being followed as it pertains to electronic records
anywhere across the Corporation. Even as it pertains to management of records in paper
form, improvements need to be made in the consistent application of the policy. Requests
for records under the Freedom of Information and Protection of Privacy Act (FOIP) are
more challenging, and time consuming, because of the absence of management of
electronic records. As the corporate ‘owner’ responsible for the City’s records, the Office of
the City Clerk, feels the Corporation must proceed to minimize the risks with an electronic
record project. Both Senior Management Team and City Council have supported this
business case by the allocation of both capital and operating dollars to this initiative.
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Project Scope
Goals
A corporate wide program of systematic processes, practices and tools is in place for
managing electronic records. The following values and principles are apparent in the
program.
Values (assumed truths)
 Electronic records are a key corporate resource and must be managed effectively and
efficiently
 Electronic records are an official record of the Corporation
 Electronic records are a shared resource and accessible to those who need it
 Electronic records are protected against unauthorized access and against malicious or
unintentional tampering
Principles
 Accountability for managing and maintaining information is clear and well defined
 Individual right to privacy is ensured at all times, during collection, use, and disclosure
 Information supports the business direction of the departments and the corporation as
a whole
 Processes are in place to ensure accuracy of information when information is captured,
stored and used; the context (purpose for collection) and transformation rules (which
govern how the information may be modified) are documented and made available to
staff or public as appropriate.
 Information is available or delivered in an effective and timely manner for its intended
purpose and recipient
 Information is managed throughout its entire life, from creation/collection, storage,
access, use, to disposal or long term preservation
 Information is managed in a way that is affordable and sustainable
 Information that is lost is recoverable within time frames specified by corporate /
department standards and priorities
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Objectives
Phase I - Project Initiation (current)
 Set the foundation for the Steering Committee and advisory groups regarding the
Electronic Records Management Program for managing electronic records within the
City of Edmonton.
 Define E-Records Project Steering Committee terms of reference
Phase II - Development of Model
 Establish a standard for managing electronic records through consistent business
rules.
 Introduce an accountability role for managing information in the departments.
 Establish a set of measurements for defining the success of the initiative
 Identification of existing practices and tools.
Phase II (a) - Evaluation of Current State and Cost Benefit Analysis
 Need assessment, determine required functionality
 Requirements definition, solutions
 Cost benefit analysis
 Approval of model
Phase III – Detailed Design
 Compare current state to vision and rules
 Determine steps needed to achieve vision
 Develop transition plan including roles and tasks
Phase IV - Project Prioritization and Implementation Plan
 Development of evaluative criteria
 Evaluation of identified in scope projects
 Prioritization of projects
 Develop implementation plans for each department, identification of roles
Phase V – Product Acquisition
 Identify required functionality
 Selection Process
Phase V (a) Implementation
 Delivery of solutions, as required
 Implementation of processes
 Staff training
Phase VI - Continuous Improvement
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Develop processes for gathering relevant information
Determine a schedule for evaluation
Develop processes for response activity
Deliverables
Phase I
 Project Charter
 Steering Committee Membership and Terms of Reference
Phase II
 Documented business rules, practices, guidelines, and standards
 Documented roles, responsibilities, and accountabilities
 Current state assessment and cost benefit analysis
Phase III
 Transition plan
Phase IV
 Documented implementation priorities
 Tactical plans
Phase V
 Automated system (e.g. EDMS)
 Training materials
 Retention schedules
Phase VI
 Evaluation tools
 Documented processes and practices
Scope
All city departments reporting to the City Manager as well as the Office of the City Auditor
are participating in this initiative. Non-structured electronic records throughout the entire
life cycle are in scope for this project.
The focus of work related to large database systems (e.g. POSSE, SLIM) is on determining
information retention requirements. The implementation of these retention requirements
will not be completed during this project. The retention schedules resulting from the project
are tools for future system development and enhancements.
The budget for this project is currently $650,000.00. These dollars are designated as
capital and may be used for acquisition of products or services. Specifically $512k
allocated for 2002 carried over into 2003; in 2006 another $138k allocated.
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Project Execution
Project Approach
The Office of the City Clerk is the owner of the E-Records project; this office provides the
budget and the project manager. A steering committee consisting of departmental
representation and technical expertise direct the project, participate in high level
deliverable development, and ensure resources are available for specific tasks as required.
The project manager chairs the steering committee.
Resources not readily available in the Corporation may be contracted to support the work
of the committee.
Project Plan Summary
Milestones
Phase I - Project Initiation
Phase II - Development of Model, and
Evaluation of Current Status & Cost Benefit
Analysis
Phase III – Detailed Design
Phase IV - Project Prioritization
Phase V – Product Acquisition and
Implementation
Phase VI - Continuous Improvement
Target Date
Sep 2002 – Dec 2003
Nov 2003 – May 2004
May - Jun 2004
Jun – Jul 2004
Jun 2004 – Aug 2005
Aug – Oct 2005
*dates are subject to change
Project Management Approach
Issues Management
Issue identification and management is a partnership activity between the steering
committee, the project manager, and the project owner. The following tools are used to
manage and resolve issues:
Project Charter – provides the baseline against which issues are assessed by the
project manager.
Issue Worksheet – pertinent summary information on every issue is documented
on a worksheet. See appendix A – Issue Worksheet.
Status Reporting
Biweekly status reports are provided to the project owner and project sponsor. Emergent
issues are escalated as required to resolve issues effectively and efficiently.
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Roles and Responsibilities
Project Organization Chart
Project Sponsor
(Rick Millican)
E-Records Steering
Committee
Working Groups /
Delivery Teams
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Project Owner
(D Edey & S Thompson)
Project Manager
(Denise Lamontagne)
Role Definition Table
Role
Project Sponsor
Project Owner
Project Manager
Steering Committee
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Working Groups
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Delivery Teams
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Responsibility
Champion project to Senior Management
Team
Participate in Steering Committee meetings
Participate in issue resolution
Facilitate departmental participation
Ensures corporate wide goals are met
Chair the steering committee
Provides budget
Provides direction to project manager
Project advocacy and spokesman
Initiative management within the corporate
context
Create initial documentation for all deliverables
Manage the project
Lead and/or advise working groups
Lead and/or advise delivery teams
Identify issues, participate in issue resolution,
document issues and resolutions
Plan activities
Engage resources
Co-ordinate efforts and resources
Monitor and report
Finalize committee terms of reference
Participate in the development of the model
Ensures awareness of the initiative at the
departmental management level
Identify department priorities and project
impacts/risks
Facilitates access to required resources
Identify departmental issues and participate in
issue resolution.
Issue specific research
Status reporting to steering committee chair
Resources can be drawn from Departmental
Records Coordinators and FOIP Coordinators
Participate in implementation project
Status reporting to steering committee chair
Issue Resolution Worksheet
Appendix A – Issue Resolution Work Sheet
Issue
Background
Impacts
Options
Recommendation
Action Plan
Approvals
__________________________
___________________________
Project Manager
Project Owner
Date:
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Date:
Appendix B – Communication Strategy
Key Messages
 Information is an important resource the City must manage effectively and efficiently
for optimal corporate health.
 A variety of business areas manage electronic records in a variety of ways; the
Electronic Records Management Strategy (ERMS) will not necessarily change existing
systems.
 Key stakeholders will be involved in developing definitions, guidelines and minimum
standards.
 An ERMS will save time and resources and make sharing, managing and protecting
information easier.
 The City of Edmonton must develop an ERMS now to deal with the growth of
information and changing technology.
Audience
SMT/ IT Governance
Committee
Dept Mgmt Teams
Office of the City Clerk
Information Technology
Steering Committee
CRAG and FOIP Network
Desktop Users
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Description/Characteristics
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Sanctions the project
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Types of Communications: Executive presentations, status reports at phase
initiations and completions.
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Validates the value of project goals
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Senior posts within each department that are key in obtaining resources
and participation
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Types of Communications: business focused presentations at project
initiation, status reports specific to department interests
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Project Owner
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Guide the project manager through internal approval processes
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Support issue resolution
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Types of Communications: Very focused and concise, supporting decisions
to be made regarding the support of the project.
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Supports the initiative
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This area is a key partner in this initiative particularly in planning for and
managing the logistics of implementation
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Types of Communications: The group will be communicated with primarily
through Steering Committee representation, additionally status updates
including future implications, specific communications regarding roles, skill
groups, etc.
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Consists of departmental representation and technical expertise
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Ensures awareness of the initiative at the management level
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Facilitate access to required resources
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Types of Communications: Very direct and clear information that is
concisely stated. Much of the communication with them will occur through
committee meetings.
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Departmental records coordinators and FOIP coordinators
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Act as a resource for department staff
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Participate as required on working groups
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Types of Communications: Updates through agenda items at CRAG
meetings.
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Individuals effected by changes
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Types of Communications: They need to know the project exists and is
successful but have limited need for more information beyond awareness.
Communications for this group will be on a mass distribution basis as the
project progresses into active phases.