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									                                           The City of Edmonton

                                                   E-Records Project

                                                     Project Charter

                        A project to develop a corporate wide strategy for managing electronic records

                                                      June 12, 2003

                             ___________________                     ______________________
                                 Project Owner                            Project Sponsor

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                                                    Table of Contents

                                Introduction                               3

                                Project Scope                              6

                                       Goals and Objectives                6
                                       Deliverables                        6
                                       Scope                               7

                                Project Execution                          8

                                       Approach                            8
                                       Plan Summary                        8
                                       Management Approach                 8
                                       Roles and Responsibilities          9

                                     Appendix A – Issue Work Sheet         11
                                     Appendix B - Communication Strategy   12

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                                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.


                                Activities have been and are underway in a variety of departments. Efforts are at various
                                stages of progress.

                                 April, POSSE is first implemented in Planning and Development to improve customer
                                 June, FileNET is acquired by Accounts Payable

                                 January, Bylaw Ticket Administration and Payment Processing implements FileNET

                                 June, SAP cheques are stored in FileNET

                                 July, Records/Document/Workflow Management IT Project is initiated
                                 July, Policy A1410B – Corporate Records & Information Management is approved and
                                 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

                                 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

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                                 January, Ambulance Trip information is stored on FileNET by Emergency Response
                                 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

                                 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
                                 September, Commercial POSSE in Emergency Response Department
                                 December, Commercial POSSE planned for Drainage Services of Asset Management
                                   & Public Works

                                 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.


                                    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
                                    Long term accessibility of information with archival value in an electronic format is not
                                    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.

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                                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


                                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

                                Values (assumed truths)
                                 Electronic records are a key corporate resource and must be managed effectively and
                                 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

                                 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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                                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
                                 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
                                   Develop processes for gathering relevant information
                                   Determine a schedule for evaluation
                                   Develop processes for response activity

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                                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


                                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                                 Target Date
                                 Phase I - Project Initiation                             Sep 2002 – Dec 2003
                                 Phase II - Development of Model, and                     Nov 2003 – May 2004
                                 Evaluation of Current Status & Cost Benefit
                                 Phase III – Detailed Design                                 May - Jun 2004
                                 Phase IV - Project Prioritization                            Jun – Jul 2004
                                 Phase V – Product Acquisition and                         Jun 2004 – Aug 2005
                                 Phase VI - Continuous Improvement                            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           Project Owner
                                        (Rick Millican)      (D Edey & S Thompson)

                                     E-Records Steering             Project Manager
                                        Committee                 (Denise Lamontagne)

                                       Working Groups /
                                       Delivery Teams

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                                Role Definition Table

                                          Role                              Responsibility
                                Project Sponsor            Champion project to Senior Management
                                                           Participate in Steering Committee meetings
                                                           Participate in issue resolution
                                                           Facilitate departmental participation
                                Project Owner              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
                                Project Manager            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
                                Steering Committee         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
                                                           Facilitates access to required resources
                                                           Identify departmental issues and participate in
                                                            issue resolution.
                                Working Groups             Issue specific research
                                                           Status reporting to steering committee chair
                                                           Resources can be drawn from Departmental
                                                            Records Coordinators and FOIP Coordinators
                                Delivery Teams             Participate in implementation project
                                                           Status reporting to steering committee chair

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                            Issue Resolution Worksheet
                                Appendix A – Issue Resolution Work Sheet






                            Action Plan


                                      Project Manager                        Project Owner

                                           Date:                              Date:
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                                 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
                                  Key stakeholders will be involved in developing definitions, guidelines and minimum
                                  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                   Description/Characteristics
                              SMT/ IT Governance            Sanctions the project
                              Committee                     Types of Communications: Executive presentations, status reports at phase
                                                             initiations and completions.
                              Dept Mgmt Teams               Validates the value of project goals
                                                            Senior posts within each department that are key in obtaining resources
                                                             and participation
                                                            Types of Communications: business focused presentations at project
                                                             initiation, status reports specific to department interests
                              Office of the City Clerk      Project Owner
                                                            Guide the project manager through internal approval processes
                                                            Support issue resolution
                                                            Types of Communications: Very focused and concise, supporting decisions
                                                             to be made regarding the support of the project.
                              Information Technology        Supports the initiative
                                                            This area is a key partner in this initiative particularly in planning for and
                                                             managing the logistics of implementation
                                                            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.
                              Steering Committee            Consists of departmental representation and technical expertise
                                                            Ensures awareness of the initiative at the management level
                                                            Facilitate access to required resources
                                                            Types of Communications: Very direct and clear information that is
                                                             concisely stated. Much of the communication with them will occur through
                                                             committee meetings.
                              CRAG and FOIP Network         Departmental records coordinators and FOIP coordinators
                                                            Act as a resource for department staff
                                                            Participate as required on working groups
                                                            Types of Communications: Updates through agenda items at CRAG
                              Desktop Users                 Individuals effected by changes
                                                            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.

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