APPA Conference September 21, 2004 - Jacksonville, FL

1. APPA ConferenceSeptember 21, 2004 - Jacksonville, FL Document Management & Record Retention Presented by Gene Bailey - with contributions by Ann Doerrer – ElectriCities of North Carolina

2. Electronic Culture Dramatic change from a decade ago with e-mail, word processing, and spreadsheets on individual C:/drives, PDAs, cell phones, etc. • Gartner Group – 60% of business critical data is now contained within e-mail systems • IDC – Projects that daily e-mail will grow from 9.7 B in 2000 to 35 B in 2005. E-mail storage demand at annual growth rate of 300% in 2003.

3. E-Mail and Digital Document Growth • While growth is phenomenal, retention is not • Creative Networks – only 29% of companies could find an e-mail that was six months old • Time to manage electronically • Manage and retain by value, not by format, as well as from creation to disposition

4. Corporate Document Compliance Post – Enron era, compliance and electronic records management issues are frequently in the news • SEC Rule 17a-4 requires quick retrieval • Sarbanes-Oxley Act of 2002 places new and strong requirements on record retention with potential penalties on corporate execs • Although, neither of these laws technically apply to us, NC and FERC guidelines for e-mail and electronic document retention, disposition, and destruction do.

5. E-mail and Digital Documents - public record ? The content of e-mail and other digital documents are public records (according to GS 121-2(8) and 132-1) and…. • Electronic mail is a public record when sent or received in normal business processes…. • E-mail and all digital documents have the same retention requirements as their paper cousins, and need to be handled in the same manner. • Retain e-mails that: a) issue policy b) state decisions c) outline procedures d) shows actions e) gives guidance or f) not sure • Toss e-mails for: a) travel reservations b) personal c) junk mail d) confirm appts. e) forwarding e-mail

6. How do you handle this beast? Electronic Document Management System retains all types of records, documents – paper, microfilm, and electronic within the same system with metadata • All integrated functionality without “add-on” modules. Bar coding is also built in • Viewer can access Word, WordPerfect, Lotus 1-2-3, Excel, etc. documents from years ago regardless of version/ release, etc. thru electronic browser • Uses Optical Character Recognition (OCR) to index hard copy documents • Security to restrict or grant access Infovision EDMS

7. InfoVision - Features • Allows compliance with NC e-mail and digital documents regulations. • Tremendously improves workflow/ collaboration • Wealth of info to new employee at fingertips • Key Word search by subject / topic • Dynamic linking of documents allowed • Will not allow inadvertent destruction of Vital Records • Retains id of anyone accessing EDMS • Automatically applies retention rules on EDMS

8. Performance Benefits Comply with laws/ regulations – electronic records must be managed just like paper • Comply with NC requirements for mandatory backup protection of electronic processes and documents as published by NC Dept. Cultural Resources • Document business events – More and more business is done digitally (93% in 1999), often bypassing the traditional paper venues

9. ….Continued Staff Productivity – Workloads have increased over the past few years with more info created. Once operational and functioning, system ensures retrievals • Succession Planning – how to access knowledge from their documents when experienced and older employees are gone (18 over age of 55) • Business Continuity and Disaster Recovery – Ensuring the protection and retention of vital records • Litigation Support - Provides process for ensuring admissible evidence & streamlines discovery process

10. Litigation Support Example • Largest civil litigation in NC history • Case - construction of nuclear power plant • Estimated millions of documents exchanged • Employed (200) temps at height of case • Dedicated IBM 4381 and IBM 3380 disks • BRS/ Search used for 400,000 responsive documents in text database metadata • Rapid search by software on metadata manually entered of microfilmed documents

11. Implementation Cultural shift in thinking about documents. Need decisions regarding value of documents created/received • Need to implement in stages • Some changes necessary in daily workflow. • Workflow process to be fully charted prior to implementation and deployed by division or department beginning with Planning Division • Administrative assistant primary role in each dept/ div

12. Conclusion Record /Document management is not a “luxury”, but a “must” to support business and protect legal interests. Some EC records series must be retained for 50 years as determined by FERC. • The need for such a system is universal. It’s not a matter of if, but when. Because of regulatory issues facing us, that time is now.

13. ElectriCities’ Electronic Document Management System EDMS

14. Total Information Management • Manages Paper Based and Electronic Files • Integrated Distributed Scanning • Version Control of internally generated documents • User-Friendly Windows Based interfaces • User Defined Business Rules

15. Key Features Overview

16. Interface Macro Saves Documents Directly to Database_____________________________________________________ Same Macro to appear for Word, Excel, PowerPoint, and GroupWise for E-mail

17. Easy Self-Registry Screen Self-Registry form is the same for all macros External X-references Many fields self populate Documenttype File plan Detailed Narrative Summary More than one file code Link existing documents Key word Thesaurus

18. Viewer Value Points • Read over 200 document formats. • Read any document stored in the Records Repository. • Embedded Filters require no 3rd party applications to view and mark up documents.

19. File / Document Search

20. Search Results Searches Return Both Electronic and Paper Documents View Detailed Summary or View Document

21. Advanced Search Screen Search by: Date Author Addressee Signatory Document type File number Or Combination Text search Search by Keyword or Thesaurus

22. Building & Planning Applications • Subdivisions; Strata Lots • Licensing for Demolitions, Fences & Signs • Automatic Document Creation for Inspections • Benchmark Performance Indicators • Workload Indicators • Corporate Information • Reduced Site Inspections • Concurrent Inspections • Application Submissions via the Web

23. Service & Customer Requests

24. Questions ? • Q & A