w KING COUNTY 1200 King County Courthouse 516 Third Avenue Seattle, WA 98104 Signature Report King County December 3, 2013 Motion 14009 Proposed No. 2013-0400.1 Sponsors von Reichbauer 1 A MOTION accepting the executive response to the 2013 2 Budget Ordinance, Ordinance 17476, Section 29, Proviso 3 P 1; and authorizing the release of $100,000 for the 4 implementation of the training, installation, and ongoing 5 use of the electronic records management system in county 6 agencies for the purposes of adequacy and effectiveness of 7 system implementation and acceptance. 8 WHEREAS, the 2013 Budget Ordinance, Ordinance 17476 contains a proviso P1 9 in Section 29, records and licensing services, stating that of the appropriation for records 10 and licensing services, $100,000 shall not be expended or encumbered until the executive 11 transmits a report and a motion that acknowledges receipt of the report and the motion is 12 adopted by council, and 13 WHEREAS, the King County executive has transmitted to the King County 14 council the requested report, and 15 WHEREAS, the King County council has reviewed the report developed by the 16 records and licensing services division; 17 NOW, THEREFORE, BE IT MOVED by the Council of King County: 18 The proviso response is hereby accepted and the $100,000 of the records and 19 licensing 1 Motion 14009 20 services appropriation, currently held in reserve in Ordinance 17476, Section 29, Proviso 21 Pl is hereby released. 22 Motion 14009 was introduced on 10/28/2013 and passed by the Metropolitan King County Council on 12/2/2013, by the following vote: Yes: 9-Mr. Phillips, Mr. von Reichbauer, Mr. Gossett, Ms. Hague, Ms. Patterson, Ms. Lambert, Mr. Dunn, Mr. McDermott and Mr. Dembowski No: 0 Excused: 0 KING COUNTY COUNCIL KING COUNTY, WASHINGTON Larry Gossett, Chair {/ ATTEST: Anne Noris, Clerk of the Council Attachments: A. Report to King County Council -King County Electronic Records Management System (ERMS) 2 14009 Attachment A Report to King County Council: King County Electronic Records Management System (ERMS) July2013 In Response to Ordinance 17476, Section 29, Records and Licensing Services, Proviso 1 14009 Page 2 of 35 ERMS Proviso Response-July 2013 Summary of Proviso Requirement Of this appropriation, 5100,000 shall nor be expended or encumbered until the executive transmits a report and a motion that acknowledges receipl o{lhe reporl and the motion are passed by lhe council. The motion shall reference the proviso's ordinance, ordinance sec lion, proviso number and subject maller in bolh the title and body oft he rnotion. The executive must file the report and motion required by this proviso by August 1, 2013, in the form a paper original and an electronic copy wilh the clerk oft he council, who shall retain the original and provide an electronic copy to all councilmembers, the council chiefo fs taff and the lead stafffor the government accountability, oversight and financial pe1jormance committee or its successor. The executive shall provide a report on implemenlation ofthe training, installation, and ongoing use of the electronic records management ,\ystem ("ERMS") in County agencies for the purposes ofa dequacy and e.ffectiveness ofs ystem implementation and acceptance. The report shall, at a minimum, include the following: A. A summary oft he ERMS and records management training provided to County agencies and the customi::ed tools developedfor them, including retention schedules, .file plans and ERMS installation, between Januwy 1 and June 30, 2013, and planned for the remainder of2013, including a tally ofa gencies and employees that have received training and tools, and those I hat are scheduled: B. A description oft he accountability measures that have been implememed to ensure the County agencies and employees comply wilh appropriate records management protocols through ERMS on an ongoing basis and the mechanisms by which compliance is measured; and C. A description ofl essons learned to date. including changes made to or proposed/or ERMS implementation,jimding, training, tools development, tools distribution or outreach to County agencies. Executive Proviso Response Team Norm Alberg DES-Records and Licensing Services Division Deborah Kennedy DES-Records and Licensing Services Division Gail Snow DES-Records and Licensing Services Division 14009 Page 3 of 35 ERMS Proviso Response- July 2013 INTRODUCTION This repot1 and its attachments constitute the Executive's response to a 2013 Council budget proviso related to the King County Electronic Records Management System (ERMS). This repott contains four sections. as follows: I. Executive Summary II. Background Ill. 2013 Budget Proviso and Executive Response A. Summary ofTraining and Tools I. Training Classes Provided 2. Tools Developed 3. ERMS Installations 4. July- December 2013 Work plan B. Accountability Framework C. Lessons Learned IV. Attachments 14009 Page 4 of 35 ERMS Proviso Response- July 2013 I. EXECUTIVE SUMMARY Below is a summary of what has been accomplished, from January through June of20 13 by the Records Management program. The summarized information is organized by the three proviso requirement areas. A. A summary oft he ERMS and records management training provided to County agencies and the customized tools developed for them, including retention schedules, file plans and ERMS installation, between January 1 and June 30, 2013, and planned fort he remainder of2013, including a tally ofa gencies and employees that have received training and tools, and those that are scheduled; • Five records management classes have been developed and delivered in 31 sessions to over 200 attendees from 34 agencies. • Additional classes will be scheduled per the negotiated statements of work. • Seven agency specific retention schedules have been completed. • Four agency specific file plans have been completed. • A countywide General Records Retention Schedule is drafted and will be completed by September, 2013. • 146 ERMS installations have been completed in 14 agencies. • A records management work plan (July-December) has been developed. renecting work in 33 agencies over the next six months. B. A description oft he accountability measures that have been implemented to ensure the County agencies and employees comply with appropriate records management protocols through ERM.S on an ongoing basis and the mechanisms by which compliance is measured; • The Records Management (RM) program developed an Accountability Framework depicting expectations and responsibilities for the following four levels across the County: Leadership, Management, Records Management program and Employees. (see Appendix G) • Additionally, compliance measures have been developed for all four levels. C. A description o.f lessons learned to date, including changes made to or proposed.for ERMS implementation,.funding, training, tools development, tools distribution or outreach to County agencies. • The Records Management Program has conducted numerous lessons learned sessions and has documented 17 program improvements that have been made or planned for implementation. 14009 Page 5 of 35 ERMS Proviso Response- July2013 II. BACKGROUND One of the primary lessons learned during the ERMS project was that in order for agencies to successfully use the ERMS, a successful record keeping program must first be in place. There are four components to a successful record keeping program: • Records- infom1ation resources, in any format, that are created or received in the course of conducting County business • People-agency records management contacts who oversee records management practices within their area of responsibility and County employees who create, receive and use records in the conduct of County business • Processes -records management policies and procedures documenting how County records should be managed throughout their lifecycle from the time of creation to their legal disposition • Tools - retention schedules, file organizational plans and the ERMS equipment and software used to capture. organize. store, track and retrieve records In order to ensure that successful record keeping programs are developed throughout the County. there must be a commitment to implementing records management best practices beginning with the highest levels of County government and ending with each County employee being held accountable for their own records management practices. This year, with the support of the King County Executive Office, the Records and Licensing Services Division (RALS) developed a top down countywide records management initiative to ensure agencies have the suppo11, commitment and tools needed to implement records management best practices and appropriately use the ERMS as a records management tool. 1 The objective of the top down countywide records management initiative is to assure that all County agencies follow records management best practice standards to achieve accountable. transparent, secure, and accessible records of all types. To accomplish this objective RALS established a maturity matrix for records management and is deploying improved records management practices through partnership with departments ffom the highest levels of leadership to all King County employees. RALS has asked leadership and managers to hold themselves and their employees accountable for adopting and employing records management best practices. 1 See Attachment A: Countywide Records Management Initiative Brochure 14009 Page 6 of 35 ERMS Proviso Response- July 2013 The initiative process begins when an agency's leadership signs a Service Level Agreement with RALS for the provision of records management fcc-based services to implement records management best practices in their agency. 2A Statement of Work and task schedule are then developed for RALS to provide the following services and tools: • Records Management Training • Records Retention Schedule • File Organization Plan • ERMS Subject Matter Expert Training & Support • ERMS General User Training & Support • ERMS Activation • File-A-Than • ERMS Usage Reporting Included in the Statement of Work is a provision for agency staff to participate in a lessons learned survey to ensure the countywide records management initiative is meeting its objectives and pa1tieipants are receiving quality training and products they can use to implement records management best practices in their work.3 Participants will also complete a records management self-evaluation exercise that will demonstrate that employees have gained the knowledge needed to comply with records management requirements and/or identify areas where additional records management training is needed. Following the closeout of the Statement of Work, the King County Records Management program will continue to assist agencies to align their active records filing structure with their retention schedules and file plans to support their continued use of the ERMS tool. 2 See Attachment B: Service Level Agreement Template 3 See Attachment C: Statement Of Work Template 14009 Page 7 of 35 ERMS Proviso Response- July 2013 III. 2013 BUDGET PROVISO AND EXECUTIVE RESPONSE AA summary oftlte ERMS and records management training provided to County agencies ami tlte customized tools developed for tltem, including retention scltedules,file plans and ERMS installation, between January 1 and June 30, 2013, and planned for the remainder of 2013, including a tally ofa gencies and employees that have received training and tools, and those tltat are scheduled: I. The King County Records Management Program offered the following classes from January I-June 30, 2013: Setting the Record Straight This class introduces participants to the King County Records Management Program and the countywide records management initiative. It informs County employees of their records management responsibilities and the laws and regulations governing the management of County records and demonstrates how improving records management practices can improve business processes. To support the training objectives of this class the following training materials were developed: • Essential FAQs! What Every King County Employee Needs to Know About Records Management4 • Email: To Save or Not to Save5 • Take-away PowerPoint presentation slides Records Coordinator Training This course teaches participants how to properly manage inactive physical records including how to use the physical records module of the ERMS to transfer, retrieve and properly disposition records from the King County Records Center. ERMS Subject Matter Expert (SME) Training This course instructs ERMS SMEs of their roles and responsibilities and teaches participants the skills needed to become the primary records management contact within their area of responsibility. Participants learn how to serve as expe11 users of the ERMS with knowledge offile organization principles, how to build the ERMS folder structure for their workgroup, how to file electronic records including emai I, hov. to search and retrieve records from the system and gain basic troubleshooting skills. ERMS General User Training The ERMS General User Training provides employees with the tools and skills they need to declare and file their electronic records including email into the ERMS and to search and retrieve records from the system. 4 See Attachment D: Essential FAQs! What Every King County Employee Needs to Know About Records Management 5 See Attachment E: Email: To Save or Not to Save 14009 Page 8 of 35 ERMS Proviso Response- July 2013 ERMS Search Training This course instructs users how to use the metadata and keyword search options available in the ERMS including how to perform date range searches. format specific searches. Boolean structured search queries as well as how to save and export search results, which is often required when responding to Public Records Act and litigation discovery requests. Table 1: Agencies and Employees Who Have Received Training, January-June 2013 Class Name Number of Number of Number Agencies Participating Classes Participants of Held Agencies Setting the 4 83 4 DES-RALS-ARMMS Record Straight DES-RALS-Licensing DES-RALS-RASKC DES-RA LS-Recorder's Office Records 9 78 25 DCHS-CSD Coordinator DCHS-DIR Training DES-BRC DES-FBOD DES-FMD DES-HRD DES-RALS DJA-FIS DJA-GEN DNRP-PKS DNRP-SWD DNRP-WTD DOA DOT-DIR DOT-TRAN DPER DPH-CHSD DPH-EHD DPH-FASD KCC-BOE KCC-OM KCDC KCEO-PSB SIIERIFF-CID SHERTFF-TECHSVCS