selection and implementation Of technology for recordkeeping
Thursday, June 7, 2007

Introduction

City West Water ltd.
City West Water is a water retail company in Melbourne and owned by Victorian Government. The purposes of City West Water Company are to provide drinking water, sewerage, trade waste and recycled water services. Their customers approximately 276.000 residential and 31.300 non-residential (industry and commercial), their service area include Melbourne’ Central Business District (CBD) area, inner and western suburbs. 34% of their customers are non English speaking language. Actually this company has relative with South East Water and Yarra Valey Water Company, City West Water, comparing to those companies, City West Water only cover small area and customers.
The company vision is a truly sustainable water business, and the mission is to guarantee affordable and safe water for today and tomorrow, while their values are integrity, leadership, innovation, and respect.
The company is operated by board of directors that appointed by their stakeholders, the Victorian State Government. Those directors have skill in business and many range expertises such as management, engineering, financial, legal, and environmental. This company employs 230 staffs who work in many range areas such as customer service, conservation and environment, engineering, trade waste, recycling and development, cleaner production and finance.
The company stakeholders consist of customers, the community, staffs, suppliers, government, and others. Those stakeholders are involves in company planning and decision making in such a ways, such as through community liaison committee and customer and community engagement committee.
The company’ service is user based, and as a utility company City West Water is the only company that provide water for Melbourne CBD area and western suburbs, so the customers who live in that area didn’t have other choice. This issue is become challenge for the City West Water, how to give a good service, how to treat the customers complain, how to increase their services, and how to satisfied customers. There is no competitor doesn’t mean that they don’t give a better service to customers.
Those aims can be reach if City West Water has good recordkeeping and document management system. In this case, the recordkeeping and document management can help improving services, make a good decision making both for company and customers. Document and record for this company is the important thing. The transaction between customer and company, the customers’ document, the supplier document, customers complain document, payment document, staff, report, annual report, meeting report, problem solving report document, and many more.
Document for every company become urgent aspect that should be managed. The emerging the new technology tries to help to solve the document managing problem. In the past time the document is kept in the filing cabinet, for big company need a big number of filing cabinet and need longer time to retrieve their documents, now many company are helped by the recordkeeping software that been sold broadly.

Existing Recordkeeping System

This City West Water Company still has traditional and un-manage electronic recordkeeping system. This company has centralized hardcopy filing system, and managed by the records management department. These systems only capture 60% of hardcopy document of organization and mostly correspondence, memos, reports, minutes of meeting, email, file notes, etc. The company has already electronic recordkeeping system called FileMan that dealing with individual document in record department. This document is indexed electronically by title, date, owner, and location. The company only uses MS office products (Word, Excel, Powerpoint, and Project), email, MS access database to create and distribute their document.
The company has intranet to distribute general information and electronic forms, and internet website to communicate with public and customers. The electronic documents are saved in various location PC drive, personal drives on network, shared drives on network, and on laptop. There is no special regulation and procedure about the electronic document. File clean up is done periodically by instruction of the IT department, and there is no file back up for laptop and PC drive.
Now the Board of Directors facing the legal, business, and governance risks by not managing its information appropriately across the company. A strategy is developed in 2007 to implement a robust recordkeeping infrastructure to bring the organization into digital recordkeeping world.

Parties Involved

1. The board of directors usually these people only access final report document in such area. Those documents are used for decision making, analysis, and planning process. These people didn’t deal with single form document.
2. Staff: customer service, these staffs usually access the customers detail document, the bill information, the application forms. Customer service also interacts with customers and dealing with phone, email, and letter document.
3. Finance department, this department deal with employees’ payroll document, customers’ payment document, and company financial document. The customer’s bill payment document also can be accessed by the customer service.
4. Engineering deal with customers’ document about water installation, document about water service area.

The Problems

1. There is no procedure and regulation how to tread the document (back up, disposal, clean up)
2. The existing recordkeeping only deal with email, and hardcopy document, however the company deals with voice document, image, map, and web document.
3. The company document is mostly hardcopy, and it’s difficult to convert all of that document into electronic. The only way is use scanner, and it will takes time and money.
4. This company only uses MS office and email as their document author, however they need another version if they want electronic document, such as PDF, html, xml, Mpeg, JPG
5. The document not integrated, for example the document location is in some places.
6. There are no rules about electronic document, when they should be cleaned up, back up, and disposal.

Project Description
As a project manager that has duty to select and implement the new recordkeeping system in City West Water company. This is because the old recordkeeping system (traditional and unmanaged electronic) can’t support the company purposes such as service improving, user satisfaction, fast generate and trace report document, capture any document formats.
First of all before doing product selection the company should make a requirement about what they need and assess the problems occur.
System Requirement

1. To increase their services the company need to spread their services by web based system. Which is every customer can access the city west water services anytime from everywhere. In this case the company should provide their web site with various document authors such as in contact us menu, user can use phone, email, letter, or visit the company to make enquiries. The company should provide tools that can capture those formats.
2. The PDF format also needed for forms, report, maps, company plans, company information rather than use MS office. This format is easier to manage than MS office.
3. The new system should compatible with the existing system, it’s mean that we don’t need to change the whole system but add with the new system. We still can use MS office and add with PDF software to change MS office document into PDF.
4. The new system should user friendly, this is because we don’t need to make user confuse about the significant changing.
5. The new system can convert the hardcopy into electronic form. We can use scanner and rendering tools such as PDF, JPEG.
6. The system should manage intranet and internet web sites.
7. The system should capture tacit and intangible knowledge for company purposes.
8. Support transaction management.
9. The system should can capture voice (phone message), meeting report, e-room (Instant messaging), and chat room.

Project Scope

The scope in this project is including the problem and organization environmental analysis, select the appropriate product with the company needs, choosing the user friendly product, and implement the new recordkeeping system by installing the product, give training and user education about the new recordkeeping system. Monitoring the project whether it work proper or not. Including fix the problem that may occur after implements this technology.

Selection Steps

This process usually happens after we determine the requirement. The purpose of selection is to get the right solution to the problem. In this case the problem is how to manage document in various formats and how to convert hardcopy document into electronic document and how distribute them. There some steps how to select the new recordkeeping system:
1. Based on requirement definitions
The selection of the new recordkeeping system refers to the organization’ recordkeeping needs. After assessing the organization’ need then we provide some solutions. Those solutions are systems that will answer the organization problem.
2. Determined procurement strategy
The second step is determined procurement strategies by issuing tender, product, and vendor evaluation. This evaluation purposes is to select the best product and vendor. There are some options in tendering, open tender, restricted tender, open request for information (RFI), and direct approach and negotiation with vendor.
3. Tender process
Tender process is by advertising or approaching vendor. In this case the organization announces that they need new solution to their problem. If the organization has already known about the product solution and who’s the vendor, they can directly approach the vendor.
4. Comparing the product that been offered by vendors
In this step, we asses some product that offered by vendors. Compare product strengths and weaknesses, product price, product specifications, and product availability. Comparing products have purpose to get the best product that suitable with organization’ needs. Compare product can be conducted through on site demonstration, reference site visits, and prototyping.
5. Assessing vendors
Assessing vendors is the important thing since vendors should provide good product and maintain their product. Vendor capability and expertise is important issue for organization who like to develop new system. To determine whether a vendor is capable or not is by their previous clients, how their treatment to different problem in organization and what is the solution offered.
6. Final selection by choose the product and vendor
The next step decides which product and vendor that we will implement to our organization. After assessing and evaluating many area of the product we can say that we have already found our suitable solution.
7. Contract and negotiation
After decided which vendor and product that we use, then we make a contact about how the system will be implemented. In this contract both company and vendor have agreement about the system implementation scoop. In this stage the company could negotiate whether they can upgrade the system or not.

Selection Process by City West Project Manager

After defining what system that they need, a project manager try to capture all of those requirements as his/her based to select and evaluate what kind of system that can fulfill those requirements. The next step this project manager issuing tender, product, and vendor evaluation. Rather than use open tender method City West prefer use open request for information (RFI), this is because to limitation the number of vendors if they use open tender but City West still don’t have experience in new recordkeeping product to do direct approach. According to Wikipedia RFI has description as a standart business process whose purpose is to collect written information about the capabilities of various suppliers. Normally it follows a format that can be used for comparative purposes.
So in this stage City West don’t need to advertise their tender, they just approaching some vendors (3 or 4 vendors) who have product solutions (ECMS) and request the information about the product and then comparing them. City West only use local vendors because it’s easy to approach and geographically quite close. This method is quite cheap and City West have more time to asses their written information about the vendor and itch product. After they decide which vendor who fulfills the criteria, the City West starts to approach them to see the real product. City West do the reference site visit and ECM demonstration by the vendors. Finally they can decide which vendor with ECM product that suitable for their company and make a contract.
The City West choose the ECM after they assess some technology in recordkeeping, such as EDRMS, Web content, knowledge management system, etc which as they only solve part of the problem, however when using ECM, this system promise that they can solve a whole company recordkeeping problem starting from capture, manage, store, preserve, and deliver. This system also deal with so many kind of document formats.

Implementation Steps
According to Hoffer et.al, 2002. There some steps during the new system implementations.:
1. Installing the new system
Once we get the new recordkeeping product then we install it to the company’ existing system. Installing is a process changing from current system to the new system. There some techniques that can be used during the installation. There are direct installation which is change the old system completely when the new system come, parallel installation is running together both old and new system until the management decide that old system is not necessary, single location installation is use one part of the system as a prototype to implement the new system and phased installation gradually change the old system to the new system. It depends on the organization how to use one of the installation methods, organization should consider with their staff ability and their technology before installing the new system.
2. Testing the new system
Testing is very important thing during the system implementation. Testing has purposes to make sure that new system working properly. Testing can be done in various ways such as inspections testing, desk checking, unit testing, integration testing, system testing, and stub testing. The most common method is unit testing and integrated testing which are in unit testing each module is tested alone however in integrated testing all modules are tested as a whole part.
3. User training
User training is to make sure that the staffs have knowledge and ability to operate new system. Support staffs with appropriate ability so they feel confidence interact with new system. According to Nelson and Cheney in Hoffer, 2002, there are seven common methods for computer training, tutorial, course, computer aided instruction, interactive training manuals, resident expert, software help component, and external source.
4. Documentation
Documentation contain of policies, procedures, practices all of the component recordkeeping system. This documentation function as a guide for users how to use/operate the system or if in the future there are some errors in the system so the technician can easily determine the problem. Another reason is when a staff who has responsible to maintain the system gone, and the new staff who replace them can easily understand what the system specification are. Documentation also contains roles and responsibilities of the users, record management policy, and identify unacceptable practices and function.
5. Communication
This stage is talking about how to communicate the new recordkeeping system to the employees. There some issues that appear in this communication stage such as what is the purpose of the new system, what is the policies and procedures of this system, individual and group responsibility to the system, and many more.
6. System evaluation
System evaluation purpose is to examine the new system whether they work properly or not.
7. System maintenance
System maintenance has a function to keep system work properly. System maintenance should be done continuously.

The Solution Product
Enterprise Content Management

Enterprise Content Management (ECM) is a collaboration system between electronic document management system (EDMS), electronic recordkeeping management system (ERMS), collaboration system, workflow / business process management, and web content management. This collaboration system is become enhance because it ability to capture both structure and unstructured data. Comparing to EDRMS that only can capture hardcopy, picture, email, and electronic document, ECM is more complex, they can capture any digital content such as pictures, text, reports, video, audio, transactional data, catalog, and code. (http://en.wikipedia.org/wiki/Enterprise_Content_Management)
This solution is suitable for City West Water Company that needs to change their traditional document management system into digital document world. The ECM also can manage web content such as intranet and internet. If previously City West Water did not manage their electronic recordkeeping system, through ECM their document will be captured, classified, indexed, automatic disposal system, provide searching, retrieval, and rendering. ECMS also protect itself against non-compliance, law-suit, and uncoordinated departments.
ECM provides rendering tools such as PDF, JPEG, TIFF, HTML, and messaging system (email and instant messaging). For example a document bay be transfer from another format, such as MS Word document transferred into PDF format, or MS Word transferred into HTML document format. ECM also provides collaboration tools such as e-room, discussion list, and listservs. (Ellis J, 2007). ECM also can capture document by scanning process. (http://en.wikipedia.org/wiki/Enterprise_Content_Management)
Through the ECMS City West Water feel confident that they can move from traditional recordkeeping system into electronic, this is because the ability of the system to accomplish the company goal is very high. According to Objective the ECM system can solve very specific business problem, such as recordkeeping, correspondence management, virtual project office, process improvement, etc.
The problem may occur is converting the previous hardcopy document into electronic, it will takes a lot of time since most of company document are in hardcopy document. On the other hand, staffs are very busy to learn the new recordkeeping system and maybe they don’t have time to manage old company documents.

The use of ECMS in City West Water Company:

• Rendering electronic form (application, complain, member, etc)from MS word into PDF
• Rendering MS Word into CAD drawing (map, picture)
• Manage e-mail, instant messaging, phone (voice) enquiries in contact us menu.
• Managing static and dynamic content of websites
• Managing traditional (hardcopy) document into electronic by using scanner machine and rendering document tools.
• Make a good procedure on document disposal and document back up system, so not every staff who should delete some file after they’ve been ordered by the IT department.
• Capture all staffs tacit knowledge (by using intranet, e-room, and periodically meeting) and transfer them into explicit knowledge so they can share knowledge easily.
• Manage the customers detail document

The strengths of ECM system

According to www.wikipedia.org
• The system can capture:
1. Manual to electronic and digital format
2. Use various technology to process scanned document (OCR, HCR, ICR, OMR, Barcode)
3. Document imaging, forms processing, paper form, e-form, web form
• The system can manage
1. Documents management
2. collaborative systems
3. Web content management
4. Record management (file and archive management)
5. Worklflow (eq. production workflow, ad hoc workflow)
• Have a long term storage media
1. WORM optical disc
2. WORM tape
3. WORM hard disc
4. Storage network
5. Microfilm
6. Paper
According to www.objective.com, the ECM has some strengths:
1. Control the vast quantities of enterprise content
2. Make effective and accountable decisions
3. Promote company product and services
4. offering central point access, management, control, and security

The Issues

Some issues that occurred while implementing ECM in City West Water Company are, first, there may be a gap between the staffs and technology (ECMS), even though there will be training conducted but it still possible if staffs fell confuse and ‘shock’ with sudden changing. When in traditional recordkeeping system they put document in filing system and mostly deal with hardcopy document, now through the ECM they should operate very complex system and totally new. That is challenging and scaring.
Second issue is budgeting. This ECMS must be very expensive system because it collaborate some system into one big system. City West Water Company should take a risk to implement this system with assumption this system is very helpful managing their document now and in the future. So they agreed that this system is worth for the next future, this is a long term system implementation.
Third issue, City West Water Company is not a very big company, they only employ 230 staffs and dealing with small service area. Even though ECM never claimed that their system only suitable for big company, the fact that ECM can be implement both in small and big company bring the opportunity for the City West. However, even though City West not a big company, but dealing with a big number of customers makes their company busy. The transaction with customers and stakeholders, company meeting, many reports in many areas makes their document management activities never end.

Conclusion

Recorkeeping system selection and implementation cannot be neglected if we want the new system working properly. Selection become a crucial time, because when we misinterpret the organization requirement we will cannot select the appropriate system. Before select the new system we should understand what the organization needs, what is the limitation of the system and the scope, and the organization budget.
The ability to evaluate some solutions product and credible vendor is important, because there are so many vendors that offer and promote recordkeeping product. Through a tender we can make a limitation and evaluate the contestant vendor. In this case, City West use open request for information (RFI) when they select the vendor and product.
The implementation of the product also important because how the new product interact with staff, and old system in real time sometimes not working properly. This process should be anticipated both by vendor and project manager.

Word count: 5332

References
City West Water. https://www.citywestwater.com.au/
default.aspx

Ellis, J.2007. Evaluation and selection RDBMS. Week 6 tutorial notes.

Enterprise content management. Accessed April 10, 2007 from World Wide Web:
http://en.wikipedia.org/wiki/Enterprise_Content_
Management#Manage

Hoffer JA, et.al.2002. Modern system analysis and design. 3rd Ed. Prentice Hall International

Objective :http://www.objective.com/Solutions/
index.html

Request for Information. Accessed April 13, 2007 from World Wide Web:
http://en.wikipedia.org/wiki/Request_For_
Information

Step G – Implementation of a recordkeeping system. Accessed April 12, 2007 from World Wide Web:http://naa.gov.au/recordkeeping/
dirks/dirksman/step_G.html

Posted by noah 1:36 PM  

Labels: recordkeeping system

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