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HomeMy WebLinkAboutCounty of Tompkins At-Home Rating Summary P~ ge 1 of 5 New LGRMIF Grant At-Home Evaluation Form - Ratings starting in Fiscal Year 2011-2012 Project Number 0580 -13 -3902 Institution County Of Tompkins Category Document Conversion and Access Rating Guidelines Scores Defined Interpretation 5 = Outstanding Applicant addresses the criterion with distinction 4 = Good Applicant has provided a cogent and convincing response to the criterion 3 = Adequate Applicant has addressed the criterion only competently 2 = Fair Applicant may have addressed the criterion but is far from convincing, or the project is inherently weak in this regard I = Poor Applicant has offered a few words in response to the criterion, but the words show little to no understanding of the issues 0 = Unresponsive Applicant does not address the criterion directly or indirectly • Reviewer Susan`,)eBary Recommendation M Recommended Amount $139,953 1. Statement of the Problem (20 Points) a. Describes the specific records management problem the project will address , provides qualitative descriptions and quantitative data about the problem and explains 4 why the project is a high priority [10 points] (System will multiply score of 0-5 x 2) b. Identifies specific records that will be involved, and any previous grant-funded 4 projects related to these records and this project. [5 points] c. Explains why funding from this grant program is essential to accomplishing the project (For example, explains why funding is needed if funding was previously 4 awarded for a similar project.) [5 points] 2. Intended Results (15 Points) a. Identifies each intended result and describes the anticipated benefits [5 points] 4 b. Describes in detail how the project will contribute to the development of a records 4 management program [5 points] c. Describes in detail how the project will improve local government services to the 4 • public [5 points] 3. Plan of Work (30 points) https://eservices.nysed.gov/ldgrants/IgReports.do?i=revrating&gid=3882 `/9/2012 At-Home Rating Summary Page 2 of 5 a. Provides a detailed outline of the proposed work activities and a timetable showing when each phase of the project will be completed, demonstrates the soundness of the method proposed and demonstrates the project's goals are attainable by 30 June 2013 4 (15 points) (Assign a score of 0-5, as the system will calculate the total value in the Total Score ) b. Addresses each of the requirements of the relevant project category [10 points] 4 (Assign a score of 0-5, as the system will calculate the total value in the Total Score ) c. Explains who will be responsible for performing each project activity, including project management. Indicates the qualifications of key project staff (including 4 consultants and vendors) in terms of education, training, and experience (5 points) 4. Local Government Support (10 points) a. Demonstrates contributions to this project [5 points] 5 b. Describes how this project and records management in general will be maintained 5 over the long term [5 points] 5. Budget Narrative and Forms (25 points) a. Explains how the proposed expenditures will be used to support the project activities. [25 points] (Assign a score of 0-5, as the system will calculate the total value in the 4 Total Score ) • Total At-Home Score 82 Reviewer Thomas; Lynch Recommendation F Recommended Amount $143,307 1. Statement of the Problem (20 Points) a. Describes the specific records management problem the project will address, provides qualitative descriptions and quantitative data about the problem and explains 5 why the project is a high priority [10 points] (System will multiply score of 0-5 x 2) b. Identifies specific records that will be involved, and any previous grant-funded 5 projects related to these records and this project. [5 points] c. Explains why funding from this grant program is essential to accomplishing the project (For example, explains why funding is needed if funding was previously 4 awarded for a similar project.) [5 points] 2. Intended Results (15 Points) a. Identifies each intended result and describes the anticipated benefits [5 points] 5 b. Describes in detail how the project will contribute to the development of a records 4 management program [5 points] • c. Describes in detail how the project will improve local government services to the 4 public [5 points] https://eservices.nysed.gov/ldgrants/1gReports.do?i=revrating&gid=3882 `/9/2012 At-Home Rating Summary Page 3 of 5 3. Plan of Work (30 points) • a. Provides a detailed outline of the proposed work activities and a timetable showing when each phase of the project will be completed, demonstrates the soundness of the method proposed and demonstrates the project's goals are attainable by 30 June 2013 5 (15 points) (Assign a score of 0-5, as the system will calculate the total value in the Total Score ) b. Addresses each of the requirements of the relevant project category [10 points] 5 (Assign a score of 0-5, as the system will calculate the total value in the Total Score ) c. Explains who will be responsible for performing each project activity, including project management. Indicates the qualifications of key project staff (including 4 consultants and vendors) in terns of education, training, and experience (5 points) 4. Local Government Support (10 points) a. Demonstrates contributions to this project [5 points] 5 b. Describes how this project and records management in general will be maintained 4 over the long term [5 points] 5. Budget Narrative and Forms (25 points) a. Explains how the proposed expenditures will be used to support the project activities. [25 points] (Assign a score of 0-5, as the system will calculate the total value in the 5 • Total Score ) Total At-Home Score 95 Reviewer Elizabeth Neville Recommendation F Recommended Amount $143,307 1. Statement of the Problem (20 Points) a. Describes the specific records management problem the project will address, provides qualitative descriptions and quantitative data about the problem and explains 5 why the project is a high priority [10 points] (System will multiply score of 0-5 x 2) b. Identifies specific records that will be involved, and any previous grant-funded 5 projects related to these records and this project. [5 points] c. Explains why funding from this grant program is essential to accomplishing the project (For example, explains why funding is needed if funding was previously 5 awarded for a similar project.) [5 points] 2. Intended Results (15 Points) a. Identifies each intended result and describes the anticipated benefits [5 points] 5 • b. Describes in detail how the project will contribute to the development of a records 5 management program [5 points] https://eservices.nysed.gov/ldgrants/1gReports.do?i=revrating&gid=3882 .'/9/2012, At-home evaluation comments P, ge 2 of 3 3. Plan of Work Comments I like the assurance of complete automatic mirroring of the two data centers as a means of aidin; disaster recovery. You don't see that mentioned often. 4. Local Government Support Comments 5. Budget Narrative and Forms Comments i 6. Overall Impression Comments Sometimes the cream rises to the top!! This grant was actually exciting to read, they touched on all aspects of the grant proposal with extreme professionalism. I think that was the highest score I i e ever given a grant. Can we clone their grant writer? Reviewer Elizabeth Neville Recommendation F Recommended Amount $143,307 Total Initial Score 100 • 1. Statement of the Problem Comments 5 2. Intended Results Comments 3. Plan of Work Comments 5 4. Local Government Support Comments 5 5. Budget Narrative and Forms Comments 5 6. Overall Impression Comments Reviewer Geof Huth • Recommendation M Recommended I Amount $139,291 https://eservices.nysed.gov/ldgrants/IgReports.do?i=revcomment&gid=3882 .'/9/2012 t At-home evaluation comments PEge 3 of 3 1 Total Initial Score 81 1. Statement of the Problem Comments a. Although there is enormous detail under the statement of the problem, there is almost no attention focused on the particular problems needing a solution. Instead, the application provides valuable historical detail on the county's EDMS development (which demonstrates the county's ability to complete the project proposed), much detail on the intended results and the capabilities of Laserfiche, and only passing mention of a couple of problems, such as the time it takes municipalities in the county to retrieve paper records. The application notes, for instance that it "just seemed like the right time to approach the smaller governments and share this opportunity with them," which is likely true, but which does not identify the problem needing a solution. 2. Intended Results Comments b. This section does not appear to directly discuss how this project will contribute to the development of an RM program. Instead, it notes how previous projects had. We can extrapolate from that that this project would do something similar--hence, my designated score of 2 in this case (instead of 11. c. This subsection identifies a few benefits to the public, but the major one noted is one that will not be seen by this project itself, though it will via extensions to the program in the future. 3. Plan of Work Comments • 4. Local Government Support Comments 5. Budget Narrative and Forms Comments No quotes needed in any of these cases. All justification provided. The budget narrative notes that there is a $251 support fee, which is an ineligible maintenance fee, so I'm recommending eliminating that fee, which (multiplied by 16) comes to $4,016. 6. Overall Impression Comments Eliminated $4,016 in maintenance fees. https://eservices.nysed.gov/ldgrants/IgReports.do?i=revcomment&gid=3882 -1/9/2012 At-home evaluation comments PE ge 1 of 3 1 LGRMIF Grant At-Home Evaluation Form - Comments • Project Number 0580 -13 -3902 Institution County Of Tompkins Category Document Conversion and Access Average Panel Score 89 Reviewer Susan DeBary Recommendation M Recommended Amount $139,963 Total Initial Score 82 1. Statement of the Problem Comments 2. Intended Results Comments 3. Plan of Work Comments 4. Local Government Support Comments • $20 5. Budget Narrative and Forms Comments $3344 deducted for maintenance. 6. Overall Impression Comments Reviewer Thomas Lynch Recommendation F Recommended Amount $143,307 Total Initial Score 95 1. Statement of the Problem Comments I like that all the records they're imaging are permanent records. Also the concept of the County taking the lead on this imaging project relieves the towns of what to them could be a massive undertaki _ag. This is the core of what shared services grants should be like, a regional data storage center. Mo ;t of these towns would not have the expertise to maintain and backup their data. • 2. Intended Results Comments https:Heservices.nysed.gov/ldgrants/IgReports.do?i=reveomment&gid=3882 ; /9/2012 At-Home Rating Summary Pzge 4 of 5 c. Describes in detail how the project will improve local government services to the 5 public [5 points] 3. Plan of Work (30 points) a. Provides a detailed outline of the proposed work activities and a timetable showing when each phase of the project will be completed, demonstrates the soundness of the method proposed and demonstrates the project's goals are attainable by 30 June 2013 5 (15 points) (Assign a score of 0-5, as the system will calculate the total value in the Total Score ) b. Addresses each of the requirements of the relevant project category [10 points] 5 (Assign a score of 0-5, as the system will calculate the total value in the Total Score ) c. Explains who will be responsible for performing each project activity, including project management. Indicates the qualifications of key project staff (including 5 consultants and vendors) in terms of education, training, and experience (5 points) 4. Local Government Support (10 points) a. Demonstrates contributions to this project [5 points] 5 b. Describes how this project and records management in general will be maintained 5 over the long term [5 points] I • 5. Budget Narrative and Forms (25 points) a. Explains how the proposed expenditures will be used to support the project activities. [25 points] (Assign a score of 0-5, as the system will calculate the total value in the 5 Total Score ) Total At-Home Score 100 Reviewer Geof Huth Recommendation M Recommended Amount $139,291 1. Statement of the Problem (20 Points) a. Describes the specific records management problem the project will address, provides qualitative descriptions and quantitative data about the problem and explains 2 why the project is a high priority [10 points] (System will multiply score of 0-5 x 2) b. Identifies specific records that will be involved, and any previous grant-funded 4 projects related to these records and this project. [5 points] c. Explains why funding from this grant program is essential to accomplishing the project (For example, explains why funding is needed if funding was previously 4 awarded for a similar project.) [5 points] 2. Intended Results (15 Points) a. Identifies each intended result and describes the anticipated benefits [5 points] 5 https:Heservices.nysed.gov/ldgrants/lgReports.do?i=revrating&gid=3882 ` /9/2012 At-Home Rating Summary Page 5 of 5 b. Describes in detail how the project will contribute to the development of a records 2 • management program [5 points] c. Describes in detail how the project will improve local government services to the 3 public [5 points] 3. Plan of Work (30 points) a. Provides a detailed outline of the proposed work activities and a timetable showing when each phase of the project will be completed, demonstrates the soundness of the method proposed and demonstrates the project's goals are attainable by 30 June 2013 4 (15 points) (Assign a score of 0-5, as the system will calculate the total value in the Total Score ) b. Addresses each of the requirements of the relevant project category [10 points] 4 (Assign a score of 0-5, as the system will calculate the total value in the Total Score ) c. Explains who will be responsible for performing each project activity, including project management. Indicates the qualifications of key project staff (including 4 consultants and vendors) in terms of education, training, and experience (5 points) 4. Local Government Support (10 points) a. Demonstrates contributions to this project [5 points] 5 b. Describes how this project and records management in general will be maintained 5 over the long term [5 points] 5. Budget Narrative and Forms (25 points) a. Explains how the proposed expenditures will be used to support the project activities. [25 points] (Assign a score of 0-5, as the system will calculate the total value in the 5 Total Score ) Total At-Home Score 81 https://eservices.nysed.gov/ldgrants/IgReports.do?i=revrating&gid=3882 `_/9/2012 LGRMIF Reviewer Grant Summary Page 1 of 2 F~ Archives Partnership Trust I Office of Cultural Education j Online Catalog I Search I Home ON RECORD Home Reviewer Home Participation Contact Information At-Home Evaluation Panel Deliberation Grant Application Information Project Number Institution Category 0580 -13 -3902 County Of Tompkins Document Conversion and Access Fill out an Evaluation Form for this Grant Proposal Reviews are due by 04/13/2012 When the Evaluation Form for this grant proposal is complete, you may submit it. Once the Evaluation Form has been submitted, you will NOT be able to update any scores or comments for this grant proposal. Submit the Evaluation Form The following links contain information about this grant proposal. The Application Sheet, Project Narrative (includes Budget Narrative), Project Budget, FS-20, and LG-VQ/LG-IM (when applicable) are in separate files. • The files are accessible in HTML or PDF format (the files will open in a new window). Application Sheet - HTML Application Sheet - PDF Project Narrative - HTML Proiect Narrative - PDF Project Budget - HTML Proiect Budget - PDF LG-VO Form - HTML LG-VO Form - PDF LG-IM Form - HTML LG-IM Form - PDF Proposed Budget Summary (FS-20) - HTML Proposed Budget Summary (FS-20) - PDF Eligible/Ineligible Expenditures & Required Forms - HTML The following documents were attached to the grant proposal. To download a document, click on the View link. You must have the appropriate software to open the document type. Action Document Name Description Document Type Size Laserfiche 137584 View www.laserfiche.com_solutionexchange_article_6144.pd article application/pdf bytes Ithaca ~ View 2926 unique=1325878315702.pdf Journal application/pdf bytes article bytes 05893 Q 1ytes View Tompkins_NetApp_Quote.pdf Hardware application/pdf by tes Chal Quote View Town Bid.pdf Qu tle°ge application pdf bytes bytes I • Records 13705368 View Master Plan Final 06-I6-2008.pdf Center application/pdf bytes Master Plan View imagingMicrofilmingForm.pdf Building application/pdf 90087 https://eservices.nysed.gov/ldgrants/IgReviewer.do?item=grant&id=3882&assign=8056 3/23/2012 LGRMIF Reviewer Grant Summary Page 2 of 2 L~I Permits I bytes View town Ietters.TIF Town image/tiff 370600 letters bytes signature 124303 View signature page.TIF pages image/tiff bytes ytes 282960 View payee info.TIF payee info image/tiff b bytes View Newfield letter.TIF town letter image/tiff 16806 bytes View budget summary.TIF summary image/tiff byt s7 Newfield 99422 View Newfield signed.TlF image/tiff signature bytes View Dryden BPA Assessment Final Report - 0580-13-3902.pdf BPA application/pdf 1522690 Document bytes Plan of application/vnd.ms- 37888 View Mo's 2012-2013 grant chart.xls Work Schedule excel bytes View Tompkins, Co, NY quote 12-19-1 l.pdf General application pdf 602120 Code quote bytes Cultural Education Center, Albany, New York 12230. Phone: (518) 474-6926 • • https://eservices.nysed.gov/ldgrants/IgReviewer.do?item=grant&id=3882&assign=8056 3/23/2012 LGRMIF Application Sheet Page I of 3 Local Government Records Management Improvement Fund (LGRMIF) • Application Sheet Project Number 0580 -13 -3902 Institution County Of Tompkins - [Mailing Address: 320 N Tio a St Address: City, State, Zip: Ithaca NY 14850 Chief Administrative Officer: Joseph C Mareane Title: Coun Administrator Phone: (607)274-5551 Email: mareane@tompkins-co.org State Judicial District: 6 State Assembly Districts: 123 125 State Senate Districts: 51 52 53 54 State Congressional Districts: 22 24 Federal ID: 156000469 School District: Ithaca City Sd Institution Type: Counties NOTE:The institutional information listed above is pulled from the SEDREF database. SEDREF, the single authoritative source of identifying information about institutions which the NYS Education Department determines compliance with applicable policy, law and/or • regulation. If your institutional information is incorrect, it can only be updated once your Payee Information Form is received by the Grants Administration Unit and approved by Grants Finance. Grant Unit staff do not have authority to update SEDREF information. The applicant cannot edit the SEDREF information above on their own. Participating Institutions Town Of Dryden RMO Appointed? Yes Year? 1989 Schedule Adopted? Yes Year? 1989 Town Of Newfield RMO Appointed? Yes Year? 1990 Schedule Adopted? Yes Year? 1990 Town Of Lansing RMO Appointed? Yes Year? 2003 Schedule Adopted? Yes Year? 2003 Ithaca RMOAppointed?Yes TwOf • Yeaz? 1983 Schedule Adopted? Yes iYear? 1983 https://eservices.nysed.gov/ldgrants/PrintAppServiet?i=cover 3/23/2012 LGRMIF Application Sheet Page 2 of 3 Town Of Groton RMO Appointed? Yes 0 Year? 1989 Schedule Adopted? Yes Year? 1989 County Of Tompkins RMO Appointed? Yes Year? 1990 Schedule Adopted? Yes Year? 1990 Town Of Enfield RMO Appointed? Yes Year? 1990 Schedule Adopted? Yes Year? 1990 rRecords C Department of and Information false rvices (DORIS) Grant? [Name of DORIS Agency ](if applicable) Eligibility Requirements • RMO Appointed? Yes Year RMO Appointed 111990 Appropriate Retention ISchedule Adopted? Yes Year Schedule =11 990 dopted Project Director Name Maureen Reynolds Title De u County Clerk Phone 607-274-5431 5442 Email mreynolds@tompkins-co.org Records Management Officer (RMO) [Name urora Valenti Title County Clerk Phone 11607-274-5431 Email Ilavalenti@tompkins-co.org 5433 • Local Government Information Count Tom kins Re ion REGION 6 https://eservices.nysed.gov/ldgrants/PrintAppServiet?i=cover 3/23/2012 LGRMIF Application Sheet Page 3 of 3 (Type IlCounty • IfDepartment[Unit County Clerk/Records Po ulation Served 101,000 Annual Operating Budget $161,314,041.00 umber of Employees Full-time:780 Part-time:0 Amount Requested $143,307 Application A plication Tye Shared Services Project Category Document Conversion and Access Project Type First-Time Inventory: false Electronic Records Inventory: false Email Management: false Summary description of proposed project activities: Describe the project, including scope, objectives, and description of records. The summary should be brief, but should provide a clear statement of how you intend to use a LGRMIF grant. Unlike larger governments, small local governments in New York often do not have the resources to implement and support high-level uses of technology within their records • management programs. Often the best alternative is to pool resources and collaborate with other like governments, in order to provide access to technological efficiencies. Tompkins County has implemented a digital archiving records program (Laserfiche) and is at the point here we are now able to handle a hosted solution within the system to our town and village governments via a secure intemet connection. The shared services cost savings to the smaller localities being: the sharing of our records management & IT knowledge, IT infrastructure, hardware, software, user support, disaster recovery solution, backup, improved process efficiencies, and a user consortium for design and support issues. Although the concept of a shared services records management program hosted by Tompkins County has the potential to include additional agencies for practical purposes, we have based this application on six towns participating with Tompkins County (Dryden, Groton, Ithaca, Lansing, Newfield, & Enfield). Funds within this grant application will be requested for: additional Laserfiche software licensing to accommodate the additional town users, scanning of 908,000 permanent town minutes and building permits, upgrade and expansion of data storage capacity, redundancy and disaster recovery between 2 county data centers. I! • j https://eseices.nysed.gov/ldgrants/PrintAppServlet?i=cover 3/23/2012 LGRMIF Narratives Page 1 of 34 Local Government Records Management Improvement Fund (LGRMIF) • Project Narratives Project Number 0580 -13 -3902 Institution County Of Tompkins - Ia. Describe records management problem BACKGROUND AND CONTEXT Like many counties across New York State, the origin of the Tompkins County's Electronic Document Management System (EDMS) program began in the late 90's specifically focused within the County Clerk's Office. This project was based on business process requirements; New York State (NYS) records retention schedules and mandates; the standardization of indexing and imaging practices; and related Information Technology (IT) support, infrastructure and software for all record sets managed by the County Clerk's Office. During this time Tompkins County determined that a Business Process Analysis (BPA) was necessary to better define the County's future direction on imaging and electronic document management systems, recognizing that similar future efforts would likely be requested by many of the 28 departments comprising our local government organization. To this end, a consultant was hired, with the assistance of a LGRMIF grant, and the BPA was completed with a focus primarily on the County Clerk's EDMS requirements and secondarily on the review of similar standards which could be applied across the entire organizational structure. The BPA concluded that it was in the best interest of Tompkins • County to establish county-wide EDMS standards for its departments which also would lead to an improved understanding of cross-departmental sharing of data, the elimination of redundancy related to work activities and data, and to the best of our abilities the implementation of systems in an open, non-proprietary format. These criteria were then incorporated into the development and successful implementation of the County Clerk's EDMS completed during the 2000-2001 grant cycle, with partial financial assistance provided by the LGRMIF program. This project has consistently maintained the same structure and partnerships over the course of these past 12 years, while continually adapting and improving based on identified efficiencies, lessons learned, technology advancements and several NYS records management requirements and initiatives. To date the County Clerk's Office has completely indexed and digitized all 195 years of land records and 16 years of civil documents, has deployed a web portal service for secure, remote access to these records, has achieved a local partnership with NYS Office of Court Administration (OCA) focused on electronic access to Court records and improved processes by judges and support staff, has participated as a pilot County in recent OCA and Office of Real Property Services (ORPS) initiatives, and will shortly be undertaking an e-recording initiative. In addition, the County Clerk's Office continues to recognize the necessity of collaboration with the Tompkins County Information Technology Services Department (ITS) and has invested over $100,000 towards the enhancement of core IT infrastructure and centralized data backup systems benefiting all users of County IT services. Although the County Clerk's EDMS has been successful in many areas, it was more recently concluded that the custom software with intellectual rights owned by Tompkins County could not be effectively adapted by our vendor (Systems Development Group) or County IT staff to meet the many additional and varied needs for electronic document management efforts and business . processes across the organization, or at any higher "enterprise" level. Attempts were made to creatively incorporate records sets from other County departments into the County Clerk EDMS, as initially developed and even subsequently enhanced based on the 1999 BPA and functional requirements, but the end result was not favorable. It should also be noted that recently ITS was https:Heservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 2 .of 34 fciced to eliminate a Programming position due to budgetary constraints and the primary software de,, eloper who created and supported our County Clerk EDMS left employment with Systems • Development Group. These personnel changes were additional factors which led the County towards the review of alternative solutions. It was determined that ultimately a vendor provided solution with more robust functionality, flexibility and one based on a true enterprise desien would be less expensive and more sustainable in the lone term. After an in-depth review of numerous electronic document management software solutions, Tompkins County selected and initially implemented the Laserfiche platform in 2009 using local funds under the County-wide records management program as directed by the RMO and County Clerk's Office, with assistance also provided by ITS and several County departments with an interest and need to serve as pilot participants. After the 12 years of experience within the County Clerk's Office EDMS and the recent completion of approximately 14 pilot projects for numerous departments within the Laserfiche system, including the back file conversion and indexing of 9,000 boxes of permanent records housed in the Inactive Records Center, the Tompkins County Clerk's Office has decided to pursue a LGRMIF application under the Shared Services category for the purpose of extending a proven electronic document management model and solution to other local government agencies. Our initial focus will begin with well defined and common record sets involving six town governments who have previously and all independently explored similar types of projects, have demonstrated an understanding of the efforts and resources necessary to achieve and maintain the success of such a collaborative effort and have a clear need for improving or "modernizing" their own record sets and processes. It is our belief and intent to prove in this LGRMIF application that a shared services model for this project will be mutually beneficial and lead to substantial financial savings and records management improvements based on previous investments, experience and technical support as provided by Tompkins County. . STATEMENT OF PROBLEM la. Describes the specific records management problem the project will address, provides qualitative descriptions and quantitative data about the problem, and explains why the project is a highpriority. [10points] Topics of LGRMIF Application Focus: Back-file conversion, indexing and import of defined, common record sets (Meeting Minutes and Building Permits) for six local municipalities into County hosted enterprise electronic document management system (Laserfiche). Review and improvement of future processes based on the management, retrieval and records retention requirements within the Laserfiche platform and available software tools of the included town record sets. Redundancy of records based on alternative media and formats for long term preservation and disaster recovery requirements (paper, microfilm, digital). Implementation of a true electronic disaster recovery solution for existing and future records stored within the Laserfiche platform as a goal defined within the Tompkins County Records Management Program. Establishes repository of public records and the improved "transparency" of public information in an electronic system which provides for more immediate access and retrieval. Mandates the creation of a local, government records management organization initially comprised of six participating towns and Tompkins County to be based on a future MOU and/or By-laws. The purpose of this organization will be to define and continually address collective records management standards, practices and policies, frame level of service requirements of the County hosted solution, clarify fiscal and participation responsibilities and identify IT related • needs and issues. Provides structure and technical capacity for expansion of EDMS shared services model to additional records sets and other local government agencies. https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 3 of 34 In 2009 the Tompkins County Legislature mandated that the County Clerk's Office be responsible for the improvement of the County's Records Management Program & Inactive Records Center. This decision was initially based on a practical need to determine the best strategy for the organization, indexing and most cost effective and practical manner of storage for almost 91000 boxes of County records housed in an old, dilapidated building which previously housed the County Library. The County anticipates the demolition of the building in 2013 due to structural and mechanical problems, the high costs of asbestos abatement and a very leaky roof. As a result, a digital alternative to the storage of current and future inactive paper records was proposed and approved. Starting in April 2009, we implemented a new enterprise system (Laserfiche) for the Records Center to address both the storage of the County's inactive records and a future vision of assisting other local government agencies with similar electronic records management needs under a Shared Services model. Laserfiche is a Windows-based document imaging system that lets an organization file, catalog, and retrieve documents. The files include an electronic non-editable image of the document, along with electronic text, and metadata that creates a searchable database of document information. It also allows users to highlight, redact, and add stamps and notes to the document image, just as with paper versions - but these are added as a layer on top of the electronic image so they do not permanently change the document. Upon acquiring the records department, the County Clerk's Office first had to assess the r condition of the records. We inventoried the boxes, disposed of obsolete records, determined retention on the boxes, purchased shelving and boxes, and purchased a new enterprise system (Laserfiche) with these modules: records management, workflow, weblink webaccess audit trail (Devartment of Defense certified), quick fields with zone OCR and integrator's tool kit. Initially, we were going to use the software to track the 9,000 boxes, but after extensive training with General Code and at the Laserfiche Conference in Los Angeles, the decision was made to scan documents and shred or store boxes based on departmental/state requirements. So, the scanning started! A scanning vendor (Challenge Industries) was hired and the large scale scanning project was commenced with the completion expected in late 2012 or early 2013. Upon the completion of this project, we will have created a di gital countywide Records Center and thereby eliminated the need for a new large building to house an Inactive Records Center. Our software solution was recently highlighted at Laserfiche.com (How a County Saves $5.5 Million by Going Digital - Tompkins County, NY, goes from leaky roofs to lightning-fast ROI - httv://Iaserfiche.com/SolutionExchanve/Article/6144) and the Ithaca Journal (http://www.theithacajoumal.com/apps/pbes.dll/article?AID=201 1 1 12 1 303 83) -see uploaded attachments. All Tompkins County departments now store records in our digital repository. Starting in 2010 and finishing in late 2012/early 2013, all inactive paper records previously stored in the old library building will have been scanned, shredded or stored, and incorporated into a digital records center using Laserfiche as our software solution. And in today's fiscal climate, building a records storage building is just not feasible. There are some smaller storage areas (within county owned buildings) available that could be utilized, when we eliminate most of the centrally stored inactive paper records. In addition, The County is also in the process of renting an off-site, underground storage bunker at the Seneca Army Depot for our permanent archival paper (previously digitized and indexed in Laserfiche), data backup and microfilm storage. The bunker is temperature and humidity controlled (and can take a direct hit from a missile launcher - as it was used in the past to store nuclear warheads!). Additionally, there is a direct fiber optics connection between our data centers and this storage • facility. This project will be covered with local Tompkins County operational funds and is not part of this LGRMIF application request. The County hired a consultant (LaBella) to research our building options: 5.8 million to renovate the building or 2.2 million to construct a new building in 2008 - see uploaded attachment. We https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 4 of 3 have decided to progress with no building or renovation construction projects and are determined to maintain the majority of county records digitally. Some records will need to always be retained in paper, but the majority can be retained in another format, such as a digital image and/or microfilm. We are using our expertise and success with imaging and electronic records management at the County Clerk's Office, with assistance from ITS, to bring greater efficiency to the county (and major cost-savings) by implementing, maintaining and instructing all county departments on how to use this digital records enterprise system as an alternative to storing and maintaining paper records when feasible. As most new records are currently created in a digital format, it allows a simple, searchable and efficient way to store the data in a centralized area for safekeeping and eliminate the current multiple copies currently stored in paper and digitally at each department. Shortly, this approach would also be used for the necessary archiving and retention of County email records. Other savings include savings on electronic storage of undeleted obsolete records; time wasted searching for records, maintenance of multiple databases, .and legal exposure due to inability to provide records or not disposing of obsolete retained records. Electronic records retention has long suffered from being marginalized as an unnecessary to-as crl3owever, as digital records_become the was of the future, we recognize the need to ensure compliance with government regulations and potential legal exposures. Imperatives in this area include the need for continuously updated records that minimize outdated information within our 2rgamzation and the ultimate need to maximize transparency andprotect the organization rom _ audit and legal worries. These same records management problems and concepts which have been introduced and successfully implemented for numerous County departments and programs also hold true for other local government agencies, including the six partnering municipalities. Since Tompkins County has seen the success of our records program and achieved major cost savings, the next sensible step was to offer the clouding solution of our digital records repository, which is a proven and existing enterprise document management solution, to our local town and . village governments (6 villages and 8 towns). Tompkins County has invested in our network, software, disaster recovery solutions and we have an established partnership with our imaging vendor (Challenge Industries - is a 501(0 (3) not-for profit agency that provides training, job placement and support services to individuals with disabilities and other employment barriers to assist them in developing their skills, interests, and to be productive and contributing members of their community). It just seemed like the right time to approach the smaller governments and share this opportunity with them. After meeting with our town clerks, we realized they had the same records problems that we had been dealing with: public access to public records, time spent searching and retrieving recordszstorage of records, disaster_recovery, seeuri~, damage and loss of.paper records. The County hosted "clouding" of our records solution just makes sense as our next step. We would like to start with the scanning of minutes and building department permits during this grant cycle. We currently have 6 towns interested in joining us at the start of this shared services project - Enfield, Ithaca, Lansing, Newfield, Dryden & Groton. These common town records have a retention period of permanent under MU-1 5.(60) and 1.(1). Currently, these frequently accessed records requests may result in a wait of 24 to 48 hours for someone for retrieval of files. The entire process is time consuming, labor intensive and if one person is out the process takes longer than it should. Other concerns are: institutional knowledge (for example, only one person knows where that is or how to do it and they are getting close to retirement age), outdated and unsupported databases, inconsistent naming of documents, which document is the official copy, records not kept (or kept too long) as per their retention requirements, backup and disaster recovery. A so, as we ecome more at ease with digital information, the public expects their local governments (and their records) to be more accessible and accountable. The ideal situation for the • general public would be to allow them to access public records 24/7 thru an on-line web portal. Additionally, electronic FOIL requests are increasing as governments create more electronic formatted records and it looks poorly on the government when they are unable to produce these https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 5 of 34 records timely. Smaller governments are not always equipped to authenticate, catalog and retrieve • these documents. Another concern is disaster recovery . September 2011 was an eye-opener to all local governments with the large scale flooding - and now the interaction with FEMA. Local governments need to be able to safeguard their records (paper, digital and microfilm) from any disaster (natural or man-made). At the county-level, we have been engineering disaster recovery plans for our records including, redundant servers and a true disaster recovery solution but are unable to implement it due to financial constraints. Passing these disaster recovery solutions on to the towns and villages would also help them immensely. Laserriche Basic Functionality: Key Components . Powerful content repository organized in a familiar folder tree structure. . User-friendly client interface for enterprise content management. . Flexible administration and repository management tools. . Document image capture with Laserfiche Scanning. . Capture images from a digital camera or cell phone with PhotoDocs. . Image capture of electronic documents with Laserfiche Snapshot. . E-mail documents directly from our repository. . Import and work with electronic documents, such as Word files or PDFs, alongside our scanned documents. Searching . Search the contents of the entire repository (imaged and electronic documents) for a specific word or phrase. . Search the text of electronic documents, find what you need despite alternate spellings or typos using fuzzy search, and see our search result hits in context to determine whether you've located the document you need. . Search for documents or folders based on their properties, user-defined metadata, or text. . Perform basic and advanced searches through simple user interfaces or with user-provided syntax. Image and Document Tools . Annotate images with drawing tools, redactions, sticky notes, and attachments. . Add user-defined metadata such as tags, relationships between documents, and customized field information. . Collaborate with check-in/check-out, versioning, and document linking. Store documents in Laserfiche directly from Microsoft Office. . Export, print or e-mail different file formats directly from the Laserfiche repository. System Administration • . Administer your repository and server from a single installation on any workstation on the network with the Laserfiche Administration Console. . Monitor connections and port use, set up server administrators, and take our repository offline or online for maintenance. https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 6 of 34 Secure information using a flexible, granular security system to restrict access to folders, documents, or metadata; create or add users and groups to ensure that the right users have . access to the right information. . Create user-definable metadata with which our users can add information to documents- and make them more searchable. . Manage administrative settings for our storage volumes, our full-text search engine, our recycle bin, and many other features. . Track changes to our content repository using Audit Trail. Records Management Edition (RME): helps our organization balance the legal implications of content management with how we use the content. Laserfiche RME simplifies the formal management of large volumes of content by automatically applying retention schedules and final disposition based on preconfigured business rules. Because RME is DoD 5015.2-certified, the lifecycle management, security and transparency the system provides will form the foundation of an information management strategy that complies with Sarbanes-Oxley, HIPAA, USA PATRIOT Act, SEC, FINRA, or other regulations. Manage Records Electronically Laserfiche RME provides the ability to design a hierarchical file plan that organizes content based on a combination of business use and retention schedule, enabling us to generate reports, process large groups of records simultaneously, and show that content has been managed according to the rules governing our business practices. All content in the system can be formally managed from the point of capture or as part of a well defined lifecycle, including imaged documents, business documents (e.g., Microsoft Office, etc.), audio and video files, output from legacy systems and physical records stored offsite. Transparent Records Management Because Laserfiche keeps records management properties (record series, cutoff rules, retention schedule, disposition) separate from user-defined indexing schemas, applying records management doesn't make your content management system any less efficient or cost-effective. To further insulate non-records managers from content classification issues and records management file plan complexities, Laserfiche has pioneered an approach called Transparent Records Management (TRM). TRM automates the classification of content, regardless of how it's captured or where in its lifecycle it becomes a record, to eliminate the most costly component of a records management application. Additionally, Laserfiche provides the ability to create separate views of the repository for each business unit, providing access to content in the context of their business practices. Laserfiche Audit Trail: enables us to regularly review user activity, assess the effectiveness of internal control mechanisms, review productivity, and demonstrate regulatory compliance. Access to this information is critical for compliance purposes: organizations need to know how content is preserved and fully understand the legal implications of its use. The risk context of your enterprise content must be balanced with the needs and resources of IT and the rest of the business. Laserfiche Audit Trail's ability to monitor, record, and report on system activity makes the product a key component of the Laserfiche enterprise content management suite. Not only do organizations need to manage documents and other unstructured information, but we also have to • mitigate content-related risks by tracking exactly how our organization uses it. Audit Trail, with the Laserfiche content repository, is the tool organizations need to meet evolving compliance and e-discovery requirements. https:Heservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 7 of 34 Flexible Activity Tracking and Reporting Three different editions of Audit Trail allow us to monitor a wide variety of events in the Laserfiche repository, either repository-wide or on a per-user or -group basis. Types of auditable events range from simple repository login and logout, to unsuccessful attempts to perform actions, to requiring reasons for printing, e-mailing, or exporting documents. Once audit data has been collected, authorized Audit Trail users can access a Web-based reporting tool to create summaries of all actions taken on a particular document or record. Reports can be easily filtered, sorted, and graphed to identify trends and isolate behavior patterns, further helping expedite audits. Quick Fields: simplifies the organization and management of documents and unstructured information. It automates processing for a high volume of information by capturing data from various formats and sorting documents according to custom criteria, helping us put content to use quickly. Improve Efficiency of Data Entry The software saves our organization time on repetitive data-entry tasks, freeing our staff for other projects. With Quick Fields, we can generate and organize valuable information, such as extracting data from our documents and inserting it as metadata in our Laserfiche repository. Automating the process of turning paper documents into digital files mitigates the risk associated with manual data entry-as well as the risk of doing business without all of the information we need. Automatically Integrate Data Capture With Storage Quick Fields can automatically sort documents and store them in our Laserfiche repository, even creating the folder path. We specify the criteria that will be used to classify the documents and how they will be organized and stored, including using tokens to file documents according to the information they contain. External databases can be used to validate data extracted from documents, as well as to retrieve information for document metadata. Laserfiche Workflow: enables organizations to design custom workflows that fit their needs. Workflows automatically perform specified actions at appropriate times, such as sending a document to a specific user, populating a field, adding a tag, or sending an e-mail. Easy to Build and Extend Building a workflow is as easy as selecting and configuring workflow activities: pre-built, configurable processes designed to accomplish a specific task. Laserfiche Workflow contains over 30 activities, including Route Entry to User, Assign Tags, Assign Template, and E-mail. Workflow also enables users to extend its functionality, allowing them to build workflows that interact with third-party software or databases or perform custom actions. Users can insert custom built VB.NET and C# scripts into one of Laserfiche Workflow's scripting activities, or they can design their own activities. Workflow Decision Making Laserfiche Workflow is a highly flexible and powerful tool you can use to mirror your manual, paper collaborative processes in an automated, digital form. It contains branching activities that are designed to handle multiple scenarios and make decisions as to how a workflow should proceed. Decisions can be made based on a wide variety of criteria, including the value of a field, https://eservices.nysed.gov/ldgrants/PrintAppServiet?i=narr 3/23/2012 LGRMIF Narratives Page 8 of 34 the number of documents in a folder, or the name of a document. Due to the ever tightening financial position, the town and county have been unable to absorb the • costs of this large project. However, once completed, the savings will be substantial: I. Software licensing costs shared 2. Sharing of IT infrastructure and hardware 3. IT and records management knowledge sharing 4. Records requests will be handled timely and with less staff searching time 5. User support consortium will reduce training costs 6. Disaster recovery and backup shared 7. No construction or renovation costs for records storage 8. Major savings in paper, toner and filing cabinets 9. Employees will be more productive - instead of searching for records, they will have them available on their desktop 10. Space savings -space will be used for employees and not for paper records 11. The public will be better served Ib. Identify records involved New Record Sets to be Converted, Indexed and Imported into the LaserFiche System Town Record Sets As proposed the project will include the digital conversion, limited indexing and import of the following common record sets into the Laserfiche system for all six participating towns during this grant cycle: Meeting Minutes Building Permits These town records have a retention period of permanent under MU-1 5.(60) and 1.(1). The County Clerk's Office has been testing templates and scanning speeds to ensure that this project can be completed within the appropriate grant time period. Based on conversations with partnering municipalities, these town level record sets have not been included in any previous projects funded by the LGRMIF program. Municipality Boxes Images Newfield Minutes 15 30,000 Building Permits 12 24,000 Dryden Minutes 50 100,000 Building Permits 74 148,000 Groton Minutes 11 6,000 • Building Permits 22 44,000 Enfield https:Heservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 9 of 34 . Building Permits 10 20,000 "Minutes previously scanned Ithaca Minutes 38 76,000 Building Permits 125 250,000 Lansing Minutes 8 16,000 Building Permits 97 194,000 Project Totals 462 908,000 Records Previously Converted, Imported and Indexed into the Laserfiche System The following records have been previously imported and indexed in the Lasefiche system as pilot projects using available County funds and resources. Although these records are not a component of any specific tasks or budgetary itemizations related to the scope of work within this application, they are directly related and therefore identified since the management of these records will benefit from the proposed Disaster Recovery or electronic data redundancy technology identified as one of the primary Problem Statements and Intended Results. These previous County pilot projects and record sets include: • Legislative Minutes and Annual Book of Proceedings (1865 to 2009) County Contracts and Certificates of Insurance Highway and Facilities Large Format Maps and Plans Inactive District Attorney Case Files (over 2000 storage boxes) Birth and Death Records Payroll Records Environmental Health Large Format Maps and Plans Assessment Department Large Format Tax Maps (1966 to 2010) Finance Department Tax Rolls (1966 to 2010) Supreme and County Court Criminal Files (1960 to 2010) Airport Operations Large Format Maps and Construction Plans Sheriffs Office Civil and Inactive Corrections Personnel Department Civil Service and Employment Applications Inactive Mental Health Case Histories Previous Related LGRMIF Projects In the most recent grant cycle (2011-2012), the County Clerk's Office was awarded a grant in the amount of $75,000 to scan records organized in 1,826 District Attorney boxes (1.5 million images) which are currently stored in the County's Inactive Records Center. These District Attorney criminal records had a retention period of permanent under Judicial Law section 89(2). The DA is the largest requestor of files from storage and would have to wait 24 to 48 hours for someone to be able to retrieve their off-site files. We are currently completing this project by scanning the images into our Laserfiche repository and retrieval time has gone from days to seconds. Tompkins County received LGRMIF funding in 2008 to complete the Records Management Master Plan. This document was prepared by Labella Associates and initially based on physical storage requirements and a final alternatives and requirements https://eservices.nysed.gov/ldgrants/PrintAppServiet?i=narr 3/23/2012 LGRMIF Narratives Page 10 of 34 if the County chose to construct a new records storage facility. However, due to the construction cost estimates in the range of 2.8-5.5 million dollars it was determined • alternatives would be pursued. As a result of a review of options, the County determined the best and least expensive option to be a records conversion and electronic document management solution. In 2009, the decision was made to puchase and implement Laserfiche as our solution. Please refer to the attached Records Management Plan for further information. Previously Funded, but Non-Related LGRMIF Projects The Tompkins County Clerk's Office has received and successfully implemented on schedule numerous conversion projects previously funded by the LGRMIF. These particular record sets are specific to the primary County Clerk's Office operations associated with land and civil record sets. These records will continue to be maintained in the data structure, format and system (SDG Image Mate) originally deployed in 2000 due to the unique processing and legal requirements surrounding these record sets. They will not be migrated or incorporated into the enterprise Laserfiche solution or project. Previous LGRMIF awards include: 2009-2010: indexing of mortgages (1948-1964) 2008-2009: imaging and indexing of discharges (1973-1991); assignments & releases (1964-1991); and miscellaneous records (1959-1991) 2007-2008: indexing of previously imaged deeds (1817-1968) 2006-2007: imaging of 511,200 land records documents 2005-2004: imaging of deeds and mortgages (1975-2001) and other land records (1992-2001) 2004-2005: microfilm and digitize our historical tax maps (1963 -2000) • Other Locally Funded County Clerk EDMS Conversion Projects Otherwise, Tompkins County has not applied for, or been awarded previous funds from the LGRMIF program or any other external source for the procurement or implementation of the County's Laserfiche electronic document management system. All software, hardware, professional services costs and staffing resources associated with the Laserfiche deployment and records conversion for the numerous Tompkins County departmental pilot projects have been funded exclusively from annual operations budgets (with the exception of the District Attorney's Records conversion: LGRMIF 2011-2012) of the County Clerk's Office, the Records Management Program and the ITS Department over the course of the past three years. In addition, the County Clerk's Office office has completed a number of in-house backfile conversion and indexing projects now managed within the SDG Image Mate EDMS. These have included: Large Format Survey Maps (40,000 records) Miscellaneous Historical Land Records (since incorporation of the county in 1817) Marriage Records (1905-1935) Incompetents (1817-1992) Records of Conviction (1930-1950) Military Discharges (1965-present) Naturalization (1899-1992) Certificates of Incorporation (1817-present) Even though some of these images are confidential and not made available to the general public, the indexing data is accessible and especially interested are family members and genealogists. The original paper media version of these records where previously stored off-site in our Inactive Records Center and were not readily available for research. As a result some of our previously hidden treasures and non-confidential https:Heservices.nysed.gov/ldgrants/PrintAppServiet?i=narr 3/23/2012 LGRMIF Narratives Page 1 I of 34 records and indexing information are now being shared with the public. Similarly, the • County Clerk's Office and County Records Program have nearly completed an in-house configuration of servers, software and secure networking protocal to achive our next goal which includes the public availability non-confidential records via a web portal. It is expected that a public facing interface or prtal will be availble for such records for both the SDG Image Mate EDMS and the Laserfiche system by the summer of 2012. Ic. Explain why funding is essential Although Tompkins County is fully responsible for its records management activities and systems, and is fully able to maintain the ongoing expense of the programs, the County or participating municipalities do not have available funds to scan the defined record sets or enhance our exisitng software and hardware systems necessary to complete the project. The County's always-tight financial position (over 40% of the land in the County is tax exempt and one-third of our population is comprised of Cornell University and Ithaca College students relying on County services) does not allow for funding to implement such a large scale converstion and shared services project and the expansion of the system to assist with the town's records programs. Funding from this grant will make it possible for the Tompkins County Clerk's Office, ITS and the six participating agencies to accomplish this purpose. It must be stated, however, that the County has invested a great deal of staff time and information technology resources towards the improvement of the current records management program. Although these efforts have helped to improve the current records management circumstances, they will not provide a complete solution for the future shared services program. In addition, Tompkins County is completely committed and capable to support the technical and lone term requirements of this proiect including: the upgrade technology infrastructure related to the proiect integration with County data backup system: future software license maintenance costs; and most importantly staff Town Clerk and elected official acceptance and understanding for the need to implement a change for both records management process, record formats and technological aspects of the project IIa. Intended results/anticipated benefits At the end of the project period, and after the proposed plan of work has been completed the following accomplishments and benefits will have been realized: Challenge Industries will have scanned 908,000 images and Tompkins County and the towns will have imported and indexed these images into the existing Laserfiche enterprise system. The images and indexing would include all available participating town's minutes and building department permits. These town records have a retention period of permanent under MU-1 5.(60) and 1.(I). The Laserfiche enterprise system would be a better tool for all customers (internal and external) for ease of use, accessibility and retrievability. It will also enable each participating town to launch a more comprehensive system on the Internet thm a public portal. In addition, it would have alleviated all immediate storage problems in the participating towns over-crowded records storage areas, would allow each town to dispose of these paper records if they so choose and would create the option of redundant forms of the records (paper, digital, microfilm). By imaging these archival records, it would reduce the need for capital projects for a new storage buildings or areas and allow the participating towns to focus their limited resources on much needed programs and records management process improvements. Staff time would be greatly reduced without the need of off-site document retrieval. Staff would be able to devote more time to assisting customers and be able to do the proverbial "more with less". And our tech-savvy customers would be more https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 12 of 34 satisfied with immediate retrieval times (rather than waiting for staff to retrieve from off-site storage) and with the ease of digital document retrieval (the ability to help themselves). The elimination of customers having to drive to town offices, find available parking and spend time trying to find their information would be changed to searching the public portal, at any hour, on the Internet and viewing their images almost instantaneously. We would be able to have significant savings with less paper, toner and filing cabinets being purchased. The inter- governmental sharing of important data would also allow us, to eliminate redundancy of work and data. We would be all be sharing data - no more silos of information! Once completed, the savings will be: . Software licensing costs shared . Sharing of IT infrastructure and hardware . IT and records management knowledge sharing . Records requests will be handled timely and with less staff searching time . Inter-agency governance structure & user support consortium will reduce training costs . Completion of Disaster Recovery and data backup IT infrastructure . Eliminate the need for future construction or renovation costs for records storage . Major savings in paper, toner and filing cabinets . Employees will be more productive - instead of searching for records, they will have them available on their desktop . Space savings - space will be used for employees and not for paper records . The public will be better served with remote access to public records Our ultimate goal is to have all of the town paper records that are stored to be scanned into our digital filing cabinet (Laserfiche). As digital records are created in the future, these will be dropped into this digital filing cabinet - instead of printing off a piece of paper, putting it in a box or file cabinet, and storing the box in a storage area. This means employees can search their own departmental records from their desktop instead of having to go to the records storage center or requesting records thru their appropriate records officer. The town/village employees can also use the Laserfiche modules - workflow, reports, audit trail, OCR, records management component, zone OCR (automated indexing) - as they see the need. We are able to tailor each town's, and then each individual user's rights as requested by the department head. The public would be able to access public records from their home during non-business hours. Tompkins County's IT infrastructure will also be able to backup and provide disaster recovery for the towns. Due to the fiscal climate (and NYS's) ever tightening financial position, we have been unable to hire any assistance with this project. Our next step in the shared services project is to make all public records accessible on the Internet. The public and all other end users would have more data and images available for immediate use. Our customers are starting to push for the ability to do all their searching from the comforts of their homes and offices. As people become more Internet savvy, they are also expecting their government agencies to keep pace with common technology advancements. It would eliminate numerous trips to the records storage areas in order to obtain documents. In addition to improving customer service, it would allow each town/village to create valuable space in their over-crowded offices, eliminate the hunger for paper and filing cabinets, allow important staff time (as we are all pushed to do more and more with less) to perform work and not retrieve off-site records or uncataloged records. The pricing for implementing Laserfiche RIO (with all of the available modules -web access, weblink, workflow, audit trail, quickfields, and transparent records management) as a shared service utilizing the existing County Laserfiche software license and maintenance agreement for participating agencies is: https://eservices.nysed.gov/ldgrants/PrintAppServiet?i=narr 3/23/2012 LGRMIF Narratives Page 13 of 34 Each Full RIO user license with Scan Connect: $1049 + $251 (first year of support) _ • $1,300 There would not be a server cost to each town, as they would be accessing the county network thru a web portal. Training costs would also be significantly less because all the towns would be trained together instead of at separate trainings. Additionally, any production scanning would be out-sourced to our scanning vendor (Challenge Industries); thereby alleviating the need to purchase a scanner or pay town staff to scan documents. The towns/villages would also be able to utilize the county's disaster recovery solution, redundant servers, virtualization, and IT & records management support. If the towns were not to utilize the County hosted Laserfiche solution and decided to invest in their own system, the pricing would be much higher. We have obtained the prices for how much it would cost each town to purchase an Avante Laserfiche system with 1-10 Users. The system would be the bare minimum as far as modules - they would not have any web components, audit trail, or quickfields modules. There would be Workflow capabilities but that would add 2 more days of training to each of the numbers below - because the trainers would need to build some Workflows for them and then teach them how to continue to build more. If each town/village wanted to add workflow implementation and training, it would add $3,000 to each of the numbers below. They would also all need a server which would run around $3,000 for a small municipality • (unless they already have a server and we can have the required space on that server). They would also need to budget for a desktop scanner (between $1,000 -$2,000) depending on the work load and use of the scanner. If each partnering municipality were to purchase Laserfiche independently, the software and training costs would be as follows: 1-4 users includes installation and training for 2 days 1 User License $6098 + Yearly Maintenance $433 = $6,531 2 User License $6698 + Yearly Maintenance $533 = $7,231 3 User License $7298 + Yearly Maintenance $633 = $7,931 4 User License $7898 + Yearly Maintenance $733 = $8,631 In addition the average training costs of $3,000 and computer hardware of $5,000 would need to be included. The cost difference for just the first user (shared services) would be $1300 plus $251 for each year of service versus $6,531 plus an additional minimal $8,000 of upfront equipment costs. Potential cost savings for each partnering agency would be at least $13,231 under this proposed shared services model. This figure is based only on implementation costs and does not account for long term IT support, migration expenses and Disaster Recovery or data duplication services. ""-c-An additional result of this project will include the purchase and implementation • of an electronic Disaster Recovery program and the necessary increase in data storage capacity as designed and integrated with County's existing Storage Area Network (SAN) platform (NetApp) and redundant data centers. This application includes a request to purchase both hardware and professional services in order httPs:Heservices.nYsed.gov/ldgrants/PrintAPPServlet?i=narr 3/23/2012 LGRMIF Narratives Page 14 of 34 to accomplish this critical technology advancement and provide a sound solution • for the long term managment of public records within an electronic format. ITS has consulted with Lynx Technologies under a NYS Contract arrangement for all previous SAN hardware purchases and professional services. Our collaboration with Lynx has been very successful and the application includes a similar model for this project. Tompkins County ITS maintains two primary climate controlled data centers with redundant generator power sources in separate facilites and connected with dark fiber. If this application is funded, the improved County's IT infrastructure will include capacity to provide a complete automatic "mirroring" of all Laserfiche images and data between the two data centers, a doubling or increase of capacity of the current 6 Terabytes of digital storage to accomodate the proposed Town records sets and future expansion needs, and the configuration of the Laserfiche secure, web portal service. P~,;f An additional result of this project will include the purchase and implementation an electronic Disaster Recovery program and the necessary increase in data storage capacity as designed and integrated with County's existing Storage Area Network (SAN) platform (NetApp) and redundant data centers. This application includes a request to purchase both hardware and professional services in order to accomplish this critical technology advancement and provide a sound solution for the long term managment of public records within an electronic format. ITS has consulted with Lynx Technologies under a NYS Contract arrangement for all previous SAN hardware purchases and professional services. Our collaboration with Lynx has been very successful and the application includes a similar model • for this project. Tompkins County ITS maintains two primary climate controlled data centers with redundant generator power sources in separate facilites and connected with dark fiber. If this application is funded, the improved County's IT infrastructure will include capacity to provide a complete automatic "mirroring" of all Laserfiche images and data between the two data centers, a doubling or increase of capacity of the current 6 Terabytes of digital storage to accomodate the proposed Town records sets and future expansion needs, and the configuration of the Laserfiche secure, web portal service. An additional result of this project will include the purchase and implementation Ni~ f an electronic Disaster Recovery program and the necessary increase in data storage capacity as designed and integrated with County's existing Storage Area Network (SAN) platform (NetApp) and redundant data centers. This application includes a request to purchase both hardware and professional services in order to accomplish this critical technology advancement and provide a sound solution for the long term managment of public records within an electronic format. ITS has consulted with Lynx Technologies under a NYS Contract arrangement for all previous SAN hardware purchases and professional services. Our collaboration with Lynx has been very successful and the application includes a similar model for this project. Tompkins County ITS maintains two primary climate controlled data centers with redundant generator power sources in separate facilites and connected with dark fiber. If this application is funded, the improved County's IT infrastructure will include capacity to provide a complete automatic "mirroring" of all Laserfiche images and data between the two data centers, a doubling or • increase of capacity of the current 6 Terabytes of digital storage to accomodate the proposed Town records sets and future expansion needs, and the configuration of the Laserfiche secure, web portal service. https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 15 of 34 • QAn additional result of this project will include the purchase and implementation of an electronic Disaster Recovery program and the necessary increase in data storage capacity as designed and integrated with County's existing Storage Area Network (SAN) platform (NetApp) and redundant data centers. This application includes a request to purchase both hardware and professional services in order to accomplish this critical technology advancement and provide a sound solution for the long term managment of public records within an electronic format. ITS has consulted with Lynx Technologies under a NYS Contract arrangement for all previous SAN hardware purchases and professional services. Our collaboration with Lynx has been very successful and the application includes a similar model for this project. Tompkins County ITS maintains two primary climate controlled data centers with redundant generator power sources in separate facilites and connected with dark fiber. If this application is funded, the improved County's IT infrastructure will include capacity to provide a complete automatic "mirroring" of all Laserfiche images and data between the two data centers, a doubling or increase of capacity of the current 6 Terabytes of digital storage to accomodate the proposed Town records sets and future expansion needs, and the configuration of the Laserfiche secure, web portal service. An additional result of this project will include the purchase and implementation of an lectronic Disaster Recovery program and the necessary increase in data storage capacity as designed and integrated with County's existing Storage Area Network (SAN) platform (NetApp) and redundant data centers. This application includes a request to purchase both hardware and professional services in order to accomplish this critical technology advancement and provide a sound solution for the long term managment of • public records within an electronic format. ITS has consulted with Lynx Technologies under a NYS Contract arrangement for all previous SAN hardware purchases and professional services. Our collaboration with Lynx has been very successful and the application includes a similar model for this project. Tompkins County ITS maintains two primary climate controlled data centers with redundant generator power sources in separate facilites and connected with dark fiber. If this application is funded, the improved County's IT infrastructure will include capacity to provide a complete automatic "mirroring" of all Laserfiche images and data between the two data centers, a doubling or increase of capacity of the current 6 Terabytes of digital storage to accomodate the proposed Town records sets and future expansion needs, and the configuration of the aserfiche secure, web portal service. 6 An additional result of this project will include the purchase and implementation of an electronic Disaster Recovery program and the necessary increase in data storage capacity as designed and integrated with County's existing Storage Area Network (SAN) platform (NetApp) and redundant data centers. This application includes a request to purchase both hardware and professional services in order to accomplish this critical technology advancement and provide a sound solution for the long term managment of public records within an electronic format. ITS has consulted with Lynx Technologies under a NYS Contract arrangement for all previous SAN hardware purchases and professional services. Our collaboration with Lynx has been very successful and the application includes a similar model for this project. Tompkins County ITS maintains two primary climate controlled data centers with redundant generator power sources in separate facilites and connected with dark fiber. If this application is funded, the • improved County's IT infrastructure will include capacity to provide a complete automatic "mirroring" of all Laserfiche images and data between the two data centers, a doubling or increase of capacity of the current 6 Terabytes of digital storage to accomodate the proposed Town records sets and future expansion needs, and the configuration of the https:Heservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 16 of 34. aserfiche secure, web portal service. 7 An additional result of this project will include the purchase and implementation of an • electronic Disaster Recovery program and the necessary increase in data storage capacity as designed and integrated with County's existing Storage Area Network (SAN) platform (NetApp) and redundant data centers. This application includes a request to purchase both hardware and professional services in order to accomplish this critical technology advancement and provide a sound solution for the long term managment of public records within an electronic format. ITS has consulted with Lynx Technologies under a NYS Contract arrangement for all previous SAN hardware purchases and professional services. Our collaboration with Lynx has been very successful and the application includes a similar model for this project. Tompkins County ITS maintains two primary climate controlled data centers with redundant generator power sources in separate facilites and connected with dark fiber. If this application is funded, the improved County's IT infrastructure will include capacity to provide a complete automatic "mirroring" of all Laserfiche images and data between the two data centers, a doubling or increase of capacity of the current 6 Terabytes of digital storage to accomodate the proposed Town records sets and future expansion needs, and the configuration of the aserfche secure, web portal service. 4 4An additional result of this project will include the purchase and implementation of an electronic isaster Recovery program and the necessary increase in data storage capacity as designed and integrated with County's existing Storage Area Network (SAN) platform (NetApp) and redundant data centers. This application includes a request to purchase both hardware and professional services in order to accomplish this critical technology advancement and provide a sound solution for the long term managment of public records within an electronic format. ITS has consulted with Lynx Technologies under a NYS Contract arrangement for all previous SAN hardware • purchases and professional services. Our collaboration with Lynx has been very successful and the application includes a similar model for this project. Tompkins County ITS maintains two primary climate controlled data centers with redundant generator power sources in separate facilites and connected with dark fiber. If this application is funded, the improved County's IT infrastructure will include capacity to provide a complete automatic "mirroring" of all Laserfiche images and data between the two data centers, a doubling or increase of capacity of the current 6 Terabytes of digital storage to accomodate the proposed Town records sets and future expansion needs, and the configuration of the Laserfiche secure, web portal service. IIb. Contribution to development of records management program As a county, we have achieved excellent results with our inter-departmental management and sharing of digital information. As a next phase in our records management program, we plan to extend this service to our local town and village governments. With the the past grants, we have focused on the County Clerk's Office EDMS and the main interdepartmental users (primarily, Assessment Department, GIS and ITS Departments), however, other departments are now starting to utilize our data and images and are getting comfortable with the idea of imaging. The Finance Department, Planning Department, Health Department, TCAT (transportation), E-911 (emergency services), District Attorney and Sheriffs Department have all started using our EDMS to access centralized information and improve efficiencies in their departments. The last grant (2011-2012) focused on the digital records center and the sharing of data between all departments in the county. It is now time to share with our towns and villages and pass the immense cost-savings on • to them. We have always tried and achieved a reputation as being on the cutting edge of forward thinking. The project of a "digital records center" replacing a building will be another great cost savings and time efficiency for our county. As we roll Laserfiche out to towns and villages, we https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 17 of 34 will also be educating and training the departments on not just the new Laserfiche enterprise • system, but also in not creating paper and starting the entire vicious process all over again. Laserfiche will be picking up all systems "official copy" for their records retention requirements. The Tompkins County Clerk's Office and Information Technology Services Department (ITS) have collaborated on the design, implementation and management of numerous Electronic Document Management Systems (EDMS) over the course of the past decade. The largest of which began in 1999 with our first project specifically designed to meet the requirements and mandated processes associated with the County Clerk's Office records. Through the continued support, development and expansion of this initial project Tompkins County has gained the necessary experience across the many disciplines necessary to successfully manage a large scale, multi-departmental, enterprise EDMS. The County-wide digital records management project, established in 2009 and based on the use of the Laserfiche software platform, has resulted in the identification of fourteen pilot projects of varying scope, complexity and technical requirements. The County had only the one paper copy of these records and we saw these projects as needing addressing first. The projects selected to initially define our digital records management program include: 1. Legislative Minutes and Proceedings (1865 to 2009) - all books of proceedings were scanned and OCR'd in two days, are now available thru a web portal and images converted to microfilm for archival storage. 2. County Contracts and Certificates of Insurance - scanned, indexed and OCR'd 6 years of these shared inter-departmental documents and implemented a workflow routing process. 3. Highway and Facilities Maps and Plans - imaged all maps and plans and have indexed allowing for remote access from job sites and the field, rather than relying on an original or often single version large paper maps. . 4. District Attorney - scanned all of their non-active case files (over 2000 storage boxes). 5. Birth and Death Records - scanned and microfilmed these records, used quickfields to automate the indexing process and utilized the workflow module to create a seamless flow between the local hospital, our health dept and state vital records. 6. Payroll Records - completed scanning of these long-term records in order to set up templates for the records held in the Records Center and integration with improved processes resulting from a new HR/Payroll system. 7. Environmental Health - scanned and indexed all of their maps and plans. 8. Tax Maps - scanned all of the historic tax maps from 1966 to 2010. 9. Tax Rolls - scanned all the tax rolls for the Finance Dept from 1966 to 2010. 10. Criminal Files - scanned the Supreme and County Court criminal files from 1817 to 2012. 11. Personnel - scanned the civil service history & payroll cards and anticipate their integration using a workflow routing process and a new on-line job application system. 12. Mental Health - preparation of all inactive client case histories with anticipated scanning and indexing to occur in 2012. 13. Airport - scanned and incorporated all maps, plans and office files to achieve departmental goal of a more paperless office. 14. Sheriff -scanning all their closed civil records and old jail records. An evaluation of these pilot projects has in turn led to an increase of data storage capacity, data network improvements required to enhance performance between the County's seventeen facilities, and the development of a plan to implement a more advanced data redundancy and recovery program. In addition, the history of Tompkins County EDMS projects, managed through ITS and County Clerk collaboration, have resulted in the acceptance of standardized procedures • and technology support mandates which are now integrated across the entire organization for all digital records management projects and practices. https:Heservices.nysed.gov/ldgrants/PrintAppServiet?i=narr 3/23/2012 LGRMIF Narratives Page 18 of 34 Ile. Contribution of Service to the public . Our next step in this project is to make our records accessible on the Internet thru a public portal. The public an a other en users wou nave more data and images avai a e or immediate access an use. igi a y stored public recor s wi also be indexed as necessary an a owing for much improved search and retrieval capabilities and open text searching of the content of public records. The project would eliminate numerous trips to governmental offices in order to obtain documents. In addition to improving customer service, it would allow us to create more space in our over-crowded offices and store the imaged records in our off-site county records center. We recently inititiated a pilot project and have opened up all of our public data to the NYS court system, Tompkins County Bar Association, local title companies, surveyors and local towns and villages. The proverbial "to do more with less" is also a benefit to the public - a tax benefit - and what the public expects from their government employees in today's fiscal environment. Employees are more efficient by utilizing the tools provided to them. They can better use their time to assist the public and not spend time searching for records. While the County and participating towns are unable to undertake a project of the size requested in this grant, it is possible that in the near future, we will be able to pass this historic and vital information via the internet to the public. It will also allow internal users to work with greater efficiency. • Ilia. Detailed outline/timetable for project apx. start apx. end date date Phase 1 - Pre-Grant (county & towns) 7/1/2012 9/30/2012 Setting up a governance structure agreement & 7/1/2012 7/7/2012 establishing a user consortium Prepare documents for vendor pickup 711/2012 9/30/2012 Phase 2 - Scanning (vendor) 7/1/2012 4/3012013 Prep & inspect documents 711/2012 10/31/201 https:Heservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 19 of 34 • Scan all documents 7/1/2012 4/30/2013 Inspect images and create CDs 7/14/2012 4/30/2013 Package and ship boxes and CDs to towns & county 8/1/2012 130/2013 Phase 3 - Inspection (towns) 8/1/2012 5/30/2013 Review and inspect CDs 8/1/2012 5130/2013 Prepare records for storage or disposal 8/1/2012 5/30/2013 Phase 4 - Indexing (vendor) 8/112012 5/3012013 • Inspect cds 81112012 5/30/2013 Index images 811/2012 5/30/2013 Package and ship cds to towns /county 8/1/2012 5/30/2013 Phase 5 - Integration (county& towns) 9/1/2012 6/14/2013 Integrate scanned images into Laserfiche system 9/1/2012 6/14/2013 Prepare for future internet access 3/1/2013 6/14/2013 • See attached time table.' We have identified stages in this project: https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 20 of 34 1. Setting up a govemance structure and agreement - prior to the grant period § Each government will be provided with complete control over its own content within the • system with various levels of security, as required by the govemment § Will have their own dedicated repository § Have access to a robust enterprise document management system that they can then tailor to their own needs § Ability to generate reports, as they need § Records management component will automatically keep track of documents by their retention schedule and then notify governments when and what documents are ready for disposal § Software has enormous potential and each government can use it for whatever needs they identify as their priorities § Governments may set up their own individual user security as they need § OCR capabilities will allow governments to text search and reduce the time spent indexing documents § Allows for multiple remote capabilities thru a web browser- computers, laptops, smart phones, tablets, 2. Establishing a user consortium for training and support - prior to the grant period and point contact persons in each government - train the trainer 3. Scanning the town minutes - during the grant 4. Scanning the building department permits and files - during the grant 5. Vendor training for individual towns depending on their individual needs that are not met thru the user consortium - as needed In the first phase of the project, we will be meeting to set up a governance structure and • have an agreement in place with the participating towns. We also plan to ask the other non-participating towns/villages/court clerks to join us, in case they may want to join in the future. The user consortium will establish a regular meeting schedule and determine when & what we will have General Code (state contract # PT60291) cover in training. Since the county's Laserfiche system administrator and IT Dept have been utilizing Laserfiche for three years and have an above average understanding of the software, we will be the first line of training and problem solving before contacting General Code for more in depth assistance. These steps will be taken prior to the notification of the grant period. We plan on then scanning 908, 000 images of minutes and building department permits. This phase of the project will be completed by late 2012 or early 2013. We had decided to commence with these records first because these records are long term or ermanent and would make them easily accessible to the town staff and public. y The purchase and implementation o an a ec ronc isaster Recovery program an e necessary increase in data storage capacity as designed and integarted with the County's existing Storage Area Network (SAN) platform (NetApp) and redundant data centers from Lynx Technologies (state contract #PT60947). This includes the purchase of both hardware and professional services in order to accomplish this critical technology advancement and provide a sound solution for the long term managment of public records within an electronic format. ITS has consulted with Lynx Technologies under a NYS Contract arrangement for all previous SAN hardware purchases and professional services. Our collaboration with Lynx has been very successful and the application • includes a similar model for this project. Tompkins County ITS maintains two primary climate controlled data centers with redundant generator power sources in separate facilites and connected with dark fiber. If this application is funded, the improved https://eservices.nysed.gov/ldgrants/PrintAppServiet?i=narr 3/23/2012 LGRMIF Narratives Page 21 of 34 • County's IT infrastructure will include capacity to provide a complete automatic "mirroring" of all Laserfiche images and data between the two data centers, a doubling or increase of capacity of the current 6 Terabytes of digital storage to accomodate the proposed Town records sets and future expansion needs, and the configuration of the Laserfiche secure, web portal service. The purchase and implementation of an electronic Disaster Recovery program and the necessary increase in data storage capacity as designed and integarted with the County's existing Storage Area Network (SAN) platform (NetApp) and redundant data centers from Lynx Technologies (state contract #PT60947). This includes the purchase of both hardware and professional services in order to accomplish this critical technology advancement and provide a sound solution for the long term managment of public records within an electronic format. ITS has consulted with Lynx Technologies under a NYS Contract arrangement for all previous SAN hardware purchases and professional services. Our collaboration with Lynx has been very successful and the application includes a similar model for this project. Tompkins County ITS maintains two primary climate controlled data centers with redundant generator power sources in separate facilites and connected with dark fiber. If this application is funded, the improved County's IT infrastructure will include capacity to provide a complete automatic "mirroring" of all Laserfiche images and data between the two data centers, a doubling or increase of capacity of the current 6 Terabytes of digital storage to accomodate the proposed Town records sets and future expansion needs, and the configuration of the Laserfiche secure, web portal service. he purchase and implementation of an electronic Disaster Recovery program and the necessary increase in data storage capacity as designed and integarted with the County's existing Storage Area Network (SAN) platform (NetApp) and redundant data centers from Lynx Technologies (state contract #PT60947). This includes the purchase of both hardware and professional services in order to accomplish this critical technology advancement and provide a sound solution for the long term managment of public records within an electronic format. ITS has consulted with Lynx Technologies under a NYS Contract arrangement for all previous SAN hardware purchases and professional services. Our collaboration with Lynx has been very successful and the application includes a similar model for this project. Tompkins County ITS maintains two primary climate controlled data centers with redundant generator power sources in separate facilites and connected with dark fiber. If this application is funded, the improved County's IT infrastructure will include capacity to provide a complete automatic "mirroring" of all Laserfiche images and data between the two data centers, a doubling or increase of capacity of the current 6 Terabytes of digital storage to accomodate the proposed Town records sets and future expansion needs, and the configuration of the Laserfiche secure web portal service § § § § § § § § § The purchase and implementation of an electronic Disaster Recovery program and the necessary increase in data storage capacity as designed and integarted with the County's existing Storage Area Network (SAN) platform (NetApp) and redundant data centers from Lynx Technologies (state contract #PT60947). This includes the purchase of both hardware and professional services in order to accomplish this critical technology advancement and provide a sound solution for the long term • managment of public records within an electronic format. ITS has consulted with Lynx Technologies under a NYS Contract arrangement for all previous SAN hardware purchases and professional services. Our collaboration with Lynx has been very successful and the application includes a similar model for this project. Tompkins County https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 22 of 34 ITS maintains two primary climate controlled data centers with redundant generator power sources in separate facilites and connected with dark fiber. If this application is • funded, the improved County's IT infrastructure will include capacity to provide a complete automatic "mirroring" of all Laserfiche images and data between the two data centers, a doubling or increase of capacity of the current 6 Terabytes of digital storage to accomodate the proposed Town records sets and future expansion needs, and the configuration of the Laserfiche secure, web portal service. § § § § § § § § § The purchase and implementation of an electronic Disaster Recovery program and the necessary increase in data storage capacity as designed and - ' integarted with the County's existing Storage Area Network (SAN) platform (NetApp) and redundant data centers from Lynx Technologies (state contract #PT60947). This includes the purchase of both hardware and professional services in order to accomplish this critical technology advancement and provide a sound solution for the long term managment of public records within an electronic format. ITS has consulted with Lynx Technologies under a NYS Contract arrangement for all previous SAN hardware purchases and professional services. Our collaboration with Lynx has been very successful and the application includes a similar model for this project. Tompkins County ITS maintains two primary climate controlled data centers with redundant generator power sources in separate facilites and connected with dark fiber. If this application is funded, the improved County's IT infrastructure will include capacity to provide a complete automatic "mirroring" of all Laserfiche images and data between the two data centers, a doubling or increase of capacity of the current 6 Terabytes of digital storage to accomodate the proposed Town records sets and future expansion needs, and the configuration of the Laserfiche secure, web portal service. § § § § § § § § § The purchase and implementation of an electronic Disaster Recovery program and the necessary increase in data storage capacity as designed and integarted with the - County's existing Storage Area Network (SAN) platform (NetApp) and redundant data centers from Lynx Technologies (state contract #PT60947). This includes the purchase of both hardware and professional services in order to accomplish this critical technology advancement and provide a sound solution for the long term managment of public records within an electronic format. ITS has consulted with Lynx Technologies under a NYS Contract arrangement for all previous SAN hardware purchases and professional services. Our collaboration with Lynx has been very successful and the application includes a similar model for this project. Tompkins County ITS maintains two primary climate controlled data centers with redundant generator power sources in separate facilites and connected with dark fiber. If this application is funded, the improved County's IT infrastructure will include capacity to provide a complete automatic "mirroring" of all Laserfiche images and data between the two data centers, a doubling or increase of capacity of the current 6 Terabytes of digital storage to accomodate the proposed Town records sets and future expansion needs, and the configuration of the Laserfiche secure, web portal service. IIIb. Requirements of relevant project category The participating Town based minutes and building permit records will be scanned, digitized and maintained in compliance with NYS guidelines related to Manaaina . Government Records, as described in NYS Records and Information Management, Publications a) Imaging Production Guidelines (#00) and b) Guidelines for Ensuring the Long Term Accessibility and Usability of Records Stored as Digital images (#22). Th • digitized records will be in TIFF format and stored in the Torripkf6s" oun y ase is e repository and redundant data centers Storage aanc re neva o ese recor s will, Be in accordance with current Tompkins County/Town procedures and in compliance with NYS https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 23 of 34 • guidelines. The document management and retrieval product will be Laserfiche RIO version 8.3. Laserfiche is a Windows-based document imaging system that lets our organization file, catalog, and retrieve documents. The files include an electronic non-editable image of the document, along with electronic text, and metadata that creates a searchable database of document information. It also allows users to highlight, redact, and add stamps and notes to the document image, just as with paper versions - but these are added as a layer on top of the electronic image so they do not permanently change the document. This software has been in use in Tompkins County over the last four (4) years. It is a stable and extremely user friendly platform and has proven to be highly effective tool. It allows the users quick and easy access to their documents securely via the internet, substantially reducing the time to respond to requests and recover records. Currently, these frequently accessed files require staff to leave their desks to locate the box or cabinet that houses the records. The location of the files is often in basements (both finished and unfinished), store rooms and even outdoor storage units. The environments are not generally well lit and staff is reluctant to retrieve and return the documents. This project will require the staff to provide the files to the vendor purged of unnecessary or retention expired documents. However, the vendor will assume responsibility to remove all staples, clips etc and assure the pages are flat and ready for scanning. The • vendor will create cover sheets with the indexes identified by the participants. As part of their quality assurance it will be their responsibility to confirm that all pages are scanned and readable. An external, attachable hard drive will be used to transfer and store a secondary copy of the records. After the transfer of the digitized documents to the repository, each participant will verify that 100% of the documents have been scanned and are readable in the Laserfiche system. Once verified that the records are in place and accessible, the participants will then be responsible for the destruction of the paper via shredding or as they deem appropriate. Once accomplished, digitizing of minutes and building permits will become part of each participating town's ongoing procedure related to records management for new files. Because this is an existing storage and retrieval platform and an integral part of their operation, Tompkins County has, and will continue, to budget for the maintenance and support of both the hardware and software required. The following outline will be followed: Pre-Conversion Tasks Inventory of records sets - completed . Documentation of document year, type, document number range, and document count Preparation Procedures Removal of binding, paperclips, and staples, torn corners or pages will be mended using tape and pages smaller than full size will be taped to paper https:Heservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 _LGRMIF Narratives Page 24 of 34 Fortunately, 90 percent of the paper documents have had some prior preparation and are in good shape Scanning • Procedures Scan at 300 dpi Each box will be scanned into a folder with the year, box type, and then box range Each box should be a separate document Index the box number Quality control performed with images 100% verified if Towns consider destruction Image count verification Post-Production Images will be 100% verified by Towns prior to any record destruction Documents that must be maintained in paper permanently will be re-boxed and readied for storage Images will be imported into the Laserfiche enterprise system - boxes numbers will have been assigned into departmental folders and templates assigned - images will be OCR'd and depending on document type, they may also be auto-indexed using the Quickfields module File Format Each box scanned contains a number of town files. Each of these files is to be converted to a single, black and white, multi-page Tiff document, Group 4 Compressed. The file name of each group 4 compressed tiff image is to be composed of a 5-digit box location identifier immediately followed by a town six-digit file number followed by the TIF extension. For example, if a document can be found in Box number 10012 and the case . number is 07-1029, the corresponding file name would be: "10012071029.TIF".Files are grouped by the Box from which they are taken and are stored in a directory that is appropriately named. For example, all images taken from Box number 10012 are stored in a directory named "60X_10012". Index Data Index data is to be stored in an ASCII file, one line per document. Each line should contain 2 fields of data. The fields of data are to be delineated by pipe characters The 2 required fields of data are "box" and "file". A sample line containing index data is as follows: 100121071029.TIF file. Responsible parties and qualifications Project Director: Maureen Reynolds, Deputy County Clerk Maureen has worked for the County Clerk's Office for 20 years and has overseen and completed numerous LGRMIF grants. She was instrumental in developing the current EDMS and will be supervising all aspects and progress on this grant. In addition she has attended many State Archives workshops. Alanna and Maureen just completed their third intensive week-long Laserfiche training conference in Los Angeles. She has developed a close working relationship with the vendor (Challenge Industries), the town clerks and Laserfiche to incorporate all the components to complete these projects. • County Clerk Staff: Alanna Congdon, Administrative Recording Clerk Alanna has worked for the County Clerk's Office for 14 years and has worked as a liaison with the vendor, County ITS and the system developer on multiple projects and prior https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 25 of 34 • grants. She also does all final verification, document release and incorporation of documents into our EDMS and Laserfiche enterprise system. She has been extensively trained in Laserfiche with special instruction in the records management module. She will be the primary person in setting up user accounts, setting rights, folder structure, templates, and importing images with the user training consortium. Imaging Vendor: Challenge Industries Challenge Industries is a supportive employment agency, and is a preferred vendor. They have a comfortable working relationship with the County. They have done a superb job for the County on our previous LGRMIF microfilming, imaging and indexing grants. Their prices are competitive and their quality has proven to be second to none. Their location is a mile from the Courthouse, which makes it easy to retrieve records quickly from their facility and saves us costly shipping expenses. They have also set up 15 scan stations dedicated to this project. Tompkins County has attempted in-house scanning efforts with current employees at the County Clerk's Office, but due to the continued increases in real estate recordings (we have not been impacted by the national downturn in real estate due to Educational based economy), we have been unsuccessful at making much progress. It is actually more cost effective for us to out-source the scanning to Challenge Industries. By having this scanning done by them, we have been able to attrition 2.5 positions. In July 2009 , we also started scanning all of the civil cases starting day forward. In November 2009 , we also embarked on backfiling the last 185 years of these cases. This project will be completed by late 2012. We are also preparing to implement e-filing of the supreme • court and county court civil cases and have been discussing e-recording in the near future for land records. Tompkins County ITS Director: Greg Potter Greg has served as the ITS Director for Tompkins County during 13 of his past 15 years of employment. He has provided direct project management and IT support for numerous records management projects, including those previously funded by the LGRMIF program. Recently, he has also managed the implementation of a similar multi- agency, shared services initiative focused on law enforcement records management. Tompkins County Network Administrator: Iretta Ellis Iretta has worked in the ITS Department for 17 years and has held her position as the Network Administrator for the past 5 years. She has overseen the recent implementation of all network upgrades, server virtualization and Storage Area Network (SAN) technology. In addition, Iretta recently attended in depth IT/Networking training sessions provided by and focused on Laserfiche deployment and management. Software Vendor: General Code (VAR for Laserfiche) The Laserfiche software licensing is available under NY State Contract #PT60291 through General Code as their Value-Added Reseller. They are located in Rochester and will be handling the vendor-based training at the initial user consortium training sessions. Hardware Vendor: Lynx Technologies • The purchase of both hardware and professional services (NY State Contract #PT60947) to improve the County's IT infrastructure to include the capacity to provide a complete automatic "mirroring" of all Laserfiche images and data between the two data centers, a doubling or increase of capacity of the current 6 Terabytes of digital storage to https:Heservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 26 of 34 accomodate the proposed Town records sets and future expansion needs, and the configuration of the Laserfiche secure, web portal service. • The Project Director (Deputy County Clerk) will oversee the entire project under the direction of the RMO. The Project Director will meet with the RAO and keep her fully advised of the progress of the project throughout the grant period. The Project Director will meet with the Records User Consortium at least monthly during the grant project and then again when the project is completed. We plan on making this consortium a regular meeting and will continue these meetings after the grant is finished. After the announcement of the grant, work will begin on the project immediately. The Project Director, the Deputy County Clerk, will immediately begin working with the approved vendors to make certain that the handling and indexing of the records complies with all of SARA standards. The Protect Director will immediately begin working with the participating towns, the vendors, the County Attorney and the County Contract Administrator regarding all legal and contract matters pertaining to the grant project. The Project Director will meet with the key project town staff and discuss the project scope and the grant timeline. The scanning quote is from Challenge Industries, a supportive employment agency, and is a preferred vendor. They have done a superb job for the County on our previous LGRMIF microfilming, indexing and imaging grants. Their prices are competitive and their quality has proven to be second to none. Their location is only a mile from the Courthouse, which makes it easy to retrieve records quickly from their . facility and saves us costly shipping expenses. As of Dec 2009, they have set up fifteen high speed scan stations to assist us with the timely scanning of the 9000 boxes in the records center and have been instrumental in assisting with our pilot projects. They have helped us with testing the different town documents for document scanning speeds and requirements. Having these individuals working nearby has saved us transport time and allows for us to still be able to do immediate retrieval for the towns. I The work done by the approved vendor will be done in full compliance with all State Archives requirements. The vendor would have to be fully aware of all State Archives requirements regarding imaging and indexing. It would be preferred that they have successfully completed LGRMIF imaging and indexing grant projects for several other counties in addition to Tompkins County. Existing town staff will be used to prepare the records for indexing and shipping. Several Tompkins County staff are available to assist in the preparation of the project and have extensive experience with these records as clerks on past LGRMIF grants. After the indexing of each batch of CDs (or an external hard drive) is completed, that batch will be immediately picked up or mailed back and returned to the county and/or the appropriate town clerk's office. The Administrative Recording Clerk will ensure that the appropriate number of CDs are returned and will proceed with the final inspection. In addition, the Administrative Recording Clerk will enter them into a logbook, inspect the CDs upon return, work with our ITS staff and town staff - and enter the contents of the CDs into the records center Laserfiche enterprise application for the use of people needing to use • these records. She will also be working with each municipality's point person on setting up their digital repository, folder structure and requested security levels. https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 27 of 34 The current enterprise system has a template and folder structure that we have pre- configured. This will allow us to quickly process the images and assign them into the correct town and departmental folders. The vendor would complete the scanning and the administrative recording clerk and town clerk staff will be importing the images and making any corrections. The Project Director will have ensured that the records have been properly stored, that all imaging has been correctly attached, that all money has been properly accounted for, and that all reports have been completed and sent to State Archives. The Project Director will ensure that Town & County Department Heads, the Administration Department and the County Legislature will be notified of the project's success. The DeWitt Historical Society and City, Town and Village governments in the County will be notified of the project's success. The local news media will be informed and the greatest possible exposure will be given to the project's benefits to the citizens of Tompkins County. Tompkins County & the participating towns will then build on the success of this project and go forward. The user consortium will work to expand the amount of suitable records that are incorporated into a County - Town Enterprise program. We will use this success as a facilitator for more records management programs in Tompkins County and will be reaching out to the other non-participating towns, villages and court clerks. This is a very large-scale scanning project. If we had decided to undertake the entire venture by hiring more interns in-house, it would have required 5 to 7 interns working 40 hours a week to accomplish all the scanning. Our payroll costs would be much higher than out-sourcing (average pay in Tompkins County for a project assistant is $15 - $20/hour plus we would have to pay fringes of between 10% and 60%). Also, we could have out-sourced the entire project but would feel more comfortable with our office doing the final checking and importing step. So, we believe the best course of action is a mixture of out-sourcing (scanning) and in-house (verification & import). We chose Challenge Industries as the vendor for this application based on their price, working relationship, knowledge of the project, preferred vendor status and location. The document retrieval time is minutes, not days and there is no additional charge for shipping boxes or image retrievals. Their prices are competitive, their quality is exceptional, they are only 1 mile from the Courthouse and we have an established and trusted relationship. As of Dec 2009, they have set up fifteen high speed scan stations to assist us with the timely scanning of the 9000 boxes in the records center and have been instrumental in assisting with our pilot projects. They have helped us with testing the different town documents for document scanning speeds and requirements. Having these individuals working nearby has saved us transport time and allows for us to still be able to do immediate retrieval for the towns. We also have three additional scan stations of our own set up in the County Clerk's Office. When county clerk staff has any down time at the office, we have them assist. IVa. Contributions demonstrated The County has adopted the CO-2 schedule and officially appointed the County Clerk as the RMO • for Tompkins County. The County has an official Records Advisory Board established according to State Archives guidelines. Board members have been selected from County departments, including the County Legislature, County Administration, County Attorney, Finance, Information Technology Services, County Clerk, and other records management experts from outside County https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 28 of 34 government. In addition, the County Clerk's Office accepted responsibility for the county-wide, or enterprise level, Records Management Program in 2009 with the primary requirement of • providing a strategy to manage the 9,000 boxes of inactive records. The Records Management Program has a budget of $48,603 for 2011, which covers the salary and fringes for one full time employee in the records office and other necessary associated costs. Additionally, one employee has worked part time in the Records Management Program for the past three years to assist with the inventorying, imaging, indexing and filming of historic county clerk records (marriage records, immigration, records of conviction, military discharges, incompetents, etc.). The County Clerk's Office has recently purchased, and with the assistance of ITS, implemented the new Laserfiche RIO system to upgrade the Records Management Program to an enterprise level solution which now has the functional capabilities to support multiple agencies. This recent software upgrade and investment amounted to over $75,000 of local funds. County staff has also been finalizing the initial departmental pilot projects with continual adjustments and enhancements provided to the folder structures, templates, scanning technology and process improvements. The County Clerk's Office will provide support and expertise to assist with the assignment of retention codes from the CO-2 (and the MU-1 for the town's records) schedules and the corresponding configuration of the Laserfiche system at the time of the import for all contributing records. Participants will no longer need to print and then store the physical records in the Records Center or in their respective offices. The County would also be able to designate the Laserfiche version as the "official record", therefore eliminating any common records duplication issues with participants. The County Clerk's Office and participating towns will contribute existing staff for assistance with project management, records preparation, image quality control, data integration and advanced indexing. Oversight and the direction of the project will be conducted by the Deputy County Clerk and Town Clerks with assistance from the Administrative Recording Clerk. The Administrative Recording Clerk, Deputy County Clerk and ITS will be training individual departments and towns on the use of this new records management Laserfiche RIO enterprise system, once it has been fully implemented. The Deputy County Clerk/Project Director and the Administrative Recording Clerk have also been trained to be backup for the Records Management program. All staff in the County Clerk's Office have been trained to assist with scanning when they have available time. Also, Tompkins County employees from both the County Clerk's Office and ITS have attended the past three annual international Laserfiche conference and training sessions held in California. Tompkins County recognizes the importance of sound technology planning, implementation and future support necessary for the success of this proposed Shared Services EDMS project. ITS is fully committed and has scheduled the necessary personnel resources to assist in this effort. The proposed network storage and disaster recovery enhanced solutions have been researched and specifically recommended by ITS and are justified based on a true IT disaster recovery plan. The Laserfiche system and ITS maintained network enhancements will allow departments to store their newly created digital records on centralized, redundant servers and Storage Area Network (SAN) appliances located in two County maintained and geographically seperated data centers. The County also purchased and implemented the initial the hardware and software since 2009 which has enabled the advancement of this project. In addition, the County has also invested in a centralized back up system to accommodate a larger library and dual writers for quicker backup. ITS has also invested in a "virtual" server technology based on the Vmware platform. The recent Laserfiche RIO upgrade included the "virtualization" of the two associated servers. The County has also maintained the County Clerk EDMS application since 2000 which was developed with previous grant funds, additional County funds from a GIS capital project, and • County Clerk funding. This has been a highly successful records management system which has had numerous enhancements and platform migrations. https://eeervices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 29. of 34 IVb. Program Maintenance The Tompkins County Clerk's Office and Information Technology Services Department (ITS) have collaborated on the design, implementation and management of numerous Electronic Document Management Systems (EDMS) over the course of the past decade. The largest of which began in 1999 with our first project specifically designed to meet the requirements and mandated processes associated with the County Clerk's Office records. Through the continued support, development and expansion of this initial project Tompkins County has gained the necessary experience across the many disciplines necessary to successfully manage a large scale, multi-departmental, enterprise EDMS. The County-wide digital records management project, established in 2009 and based on the use of the Laserfiche software platform, has resulted in the completion of fourteen pilot projects of varying scope, complexity and technical requirements. An evaluation of these pilot projects has in turn led to an increase of data storage capacity, data network improvements required to enhance performance between the County's seventeen facilities, and the development of a plan to implement a more advanced data redundancy and recovery program. In addition, the history of Tompkins County EDMS projects, managed through an ITS and County Clerk collaboration, have resulted in the acceptance of standardized procedures and technology support mandates which are now integrated across the entire organization for all digital records management projects and practices. Technology representation and support is one of the most critical factors for any EDMS or digital document conversion project. Since the implementation of the County Clerk's Office records project in 1999 Tompkins County has made significant investments in technology necessary to maintain systems and support future expansion of the County-wide EDMS project. The following is a summary of the more substantial technology upgrade projects which have been completed or are currently funded. Centralized Tape Backup System: ITS manages all data on numerous servers located at various County facilities. Prior to 2006 individual tape backup media devices and software were installed at each independent physical location on the County's Wide Area Network (WAN). The purchase and implementation of the Commvault data backup solution enabled the County to centralize to the data centers many backup routines within the network. This project is fully implemented and has significantly simplified the County's backup and data recovery process. Previously, the management of tapes at each County facility required intervention to complete the daily backups. The current centralized backup system based on a 48 tape library with two separate backup drives requires limited intervention (reduction of human error), improved response time for restoration of data, and provides flexibility for future growth to meet records storage requirements. A regular off-site tape rotation is also a part of the current data backup procedures. Blade Servers & Storage Area Network (SAN): The County Clerk's records project software and data was originally installed and based on a single, stand alone, server configuration. Similar application servers managed by ITS typically averaged a five year life cycle. However, based on the exponential increase of images converted by the County Clerk's Office, the life cycle of servers during the early stages of this project averaged only two years due to data storage limitations (60-100 Gig range). After three server upgrades based on storage capacity needs, the County invested in a blade server and server virtualization technology with an attached SAN. This technology upgrade now permits the application and database to be installed on a dedicated blade or virtual servers, while SAN serves to store all of the related electronic document images and related databases with expansion capabilities for future growth. The original SAN, implemented with a dedicated capacity of five terabytes for EDMS projects, has since been supplemented with additional storage drives to a current capacity of 9 terabytes. This application. if successful, will subsequently increase the https:Heservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 30 of 34 Coun , storage capacity to 16 terabytes and 12rovide for data "mirroring" or data redundancy between two data centers. • Gigabit Data Network: A number of Tompkins County data network enhancements have also been completed, or are currently funded, to increase network performance from 10/100 capacity to a Gigabit WAN backbone. This project has included network connectivity upgrades primarily from a traditional T 1 level service, to point to point dark fiber connections for all County facilities. The last of the County's network fiber upgrade projects has been funded and will be constructed in 2012 which will upgrade the Sheriff s facility. In addition, the County has replaced the majority of all critical network switches to Gigabit capacity in the last two years. The remaining switches will also be upgraded to Gigabit capacity based on replacement schedules or needs, some of which have also been funded in 2012. These network upgrades now guarantee an expectable image retrieval rate and application EDMS performance for most County facilities. Tompkins County ITS also completed a recent project which resulted in redundant Internet Service Providers (ISPs). This additional network upgrade project is of great value to this Shared Services initiative since it allows for automatic re-routing of Internet traffic to and from the County's network in the event of a service failure by our primary ISP. In effect, participating municipalities will have a higher level of service based on their need for remote access to the County hosted Laserfrche solution. Secondary Data Center: ITS and the County Clerk's Office has a disaster recovery plan in place which is typically tested every 6 months. The process includes a complete restart of all hardware and a review of restored images. Although this approach is acceptable, a true disaster recovery program should include the use of a parallel system and data maintained at a secondary location. One of the primary goals of Tompkins County ITS has been the implementation of a secondary data center and redundant SAN as a core requirement for any true disaster recovery plan. Included in this application is necessary funding to realize this vision All critical and permanent data will be automatically duplicated or mirrored at this secondary data center location based on SAN technology. ITS has also implemented the use of server virtualization which will allow for a complete redundant system configuration and testing environment at our secondary data center. Migration and Data Format: As technology progresses, the County has also configured our EDMS projects with an ability to migrate digital documents to the future generations of media and systems. All digital images are maintained in non-propriety format and all related indexing information has been upgraded to an Open Database Connectivity (ODBC) compliant format. The County has continually made a financial commitment to sustain our records management program based on expected future technology advancements and changes. The County Clerk's Office has stressed the historical importance of all record formats and proven our abilities to commit future staff time, technology support and fiscal resources for the electronic records management and archival needs of Tompkins County. In addition, Tompkins County has invested in the off-site storage of all permanent records in a microfilm format. This requirement is now incorporated into our records management program as batch processes for all digital documents. This functionality also exists within the Laserfiche solution. Government Records Support: The County Administrator and County Legislature fully support the Records Management program and understand the need for a highly developed records management system and the importance of technology to ahieve this effort. The Town Clerk's and Town Supervisor's also fully support the Records Management program. Tompkins County and it's towns are very grateful for what has been accomplished here due to the LGRMIF grants we have received and fully intends to keep records management an important part of Town & County government. In https://eeervices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 31 of 34 addition, there are numerous examples of established shared service based projects between local • government agencies in Tompkins County. Many of these efforts including a health insurance consortium and a gas drilling task force are managed under the Tompkins County Council of Government (TCCOG), an association of local governments organized to provide a forum for discussion and negotiation leading to agreements for more efficient and fiscally responsible delivery of government services. The goals of this organization include: expanding cooperation among taxing entities and resolving duplication of services, improving communication among local governments in Tompkins County and improving involvement with School Districts. Please refer to http://Nvww.tompkins-co.org/iccog/ for additional information. Based on the outcome of this application, it is expected that the Laserfiche solution and shared service records management model will also be reviewed by TCCOG. Professional Salaries Support Staff Salaries Equipment An additional result of this project will include the purchase and implementation of an electronic Disaster Recovery program and the necessary increase in data storage capacity as designed and integarted with County's exisitng Storage Area Network (SAN) platform (NetApp) and redundant data centers. This application includes a request to purchase both hardware and professional services in order to accomplish this critical technology advancement and provide a sound solution for the long term managment of public records within an electronic format. ITS has consulted with Lynx Technologies under a NYS Contract arrangement for all previous SAN hardware purchases and professional services. Our collaboration with Lynx has been very successful and the application includes a similar model for this project. Tompkins County ITS maintains two primary climate controlled data centers with redundant generator power sources in separate facilites and connected with dark fiber. If this application is funded, the improved County's IT infrastructure will include capacity to provide a complete automatic "mirroring" of all Laserfiche images and data between the two data centers, a doubling or increase of capacity of the current 6 Terabytes of digital storage to accomodate the proposed Town records sets and future expansion needs, and the configuration of the Laserfiche secure, web portal service. Minor Remodeling Purchased Services Challenge Industries will have scanned 908,000 images and Tompkins County and the towns will have imported and indexed these images into the existing Laserfiche enterprise system. The images and indexing would include all available participating town's minutes and building department permits. These town records have a retention period of permanent under MU-1 500) • and 1.(I). The Laserfiche enterprise system would be a better tool for all customers (internal and external) for ease of use, accessibility and retrievability. It will also enable each participating town to launch a more comprehensive system on the Internet thru a public portal. In addition, it would have alleviated all immediate storage problems in the participating towns over-crowded records https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 32 of 34 storage areas, would allow each town to dispose of these paper records if they so choose and would create the option of redundant forms of the records (paper, digital, microfilm). By imaging • these archival records, it would reduce the need for capital projects for a new storage buildings or areas and allow the participating towns to focus their limited resources on much needed programs and records management process improvements. Staff time would be greatly reduced without the need of off-site document retrieval. Staff would be able to devote more time to assisting customers and be able to do the proverbial "more with less". And our tech-savvy customers would be more satisfied with immediate retrieval times (rather than waiting for staff to retrieve from off-site storage) and with the ease of digital document retrieval (the ability to help themselves). The elimination of customers having to drive to town offices, find available parking and spend time trying to find their information would be changed to searching the public portal, at any hour, on the Internet and viewing their images almost instantaneously. We would be able to have significant savings with less paper, toner and filing cabinets being purchased. The inter- governmental sharing of important data would also allow us, to eliminate redundancy of work and data. We would be all be sharing data - no more silos of information! Once completed, the savings will be: . Software licensing costs shared . Sharing of IT infrastructure and hardware . IT and records management knowledge sharing . Records requests will be handled timely and with less staff searching time . User support consortium will reduce training costs . Completion of Disaster Recovery and data backup IT infrastructure . Eliminate the need for future construction or renovation costs for records storage . Major savings in paper, toner and filing cabinets . Employees will be more productive - instead of searching for records, they will have them available on their desktop . Space savings - space will be used for employees and not for paper records . The public will be better served with remote access to public records Our ultimate goal is to have all of the town paper records that are stored to be scanned into our digital filing cabinet (Laserfiche). As digital records are created in the future, these will be dropped into this digital filing cabinet - instead of printing off a piece of paper, putting it in a box or file cabinet, and storing the box in a storage area. This means employees can search their own departmental records from their desktop instead of having to go to the records storage center or requesting records thru their appropriate records officer. The town/village employees can also use the Laserfiche modules - workflow, reports, audit trail, OCR, records management component, zone OCR (automated indexing) - as they see the need. We are able to tailor each town's, and then each individual user's rights as requested by the department head. The public would be able to access public records from their home during non-business hours. Tompkins County's IT infrastructure will also be able to backup and provide disaster recovery for the towns. Due to the fiscal climate (and NYS's) ever tightening financial position, we have been unable to hire any assistance with this project. An additional result of this project will include the purchase and implementation of an electronic Disaster Recovery program and the necessary increase in data storage capacity as designed and integarted with County's exisitng Storage Area Network (SAN) platform (NetApp) and redundant data centers. This application includes a request to purchase both hardware and professional • services in order to accomplish this critical technology advancement and provide a sound solution for the long term managment of public records within an electronic format. ITS has consulted with Lynx Technologies under a NYS Contract arrangement for all previous SAN hardware https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 33 of 34 purchases and professional services. Our collaboration with Lynx has been very successful and • the application includes a similar model for this project. Tompkins County ITS maintains two primary climate controlled data centers with redundant generator power sources in separate facilites and connected with dark fiber. If this application is funded, the improved County's IT infrastructure will include capacity to provide a complete automatic "mirroring" of all Laserfiche images and data between the two data centers, a doubling or increase of capacity of the current 6 Terabytes of digital storage to accomodate the proposed Town records sets and future expansion needs, and the configuration of the Laserfiche secure, web portal service. Purchased Services - BOCES Supplies and Materials The pricing for implementing Laserfiche RIO (with all of the available modules - web access, weblink, workflow, audit trail, quickfields, and transparent records management) as a shared service utilizing the existing County Laserfiche software license and maintenance agreement for participating agencies is: Each Full RIO user license with Scan Connect: $1049 + $251 (first year of support) _ $1,300 There would not be a server cost to each town, as they would be accessing the county network thru a web portal. Training costs would also be significantly less because all the towns would be trained together instead of at separate trainings. Additionally, any production scanning would be out-sourced to our scanning vendor (Challenge Industries); thereby alleviating the need to purchase a scanner or pay town staff to scan documents. The towns/villages would also be able to utilize the county's disaster recovery solution, redundant servers, virtualization, and IT & records management support. If the towns were not to utilize the County hosted Laserfiche solution and decided to invest in their own system, the pricing would be much higher. We have obtained the prices for how much it would cost each town to purchase an Avante Laserfiche system with 1-10 Users. The system would be the bare minimum as far as modules - they would not have any web components, audit trail, or quickfields modules. There would be Workflow capabilities but that would add 2 more days of training to each of the numbers below - because the trainers would need to build some Workflows for them and then teach them how to continue to build more. If each town/village wanted to add workflow implementation and training, it would add $3,000 to each of the numbers below. They would also all need a server which would run around $3,000 for a small municipality (unless they already have a server and we can have the required space on that server). They would also need to budget for a desktop scanner (between $1,000 -$2,000) • depending on the work load and use of the scanner. If each partnering municipality were to purchase Laserfiche independently, the software https:Heservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Narratives Page 34 of 34 and training costs would be as follows: • 1-4 users includes installation and training for 2 days 1 User License $6098 + Yearly Maintenance $433 = $6,531 2 User License $6698 + Yearly Maintenance $533 = $7,231 3 User License $7298 + Yearly Maintenance $633 = $7,931 4 User License $7898 + Yearly Maintenance $733 = $8,631 In addition the average training costs of $3,000 and computer hardware of $5,000 would need to be included. The cost difference for just the first user (shared services) would be $1300 plus $251 for each year of service versus $6,531 plus an additional minimal $8,000 of upfront equipment costs. Potential cost savings for each partnering agency would be at least $13,231 under this proposed shared services model. This figure is based only on implementation costs and does not account for long term IT support, migration expenses and Disaster Recovery or data duplication services. Travel Employee Benefits • Final Project Narrative • https:Heservices.nysed.gov/ldgrants/PrintAppServlet?i=narr 3/23/2012 LGRMIF Project Budget Page 1 of 3 Local Government Records Management Improvement Fund (LGRMIF) Project Budget Project Number 0580 -13 -3902 Institution County Of Tompkins - Professional Staff Expenses Name Position/Title Rate of Pay Hours Worked $0.00 0.0 Inst'l Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved $0 $0 $0 $0 $0 Professional Staff Totals Inst Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved 0 $0 $0 $0 $0 Support Staff Expenses • Equipment Expenses Quantity Description Unit Price Vendor FAS2240 Cluster Lynx 1 with 24x600 GB $55,032.42 SAS Drives Technologies Inst'l Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved $0 $55,032 $0 $0 $0 Equipment Totals Inst Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved 0 $55,032 $0 $0 $0 Minor Remodeling Purchased Services Expenses Service Type Service Provider/Name of BOCES Calculation of Cost scanning of 908,000 town Challen e Industries • minutes & g 908,000 x .06/image building permits Inst'l Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=budget&a=true 3/23/2012 LGRMIF Project Budget Page 2 of 3 $0 $54,480 $0 $0 $0 Service Type Service Provider/Name of BOCES Calculation of Cost • services for deployment, configuration and Lynx Technologies 12995 knowledge transfer of storage solution Inst'l Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved $0 $12,995 $0 $0 $0 Purchased Service Totals Inst Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved 0 $67,475 $0 $0 $0 Purchased BOCES Services Expenses Supplies, Materials Expenses Quantity Description Unit Price Vendor Laserfiche General 16 software licenses $1,300.00 with scan connect Code/Laserfche Inst'l Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved $0 $20,800 $0 $0 $0 Supplies, Materials Totals Inst Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved 0 $20,800 $0 $0 $0 Travel Expenses Employee Benefit Expenses Name Benefits Percentage 0 Inst'l Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved $0 $0 $0 $0 $0 Employee Benefits Totals Inst Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved • $0 $0 $0 $0 $0 https:Heservices.nysed.gov/ldgrants/PrintAppServlet?i=budget&a=true 3/23/2012 LGRMIF Project Budget Page 3 of 3 • Grand Total Inst Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved $0 $143,307 $0 $0 $0 • I I https:Heservices.nysed.gov/ldgrants/PrintAppServlet?i=budget&a=true 3/23/2012 LGRMIF Vendor Quote Form Page I of 1 Local Government Records Management Improvement Fund (LGRMIF) Vendor Quote Form Project Number 0580 -13 -3902 Institution County Of Tompkins - Vendor Quote Form Quoted Selected Description tion of Item or Preferred MdF Vendor Service Contract# Vendor PR Price Quote tware Laserfiche sof licensing - each full user license & support for 1 st year ($875 + $209) & General Code RIO scan connect false false true $20,800 true license & support ($174 + $42) _ $1,300/license NY State Contract #PT60291 Dell ASAP - 16 licenses needed Scanning services - 908,000 images scanned Challenge @.06/image (includes Industries delivery & prep work) - true false true $54,480 true Inc. preferred vendor & supportive employment agency FAS 2440 Cluster with 24x600GB SAS Drives Lynx along with deployment, false false true $68,027.42 true Technologies configuration and transfer NY State Contract #PT60947 i https:Heservices.nysed.gov/ldgrants/PrintAppServlet?i=vq 3/23/2012 Imaging Microfilming Form Pagel of 1 Local Government Records Management Improvement Fund (LGRMIF) • Imaging Microfilming Form Project Number 0580 -13 -3902 Institution County Of Tompkins - Imaging/Microfilming Form Activities Imaging Paper documents to digital image: true Microfilming Microfilm images to digital image: Paper documents to microfilm: false true Digital images to microfilm: false Digital documents to digital image: false Records Description Name of records series: Minutes Retention period (years): permanent Date range of records: 1817 - present Records schedule (name and item num): MU-1 1.(1) Total number of images: 228,000 Format of use copies Diazo or vesicular film: false Digital images: false Characteristics .Electronic data: tiff Document size: 8 1/2 x 11 & 8 1/2 x 14 Papertype: normal Paper condition: good Imprint: good Paper color: white Fasteners: prepped Frequency of fasteners: removed https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=im 3/23/2012 FS-20 Form Page 1 of 2 The University of the State of New York PROPOSED BUDGET SUMMARY FOR A • THE STATE EDUCATION DEPARTMENT FEDERAL OR STATE PROJECT (see instructions for mailing address) FS-20 (02/07) Project Number: 0580 -13 -3902 Local Government Records Management Improvement Funding Source: Fund Report Prepared By: Maureen Reynolds Name of Applicant: County Of Tompkins Mailing Address: 320 N Tioga St City, State: Ithaca NY 14850 Telephone#: County: Tompkins E-Mail Address: mreynolds@tompkins-co.org Project Funding Dates: Start 7/1/12 End 6/30/13 INSTRUCTIONS Submit the original FS-20 Budget Summary, and 3 copies, all with signatures in blue ink, along with the completed application directly to the appropriate State Education Department office as • indicated in the application instructions for the grant program for which you are applying. DO NOT submit this form to the Grants Finance. Please submit the FS-20 Budget Summary as a two page form (not back-to-back on a single sheet). Enter whole dollar amounts only. The amounts must agree with the budget category totals from each Budget Category and Narrative Form. For changes in agency or payee address contact the State Education Department office indicated on the application instructions for the grant program for which you are applying. An approved copy of the FS-20 Budget Summary will be returned to the contact person noted above. A window envelope will be used; please make sure that the contact information is accurate, legible and confined to the address field. For information on budgeting, including 2005-06 REVISED guidelines for equipment and supplies, refer to the Fiscal Guidelines for Federal and State Aided Grants at viww.oms.nysed.gov/cafe/. • https://eservices.nysed.gov/ldgrants/FsFormServlet?i=fs20 3/23/2012 FS-20 Form Page 2 of 2 BUDGET SUMMARY CATEGORIES CODE PROJECT Agency Code 610600640077 COSTS Project # 0580 -13 -3902 Professional Salaries 15 $0.00 Contract # Support Staff Salaries 16 $0.00 Agency Name County Of Tompkins Purchased Services 40 $67,475.00 Supplies and Materials 45 $20,800:00 For Department Use Only Travel Expenses 46 $0.00 Approved Employee Benefits 80 $0.00 Funding Dates: 7/1/ 12 6/30/13 BOCES Services 49 $0.00 - - - - Minor Remodeling 30 $0.00 From To Equipment 20 $55,032.00 Program Approval: Grand Total $143,307.00 / . Date: CHIEF ADMINISTRATOR'S CERTIFICATION Fiscal Year First Payment Line# I hereby certify that the requested budget amounts are necessary for the implementation of this project and that this • agency is in compliance with applicable Federal and State laws and regulations. - - Date Signature Name and Title of Chief Administrative Officer Joseph C Mareane, County Administrator Voucher# First Payment Finance: Log: Approved: MIR: i https:Heservices.nysed.gov/ldgrants/FsFormServlet?i=fs20 3/23/2012 LGRMIF Eligible/Ineligible Expenditures Page 1 of 6 LGRMIF Eligible/Ineligible Expenditures • SALARIES FOR PROFESSIONAL STAFF (Code 15) Eligible Expenditures ? Grant funding must be used only to pay staff involved with project-related activities. You may use grant funds to hire new staff or increase work hours of existing staff to carry out project-related work. If you are proposing to transfer existing staff to grant funds, justify the need and explain how these staff will be replaced in their former assignments using non-grant funds. Note to Town Applicants Refer to Sections 27 and 108 of the Town Law, which prescribe procedures for changes in the town clerk's salary. If the town clerk will work on the project and receive funds from the grant in addition to his or her regular duties, the application should clearly state that the clerk will perform these grant duties separately from and beyond his or her existing duties as town clerk or RMO. If the town receives a grant, the town board should adopt a resolution designating the clerk by an appropriate title (such as "project director") for the project work. The resolution should specify that the project duties will be performed separately from and beyond the person's responsibilities as town clerk or Records Management Officer. SALARIES FOR SUPPORT STAFF (Code 16) Eligible Expenditures ? You may use grant funds to hire new staff or increase work hours of existing staff to carry out project-related work. If you propose to transfer existing staff to grant funding, justify the need and demonstrate that you will replace these staff in their former assignments using non-grant funds. Demonstrate that grant-funded salaries will be used only to support project-related activities. Note to Town Applicants Refer to Sections 27 and 108 of the Town Law, which prescribe procedures for changes in the town clerk's salary. If the town clerk will work on the project and receive funds from the grant in addition to his or her regular duties, the application should clearly state that the clerk will perform these grant duties separately from and beyond his or her existing duties as town clerk or RMO. If the town receives a grant, the town board should adopt a resolution designating the clerk by an appropriate title (such as "project director") for the project work. The resolution should specify that the project duties will be performed separately from and beyond the person's responsibilities as town clerk or Records Management Officer. EQUIPMENT (Code 20) Eligible Expenditures ? Equipment with a unit cost of $5,000 or more. List equipment with a unit cost under $5,000 (e.g., steel shelving) under Code 45, Supplies and Materials. https://eservices.nysed.gov/ldgrants/dots/Igrmif/budgetEligibility.htm 3/23/2012 LGRMIF Eligible/Ineligible Expenditures Page 2 of 6 Ineligible Expenditures • ? Photocopiers ? Office furniture ? ALL computer software (eligible under Code 45, Supplies and Materials) Other Required Forms ? A Vendor Quote Form (LG-VQ) must be completed for each proposed item with a unit cost over $10,000, EXCEPT when you are purchasing equipment from a Preferred or Sole-source Vendor, off a State Contract, or you have followed the Local Government's Procurement Requirements (LGPR). In order to use the LGPR exemption, you must demonstrate that you are following your government's procedures by showing what those relevant procedures are and indicating what you are doing to follow them. Please note the Vendor and Contract number where applicable, including for the exceptions. MINOR REMODELING (Code 30) Eligible Expenditures Any facility proposed for minor remodeling must be in existence before the grant application deadline. Activities .eligible for funding under Minor Remodeling include, but are not limited to ? feasibility studies and facility design ? renovations to facilities to improve them for records storage, or to prepare them for the installation of eligible equipment (including labor and construction materials) ? installation of fire detection and suppression systems and water detectors ? purchase, modification, and installation of heating, ventilating, and air conditioning systems to control temperature and humidity ? installation of walls, doors, locks, alarms, and other security systems to secure a records storage facility ? minor modifications necessary to install microfilming or other project-related equipment ? actions required to render the facility safe for occupancy and use by staff Ineligible Expenditures ? Purchase or construction of facilities, or additions to existing structures ? Construction of or repairs to the roof, exterior walls, or foundation of a building Other Required Forms ? Applicants must complete a Vendor Quote Form (LG-VQ) for any single remodeling activity that exceeds $10,000 or for any request where any one vendor will receive over $10,000, EXCEPT when using a • Preferred Vendor, Sole-source Vendor, or a vendor under State Contract, or you have followed the Local Government's Procurement Requirements (LGPR). In order to use the LGPR exemption, you must demonstrate that you are following your government's procedures by showing what those relevant procedures are and indicating what you are doing to follow them. Please note the Vendor and Contract number where applicable, including for the exceptions. If one contactor is responsible for multiple activities, https://eservices.nysed.gov/ldgrants/docs/Igrmif/budgetEligibility.htm 3/23/2012 LGRMIF Eligible/Ineligible Expenditures. Page 3 of 6 the quote from that contractor must provide a breakdown of costs by activity. Include a floor plan of any records storage area that is the focus of a remodeling project. PURCHASED SERVICES (Code 40) Eligible Expenditures ? Consultant work, such as staff training, the preparation of records management needs assessments, and the development of records management policies and procedures ? Production of manuals, finding aids, teaching guides, or other publications directly related to the project ? Contractual services such as imaging, microfilming, geocoding, system and application design, and software and hardware installation Ineligible Expenditures ? Consultant fees paid to an employee of a local government ? Consultant fees for developing a needs assessment for the implementation of new technology Consultant fees for conducting a Business Process Analysis ? Annual technical support fees for software and electronic systems; annual rental fees or leases for equipment, records storage space, and server space; annual fees for web and data hosting services; and fees for equipment warranties I ? Ongoing operational expenses, such as routine repairs, building maintenance, magazine subscriptions, membership fees, and systems maintenance ? Hiring a grantswriter i Other Required Forms ? If the fee paid to consultants or vendors from grant funds exceeds $10,000, applicants must submit three quotes and complete a Vendor Quote Form (LG-VQ), EXCEPT when purchasing services from a Preferred Vendor, Sole-source Vendor, or a vendor under State Contract, or you have followed your Local Government's Procurement Requirements (LFPR). Submit your RFQ, a Vendor Quote form, and detailed quotes from the vendor or contractor for any service or minor remodeling that costs over $10,000, even if the vendor or contractor providing these services is on state contract, is a preferred source vendor, is a sole-source vendor, or you have followed the local • governments' procurement requirements. In order to use the LGPR exemption, you must demonstrate that you are following your government's procedures by showing what those relevant procedures are and indicating what you are doing to follow them. Please note the Vendor and Contract number where applicable, including for the exceptions. If you are using a vendor on state contract, indicate the state contract number on the https:Heservices.nysed.gov/ldgrants/docs/igrmif/budgetEligibility.htm 3/23/2012 LGRMIF Eligible/Ineligible Expenditures Page 4 of 6 Vendor Quote form. Detailed quotes are defined as quotes that clearly delineate individual project costs and • vendor or contractor qualifications. PURCHASED SERVICES WITH BOCES (Code 49) Eligible Expenditures ? Consultant work, such as staff training, the preparation of records management needs assessments, and the development of records management policies and procedures ? Production of manuals, finding aids, teaching guides, or other publications directly related to the project ? Contractual services such as imaging, microfilming, geocoding, system and application design, and software and hardware installation Ineligible Expenditures ? Consultant fees paid to an employee of a local government employee of a local government may not serve as a consultant to that local government. ? Consultant fees for developing a needs assessment for the implementation of new technology ? Consultant fees for conducting a Business Process Analysis Annual technical support fees for software and electronic systems; annual rental fees or leases for equipment, records storage space, and server space; annual fees for web and data hosting services; and fees for equipment warranties ? Ongoing operational expenses, such as routine repairs, building maintenance, magazine subscriptions, membership fees, and systems maintenance ? Hiring a grantswriter Other Required Forms ? If the fee paid to consultants or vendors from grant funds exceeds $10,000, applicants must submit three quotes and complete a Vendor Quote Form (LG-VQ), EXCEPT when purchasing services from a Preferred Vendor, Sole-source Vendor, or a vendor under State Contract, or you have followed your Local Government's Procurement Requirements (LFPR). Submit your RFQ, a Vendor Quote form, and detailed quotes from the vendor or contractor for any service or minor remodeling that costs over $10,000, even if the vendor or contractor providing these services is on state contract, is a preferred source vendor, is a sole-source vendor, or you have followed the local governments' procurement requirements. In order to use the LGPR exemption, you must demonstrate that you are following your government's procedures by showing what those relevant procedures are and indicating • what you are doing to follow them. Please note the Vendor and Contract number where applicable, including for the exceptions. If you are using a vendor on state contract, indicate the state contract number on the Vendor Quote form. Detailed quotes are defined as quotes that clearly delineate individual project costs and vendor or contractor qualifications. https:Heservices.nysed.gov/ldgrants/docs/IgrmifibudgetEligibility.htm 3/23/2012 . L.GRMIEEligible/ineligible Expenditures Page 5 of 6 • SUPPLIES AND MATERIALS AND EQUIPMENT LESS THAN $5,000 AND ALL COMPUTER SOFTWARE (Code 45) Eligible Expenditures ? Supplies, such as shelvingi, storage boxes2, records management software, alkaline supplies (folders and boxes), and equipment with a unit cost of less than $5,000 ? Side-tab file folders for files management projects ? All computer software, regardless of the unit price ? Lateral open shelving with pull-down or flip-down locking doors ? Fire-resistant file cabinets are also eligible Ineligible Expenditures ? Standard file cabinets, including lateral file cabinets ? Office furniture ? Office supplies, such as tape measures, calculators, marking pens, toner, printer paper, and file folders. ? Wooden shelving of any kind, including shelving with particle board decking ? Records center cartons other than standard cubic-foot boxes, unless the applicant provides sufficient justification for their purchase Consider the Source: Historical Records in the Classroom, a State Archives publication, cannot be purchased with funds from this granting source. Other Required Forms ? Applicants must submit three quotes and complete a Vendor Quote Form (LG-VQ) for computer software costing more than $10,000, EXCEPT when purchasing supplies and materials from a Preferred Vendor, Sole- source Vendor, State Contract, or you are following the Local Government's Procurement Requirements (LGPR).In order to use the LGPR exemption, you must demonstrate that you have followed your government's procedures by showing what those relevant procedures are and indicating what you are doing to follow them. Please note the Vendor and Contract number where applicable, including for the exceptions. ? For shelving purchases, include a floor plan indicating the number of boxes you will store on each unit. 1 For information on appropriate shelving for records storage, consult State Archives Publication #65, Recommendations for Shelving for Inactive Records Storage. 2 Standard one-cubic foot records storage cartons (10" x 12" x 15") may be purchased through the New York State Industries for the Disabled, 155 Washington Avenue, Suite 2400, Albany, NY 12210; telephone (518) 463- 9706. Available in lots of twenty-five at $45.93 (approximately $1.83/box), plus freight (approximately $849 per case), for orders under $300. Grant funds will not be approved for cartons in excess of this price. • TRAVEL EXPENSES (Code 46) Eligible Expenditures https:Heservices.nysed.gov/ldgrants/docs/Igrtnif/budgetEligibility.htm 3/23/2012 _LGRMIE Fligible/Ineligible Expenditures Page 6 of 6 Only travel that you can demonstrate is essential to the successful completion of a project is eligible for funding. ? Airfare, if you can clearly demonstrate that it is the most cost-efficient method of travel available. Ineligible Expenditures ? Travel to State Archives workshops and to other educational opportunities ? Expenses for travel to a conference, including registration fees, lodging, meals, bus or train fares, and mileage reimbursement EMPLOYEE BENEFITS (Code 80) Eligible Expenditures ? Employee benefits payable to professional staff and support staff identified in Code 15 and Code 16, respectively 0? Benefits equal to no more than 35% of the salaries for professional and support staff positions supported by grant funds Ineligible Expenditures ? Benefits in excess of 35% of salaries, unless you provide convincing justification for requests in excess of this limit. • https:Heservices.nysed.gov/ldgrants/does/Igrmif/budgetEligibility.htm 3/23/2012 How a County Saves $5.5 Million by Going Digital o Solution Exchange Pagel 6173 • How a County Saves $5.5 Million by Going Digital Tompkins County, NY, goes from leaky roofs to lightning fast ROL Tompkins County originally purchased a Laserfiche enterprise content manage- J^ ~o ment system to track boxes in the old Records Center. "Once we saw what Laser- fiche could do, we decided to scan all 9,000 boxes in the records center, destroy the paper, and eventually tear down the building - saving $5.5 million in the process." 'we had just finished a large enterprise document management system for the County - - Clerk's office (193 years of land and court records were incorporated in 9 years) and felt we Encompassing the entire had the on-staff knowledge, expertise, IT support, IT infrastructure and vendor partner- ships to turn this program around -but we needed a enterprise system, so we started Ithaca metropolitan area and three major universities, looking for one,' says Maureen Reynolds, Deputy County Clerk of Tompkins County, NY. Tompkins County, NY "My CIO had seen a Laserfiche demo when interviewing vendors for our County Legisla- includes a population of ture's meeting minute software. He thought it would work well for our countywide records 101,564. The Tompkins needs." County Clerk's Office is the primary manager of the Records Center ROI county's Records The County was in the planning stages of building a new building to house the records at a Department. The County Clerk started using cost of $2.8 million, or $6 million for renovation of the current space. An analysis showed Laserfiche as a simple tool that at a cost of about 4400,000 - $500,000 for scanning, software upgrades and IT infra- for tracking 9,000 boxes of structure updates, and the use of an existing storage space in another county-owned images, then expanded it to building for archival records that could not be shredded, Laserfiche would save Tompkins store the images, County between $2.3 million and $5.5 million dollars. implemented records management pilot projects The County saw a return on investment almost immediately. The costs saved on just the within individual county Records Center project were: departments and standardized all software Building and renovating costs of between 52.3 million and $5.5 million. implementation programs to Utility costs for the inefficient building. interface with Laserfiche. Personnel time spent working instead of searching for records. . Office space was reclaimed by workers instead of filing cabinets. Industry State and Local Government IT staff were able to get rid of multiple little databases and use Laserfiche and the SDK to generate reports. Business Processes: Accounts Payable Paper costs were reduced by e-mailing or viewing documents instead of copying or printing. Reseller: General Code, LLC Website: *Reduced yearly paper purchases Tompkins County, NY from thirty boxes to eight, SHARE YOUR Pilot Expansion SOLUTION After the Records Center project, the County then deployed pilot projects in 16 additional departments. Share Legislature - annual book of proceedings (1882 to 2007); County Administration - contracts, insurance certificates, insurance policies and budgets; DA - case files at the Records Center; Highway and Facilities - all maps and plans; GIs - historic tax maps (1966 to present); http://www.laserfiche.com/solutionexchange/article/6144 1/6/2012 How a County Saves $5.5 Million by Going Digital o Solution Exchange Page 2 of 3 Assessment - tax rolls; • Finance - payroll records; Health Dept - birth & death certificates and environmental health maps; Purchasing - bids, capital projects and maps; Personnel - civil service history and payroll cards, County Clerk - criminal files; Records Dept - boxes at the records Center; Mental Health - closed client inactive case histories; Airport - maps, plans and office files; Sheriff - closed civil records and old jail records; Office for the Aging - departmental records. The majority of these records pilot projects were not records included in the Inactive Records Center boxes," Reynolds says. "These were serious records management problems that we found in individual departments that needed immediate attention." Payroll Human Resources leveraged Workflow to automatically email day forward payroll created in existing Lawson ERP financial services software to department heads while simultaneously storing the documents in a Laserfiche repository. Laserfiche rapidly reduced paper pur- chases from 30 boxes a year to eight and eliminated the biweekly printing of over 300 pages. "These documents used to be printed and could be as large as 300 + pages every two weeks, sometimes in duplicate/triplicate. This saves time, money and trees!" Reynolds says. Criminal Records Accessing high-resolution PDFs of criminal records on Laserfiche WebLink, a self-serve online document portal configured for public and secure internal search and retrieval, saved the County Clerk's Office from frequent trips to the old Records building, which is stored in an old building about a block away. Personnel now instantly retrieve criminal records on WebLink during court proceedings, so a judge can sit on the bench and view records on his or her laptop. Sheriffs Department The sheriff's department had a room full of arrest reports that are now scanned into Laser- fiche. Before Laserfiche, staff had to find the individual in an index/card system, get the arrest report number and then go pull the file. In Laserfiche, the files are all stored by indi- vidual name, making the process much faster. "They were able to put desks and other necessary equipment in the room where the reports were being stored," Reynolds says. "We are also going to begin scanning records they have stored in a two bay garage, which since it was outside, had no climate control and very challenging access." Unexpected Benefits According to Reynolds, Laserfiche offered some unexpected benefits: Records Management Edition, Quick Fields, Workflow, Web Access, WebLink, and Audit Trail allowed us to present a better end product to our internal and external customers. OCR and zone OCR provides a major labor Cast savings. http://www.laserfiche.com/solutionexchange/article/6144 1/6/2012 How a County Saves $5.5 Million by Going Digital a Solution Exchange Page 3 of 3 By scanning highway maps, site workers could view maps that were in storage - they • didn't have to drive back to the storeroom, search for the map, and then wonder if they had found the newest version. Payroll staff no longer had to search through binders for hours in an off-site storage building for retirement information - it was on their desktop. It took us two days to scan 128 years of legislative books of proceedings. Now they are searchable by computer instead of by hand. Our next step is to open a public Web portal so that the public can search public records from their home computers. "We started using Laserfiche as a simple tool for tracking boxes, then expanded it to store the images of all 9,000 boxes, implemented records management pilot projects within in- dividual county departments, and have standardized all software implementation programs in the future so that they will be able to interface with Laserfiche," she adds. "The Rol we've realized by implementing Laserfiche has been critical in this time of 'doing more with less.' Laserfiche has allowed us to scrap a multi-million dollar building project. On top of that, it enables our employees to use their time more effi- ciently," concludes Reynolds. I II I i http://www.laserfiche.coni/solutionexchange/article/6144 1/6/2012 Pagel of 3 i X Tom„kins Count Purchased in 2009 so the county could Tompkins County better track those 9,000 boxes. But once records going from the project got under way, it became clear it could do much more. boxes to bits "When we got the program, they were going to build a building for the records," Reynolds said. "We said, wait, stop, let us Ithaca If it weren't for Tompkins take a shot at this." County's computerized document- management system, the county would be County officials estimated they could set up looking at a whole new facility just to house the system for $450,000 in scanning costs, 9,000 boxes of old paper records, or an software upgrades and information expensive renovation of the Old Library to technology infrastructure updates. The provide a secure place for them. same analysis showed the county would save between $2.3 million and $5.5 million County officials say the system is also a by not building or renovating to make new time-saver in a big way. It revolutionized accommodations for the old records. the way county employees retrieve information. County Legislator Mike Lane, D-Dryden, chairman of the Government Operations "Before, the payroll clerk used to have to Committee, said, "It's a thing that will save go over with flashlight, get on her hands the taxpayers money in the long run." and knees, and get everybody's information," Deputy County Clerk Maureen Tony Lucido, executive director of Reynolds said. "Now, it's all right there." marketing for General Code, said about a third of counties in the United States use County court judges who wanted records before the new system was implemented Advertisement had to request that someone go over to the Old Library on Cayuga Street, blocks away from the courthouse, dig them up and deliver them to the courtroom. The documents were stored in a damp room that staff called "the cave." Now, information is directly available in the courtrooms via computer. The system, a software program called Laserfiche by a company in Rochester called General Code, was originally • Print Powered By =,'€e_ Dynamics'I 01/06/2012 Page 2 of 3 IFx- • L Laserfiche. The program allows improved house the infrastructure of the content- processes and work flow, and limits the management system and other amount of paper the county needs, in municipalities would access their addition to other functions, Lucido said. information through secure access. Tompkins is well qualified to develop a Reynolds said that before the new system, cloud network, Lucido said. "We were creating this digital file on a computer, then printing it off, which was While Lane said a cloud network is still a going in box, and going into storage. We ways in the future, Reynolds said she's want to stop that." ready to start laying the groundwork, meeting with town clerks this month to County staff turned 193 years' worth of show them what can be done. land records into digital files, and put all the county's payroll and court records in Related Oinks? Q Q the system. ,,Wri i& Pilot programs in other county departments followed, ranging from the legislature's annual book of proceedings from 1882 to 2007, highway and facilities maps and plans, historic tax maps dating back to 1966, birth and death certificates, environmental health maps, and a dozen other kinds of records. The work of scanning is being done by Challenge, the non-profit vocational organization that helps people with barriers to employment, such as disabilities. Advertisement "it took us two days to scan 128 years of legislative books of proceedings," Reynolds said. "Now, they are searchable by computer instead of by hand." The system was a hit Reynolds received accolades for her work on the project from the Tompkins County Bar Association. Looking ahead, Reynolds said she envisions a cloud network connecting all county municipalities. Lucido said the county would Print Powered By ~tT' o Dynamil s 01/06/2012 Page 3 of 3 x AdChoices Ads by Pulse 360 New York: 50 Year Old Mom Looks 301 "Her Clever $5 Wrinkle Therapy Angers Botox Doctors. We Reveal How" con su me rlifesty letre nds. comr Mortgage Rates Hit 3.01% APR White House Cuts Up to $1000 Off Monthly Mortgage. See If You Qualifyf www. MortgageRatesExperts.com Refinancing Rates Drop! Refinance Now at 2.956. $160k New York Mortgage $632mo. No Hidden Fees. No SSN Req! mortgage. ref na nce.lendgo.com I Advertisement i i Print Powered By'm Dynamics i 01/06/2012 I January 31, 2012 Lynx Tompkins 31 Technologies integrated solutions for your errterprise Tompkins County NetA COI1tmlYdUlt ' Ae..,.- Iretta Ellis P. L-~ Double Take Software' 128 E. Buffalo St, Annex C REGISTERED Ithaca, NY 14850 SPECTRA PARTNER (607) 274-5417 BakBw r..... rn. wore e~sro.os• O F[YAXE iellis tom kins-co.or EOUALLOGIc V1\N,ar Put P: }l r:+P Quotation For Products and Services: a 0- PARTNER FAS2240 Cluster with 24x600GB SAS Drives and Lynx Professional Services Item Qty Part Number Item I Description List Price Extended FAS2240 Dual Controller with 12x600GB SAS Drives 1 1 FAS2240-2-R5 FAS2240 (As Configured Below) 0.00 0.00 2 2 FA62240A-HA-SW-R5 FAS2240A,HA CFO Software,RS 0.00 0.00 3 2 SW-2240A-COMP-BNDL-P SW,Complete BNDL,2240A,-p 10,260.00 20,520.00 4 2 SW-2240A-ONTAPS-P SW,Data ONTAP Essential5,2240A,-P 0.00 0,00- 5 1 X5526A-R6 Rackmourd Ke,4-PosLUniversal,R6 10000 10000 6 1 F2240A-2-24X600-10G-R5 FAS2240-2,HA,24x600GB,IOGbE,DuaI CTL 36,230.00 36,23000 7 2 X800E-R6 Power Cable North Amenca,R6 0.D0 0.00 8 1 CS-A2JD SupPortEdge Standard w/ 4hrParts Delivery (36 Months) 9,213.79 9,213.19 1 Discount Courtesy Discount -(16%oa HW/SW and 21%of Support) (11,030.77) (11,030.77) Lynx Professional Services 9 1 Tech-05 Lynx Professional Services - Services for deployment, configuration and knowledge transfer 12995.00 12,995.00 of storage sloutuion Lease Options 60-Month, E1 Buyout Due M Signing: First and Last Payment, $200 Processing Fee, Sales Tax 1,401,84 YrMOnih. E1 Buyout Due al Signing: First antl Last Payment, $200 Processing Fee, Sales Tax 2,184.22 Total: $66,027.42 This Quotation is valid for 30 days. Price quoted does not included shlpping.All Items are F.O.B. destination, freight prepaid and added, and NeHS teens apply unless otherwise rested. Applicable State and Local Sales: To vnll be assessed far shipmentsMelhWes in New York State I Tax Exemption. Certificate isnol received. Pricing information Is CONFIDENTIAL and may not be distributed to third parties without the prior written =sent of Lynx Technologies, Inc. TOMPKINS COUNT' 1 RECORDS MANAGEMENT MASTER PLAN 1 ' June 1.6,2008 1 Prepared by L iBella Associates P.C. for; Tompkins County Department of Personnel ~ Ln~ELLn ' Associates, P.C. 300 State Street, Suite 201, Rochester, NY 14614 Phone 585.454.6110 Fax 585.454.3066 www.labellapc.com it TOMPKINS COUNTY RECORDS MANAGEMENT MASTER PLAN ' TABLE OF CONTENTS ' L EXECUTIVE SUMMARY A. New York State Archives- LGRMIF Grant B. Records Management Program - Key Findings C. Site Evaluations - Key Findings D. Conclusion and Recommendation 1 IT. RECORDS MANAGEMENT PROGRAM A. Overview B. 'Methodology C. 'Key Findings D. Observations III. SITE EVALUATIONS I - Old Library Site A. Building Observations/ Assessment B. Conceptual Construction Cost C. Advantages/ Disadvantages of Building Development IV. SITE EVALUATIONS - Bostwick Road Site A. Overview B. Building Design Goals and Objectives C. Mission Statement D. Building Program E. Conceptual Construction Cost F. Advantages/ Disadvantages of Building Development ¦ V. APPENDIX A. Appendix A - Records Program Documentation B. Appendix B - Existing Library Location Map C. Appendix C - Existing Library Floor Plans D. Appendix D - Existing Library Code Review E. Appendix E - Bostwick Road Site Schematic F. Appendix F - Schematic Building Diagram G. Appendix G - Old Library Cost Estimate 11 Appendix FI - Bostwick Road Cost Estimate ' Executive Summary New York Slate Archives - LGRMIF Grant Local Government Records Management Improvement Fund The impetus of this report was the award of a New York State Archives grant to determine the County's existing and future inactive records storage space needs. According to requirements of the grant, the report was also to evaluate building options for establishing a centralized inactive record storage and management program. This report is herein referred to as the Records Management Master Plan. Records Management Master Plan The Records Management Master Plan consists of two parts, a records management program and the evaluation of two pre-selected sites to house inactive long term records. Records Management Program The records management program documents the type, volume, and character of current inactive records for all county wide departments. Quantities were documented and reviewed with departmental staff to establish historic growth rates, as well as to delineate factors that contribute to that growth. Quantities were then projected over a ten year growth period to establish records management needs for the next decade. Summary of Findings 1. The volume of county wide inactive records will increase by 3001n over the next ten years, from 9,596 cubic feet to 13,257 cubic feet. 2. There is 1,475 cubic feet of inactive county records scattered throughout the county in 15 departments. The remainder is located at the old library building site. 3. The vast majority of the county's inactive records are in a paper format. 4. There are valuable historic records that are not, but should be maintained in climate controlled conditions. 5. There are inactive records in the Sheriff's Department, Health Department and Department of Mental Health which are confidential and require unique security requirements. Site Evaluations ~t Using the information gathered in the records management program, each site was evaluated with respect to the adequacy of each potential alternative to house the intended use. Criteria includes location, access, parking, occupancy, building code compliance, construction cost, available space, available space for future expansion, security, building integrity, fire protection, environmental systems as well as operational efficiency and long term value to the County. W4 4 Old Library 312 North Cayuga Street Ithaca, New York ' A building code evaluation was conducted to identify a list of building improvements necessary to convert the existing building into a long term storage facility for inactive records. The evaluation considered previous reports prepared under the NYS State Uniform Fire Prevention and Building Code, as well as an evaluation with respect to the current NYS Building Code 2007. An on-site walk through was conducted on April 5, 2008 to assess the adequacy of the existing building to support the intended use with respect to the criteria enumerated above (Site Evaluations) and the physical needs of the Records Management Program. Summary of Findings 1. The existing level 3 (mezzanine) will house only 77% of` the County's inactive record storage needs over the next decade. 2. The existing building has several significant deficiencies which would need to be corrected to renovate the building as a long term solution to the County's inactive records storage problems. Conceptual estimates of project cost to convert and upgrade the building are $5,828,451. 3. The existing building has one significant deficiency which cannot be corrected. This is building location. Due to the existing location, access is difficult due to city traffic, parking does not exist on site and there are no provisions for future expansion. Public Works & Facilities Division Campus 170 Bostwick Road Ithaca, New York A site evaluation was conducted at the above referenced campus to assess the viability of constructing a slab-on-grade free standing metal storage building on the campus. The on site analysis included an evaluation of optimum site access and building location with respect to on site operations of the Public Works & Facilities Division. A physical building program was developed to identify facility design objectives, prospective building attributes, as well as a building program to identify prospective building square footage and conceptual building costs. Summary of Findings I. The total building square footage of a new inactive records storage facility is 10,030 square feet. 2. The concept of a new building in the desired location did not yield any disadvantages to the County as a long term solution to the County's inactive records storage problems. 2of4 3. Ease of access proximity to major county roads, ample parking, site security and provisions for future expansion all contribute to the site as it viable option for it building cooperative with other municipalities and organizations to house inactive i record storage for the long term. 4. Conceptual estimate of project cost to develop it new prefabricated metal building for the long tern storage of inactive records at the Bostwick Road Site is $2,168,261. Conclusion The importance of a well run records management program is crucial to improve the County's operational efficiency, guard against potential litigation by ensuring that County records are secure and well organized. Providing it centralized location for these records will ensure the above, while relieving much needed storage space throughout all county wide departments. Key Findings 1. Due to structural limitations and existing building configuration the existing library building must use 10,600 square feet of floor space to house inactive records for the next decade. "['his is located on two levels with lower storage racks spread out over a larger floor area. Due to an open floor plan and high ceilings in the existing building, environmental systems will have to condition 296,921 cubic feet of space to house inactive records storage over the next decade. This is in large part due to the fact that the entire level two and three of the existing building are open to each other. 2. Due to efficient building design, an inactive records storage facility will utilize 5,075 square feet of floor space to house inactive records. Storage will be located on one level with higher storage racks spread out over it smaller floor area to maximize efficiency. Due to the higher storage racks environmental systems will have to condition 115,200 cubic feet of space. Recommendation To support the intended mission, it is recommended that the Bostwick Road Site be selected for the construction of a new long term records storage facility. The location provides easy site access, parking, building security, environmental controls, and building integrity necessary for the Iona term storage of county inactive records. The selection of ~r this site provides it better cost benefit or value to the County for the following reasons: I . The potential cost to renovate the old library as it long term solution to the County's Inactive records storage problems ($5,828,451) exceeds the cost to construct it new records storage facility off site ($2.168,261). This is a variance of $ 3,660,190. 3or4 t 2. The potential utility costs associated with the operation of the library will be much higher than the new records storage facility due to the fact that environmental systems are conditioning three times the spatial volume for the same amount of storage. 3. The potential increased operational costs associated with operating a facility (library) on two levels, with smaller storage racks spread out over it larger floor area may represent an increase in staff to operate the facility. 4. The potential increased operational costs associated with vehicular deliveries in congested urban areas (library) with limited on site parking- These costs will continue to increase as fuel prices continue to rise. 5. The potential increase in construction costs to build an inactive records storage facility in ten years when the library building is demolished for the construction of the Government Center. Construction cost escalation since the year 2000 is averaging a 7.36% increase each calendar year. Using this data, the cost to build the same building ten years from now is $3,298,400. This represents it $1,398,400 variance from the conceptual construction cost today. 6 Expending $5,828,451 to keep the existing library in operation until it is demolished in ten years for the construction of a government center does not seem like a good investment considering the County would then have to find space or build a new facility for centralized inactive record storage in ten years. The concept of a new building also lends itself to the possibility of records cooperatives which are becoming the trend in the records management industry. Several upstate municipalities have formed cooperative ventures with County's in our area. NYS Archives offers several grant opportunities to Counties seeking Cooperative ventures which could provide support space to other organizations and offset the cost of a potential new facility. To gamer support from other entities, records must be protected, secure and in a location that can be easily accessed. The Bostwick Road site gives the County the added flexibility of future expansion to cover these opportunities. 4 of 4 1 CGR - 111/urns E-111p(it1Cl" Center 1Jr Gn cnu'lemal Ki S~nrch Alemorandwn ^ 'I'm Christopher J. Talarczyk, AIA Prom: Vicki Brown (585)327-7071 vbr'own@cgr.oi'g Uatc: April 23, 2008 Re: Tompkins County Records Management Program CGR has completed the Records Management Program component for LaBella Associates' Tompkins County Records Management Master Plan. This is our report on County records that potentially could become part of a new or upgraded centralized storage facility for inactive records. For the purposes of this study, CGR used NYS Archives guidelines for inactive records (paper records accessed less than unce a month and electronic records accessed less than once every three months). In addition. we considered any records on microfilm/microfiche or other records (c.g., audiotape, videotape) used less than once a month as inactive records. Overview At the time CGR was engaged by LaBella Associates for this study, Tompkins County did not know how many inactive records the County currently has, how fast inactive records arc growing, or what factors might impact the growth of inactive records over the next decade. In pan this was due to the fact that some 10-15 years ago the management of the County's centralized inactive records open lion was poor. causing mmnerous departments to "pull' their records and move them to areas under their own management. In 2001, the County moved all remaining inactive records in centralized storage to the current inactive records location (the "Old Library") and the Personnel Department took over responsibility for inactive records. Since then a very small team - consisting of a part-time supervisor, a fulhime clerk, and occasional part-time assistants - has provided focused attenubn to inactive records. Although these staff members have made significant strides in improving inactive records management in Tompkins County, they are hampered in two key ways: a) the ' Old Library, in its current state, is an inadequate records storage facility, and b) to plan for a new or upgraded facility, information on inactive records that potentially could be moved into such a facility is needed. CGR was tasked with providing the information that will help LaBella plan for a new or upgraded inactive records facility. Sowh N;~ghin!von j. r. cl. wile Jull - - Ilnl ~IIIII ?.Iii CI. 'IIIIC !iU I?li~ii iLGnM_ Rucheau: \1' 191, 11-11Ji :Vbum. 11. 1221 C. heal o~ra:c~r.nr, 1 2 Methodologv CGR took a five-step approach to this project: 1) creation of an online survey; 2) examination of Old Library records database information provided by Tompkins County; 3) two (lays of on-site visits to talk to departments about survey entries and tour the Old Library; 4) analysis of quantitative and qualitative information gathered, and 5) this written report. The major data collection tool for this project was an online survey. The survey was designed to capture quantitative data about inactive records, by department. The survey design was a collaborative process between Jackie Thomas, who supervises the records facility, LaBella and CGR. The survey was piloted with two County deparunents, revised appropriately. and delivered electronically to Ms. Thomas. She forwarded the surveys to pre-identified inactive records liaisons in County departments. Through the survey process, CGR electronically gathered information on specific record series; how long they are being kept by deparunents; what type of format (e.g., paper, photographic); whether each record series is official or duplicate; whether it records series has historic value; if special security is needed; preferred storage method; and the estimated cubic feet stored. CGR exported the survey information to an easily readable/updateable forma (Excel worksheets) so that Ms. Thomas could input, for each record series, the period of time NYS requires individual record series be retained. This information was based on the NYS Archives CO-2 schedule. CGR then printed survey information (see attached "Department Information - from Surveys") for on-site visits with department liaisons, held April 1-2, 2008. Using these printouts, CGR (accompanied by Ms. Thomas) talked individually to department liaisons. Among other things, we assessed records growth, identified factors driving growth, and identified some potential opportunities for streamlining records management in the fixture. Note: the attachment "Department Information- from Surveys" is not it final document (i.e., inventory) but a "tool" that helped CGR determine kcy findings noted below. Key Findings ' Per the above methodology, CGR finds the following: 1) Inactive existing records that potentially could be in a new or upgraded inactive records facility = 9,596 cubic feet 2) Estimated growth in these records over the next decade, assuming little to no change in how the records are currently managed = 3,661 cubic feet w CGR bases the totals above on the following: ' v Records in the Old Library currently in the records database (and assuming all records scheduled to be purged are destroyed) that will move to a new/upgraded facility = 2,571 cubic feet. ....{y CGR lnJbrnt & Lnrpower I ' 3 Over 10 years, assuming little to no change in records management processes for these records, these records will grow by an estimated 1,990 cubic feet. • For records in the Old Library that are either separately maintained (e.g., Finance, County Clerk), or for other reasons are not in the records database, the following will move: 5,551.5 cubic feet. Over 10 years, assuming little to no change in records management processes, these records will grow by an eslinmted 1,071 cubic feel. • For records that are in departments today that could potentially move to a new/upgraded facility, CGR finds there are: 1,473.5 cubic feet. ,Over 10 years, assuming little to no change in records management processes, these records will grow by an estimated 600 cubic feet. i Note: See "Tompkins County Inactive Records - 4-2008" for more details. This document also provides information on current format, preferred storage method, whether special security needs to be provided, and how many cubic feet require special climate control. CGR, based on information provided by Tompkins County personnel, estimates that approximately 25% of records may be historic, however, not all historic records require special climate controls. Special Note About Social Services Inactive Records 1 An accurate assessment about the growth o1' Social Services (DSS) records cannot be determined at this point in time. The department has had extensive turnover in its internal records operation and, among other issues, has 250 cubic feel of records stacked up within the department. At the time of this project. no one had yet inventoried this information to determine whet exists, what could be purged, or what process would be needed to move the records to the centralized inactive records storage. In addition, there are more than 500 cubic feet of records in the Old Library that are not in the records database system, and CGR's assessment of what will move is based on available, but incomplete, information. Finally, the department has just joined a state project that, within a few months, will involve scanning of certain types of records. The impact of this effort on future records or records growth is unknown. Thus, CGR has provided in the attached "Tompkins County Inactive Records - 4-2008" document what are to be viewed as `rough estimates.' CGR Observations • A new or improved facility is especially important for the Sheriff's Department. The department is at a "crisis" point. Substantial records, which must be retained permanently, are currently maintained in a department garage. Although they are in a locked space, the records are vulnerable should anyone truly want to get access to them. They cannot currently be transferred to the Old Library because no security exists there under current conditions. On top of these problems, the department is likely to run out of room for records within a year. CGR lr?Donn d Ttupoo 4 • The vast majority of the County's inactive records are in paper format, and there is potential for technology improvements that could signil icantly impact the growth of records in the next decade. Two examples follow: Many Highway records (e.g.. inspection records, structure history files) could be scanned and digitized, putting information at staff members' fingertips, increasing productivity, and freeing up records space. The County Clerk's office has equipment for map scanning, and this equipment could be utilized to scan maps in Highways and Facilities. again increasing productivity and freeing up storage space. • There are valuable historic records that are 1101, but should be, maintained in climate controlled conditions. The most important are the records about the beginnings of Tompkins County, which include significant hand-written materials. One complete set of these records, and most of a second, currently exist. These records need to be moved to an electronic format, and the originals should be stored in a secure, climate-cons rolled environment. Other examples of important, historic records that are not being maintained under proper climate controls include draft and enrollment lists from the Civil War era, and World War 1 and 11 military discharges. • A few departments are currently keeping some records beyond the time required by the state, simply due to past practice. Unfortunately, such decisions increase the County's liability should a problem arise. Put another way, if it document is available, even if it is beyond its state-required retention period, it is discoverable in court. • A well-managed records archives program will lead 10 regular purging of obsolete records and an on-going education programs for inactive records liaisons. One impact will be to shred records that are no longer needed or required. In the past two years, the current team in charge of the centralized inactive records facility has shredded 2,728 cubic feel of such records. • The County hopes to implement a new electronic Human Resources/Payroll/Finance system, which should reduce Finance and other records in future years. The impact is unknown at this point in time. • County personnel have held some initial discussions with other municipalities, including the City of Ithaca, about whether there is interest in having the County store inactive records for them if a new/upgraded inactive records storage facility is developed by the County. There is initial interest in such an arrangement. Planning for a new/upgraded facility should take into account potential expansion of the facility, if needed, in the future. CGR Old Library Sitc 312 North Cayuga Street Ithaca, New York Building Observations/ Assessment ' The following observations were documented in an on site walk through on April 5, 2008. Further analysis was obtained from existing building reports provided by the Department of Public Works. Occupancy The existing building was originally constructed as a Library for the City of Ithaca in October, 1969. The existing building remained that occupancy until 2001, in which the 1 Tompkins County Public Library was moved off site to a new building. Since that time, the County's Community Justice Program (Probation Offices) has moved into level one, which at the time, was considered a temporary occupancy. On level two, the County has temporarily utilized space for a portion of the County's inactive records, as well as general storage for voting machines and public works storage materials. 'rompkins County Space Use Master Plan In 2005, under the guidance of the Space Needs and Location Committee of the Tompkins County Legislature, a Tompkins County Space Use Master Plan was developed to identify a prospective location for a Center of Government Building. The Old Library site has been selected for the construction of the new building. The existing building has been scheduled for demolition in ten years. Site Access, Location, Parking The building resides at the corner of North Cayuga Street and Gast Court Street in the central business district of the City of Ithaca (See Appendix B - For building location map). The property is bounded by two commercial buildings on each side and the rear. The building extends to within 15 feet of the property line without provisions for future expansion. On site parking (foes not exist on site. The nearest public parking area is approximately two blocks from the site. Available Space ' Level I is fully occupied by the County's Community Justice Program. Level 2 comprises approximately 10,200 sq. ft. with a ceiling height of 8'-4° and 4,050 sq. R with ' a ceiling height of 26'-0 feet. Level 3 is presently open to level 2 below and is comprised of 8,360 sq. ft.. with a corresponding ceiling height of 15'-3". Due to existing structural limitations, records storage is limited to a height of 77-0" above finished floor. I ol'5 it The existing leve13 (mezzanine) will house only 10,248 cubic feet of records. This represents only 77°h of inactive records storage needs over the next decade. Capacity was estimated by an actual storage layout (See existing building floor plans - Appendix Q. Shelving was based on structural limitations of the existing mezzanine, which vielded shelving units which support 42 cubic feet each, hack to back with Y-0" clear access ' aisles. Shelving is seven cartons high, typically. Over the next decade. 3,009 cubic feet of inactive records will need to be stored on level 2. Formulas for estimating storage capacity (See Developing an Inactive Records Storage Facility - Archives Technical Information Series #48) are not an accurate indicator of storage capacity due to the physical confi°~u alion of the mezzanine handicap I ' accessibility requirements and space needed for exiting and access to existing rooms and spaces. (See existing building floor plans - Appendix C I'm building configuration). 1 In addition to space for storage shelving, space is needed for work/ processing, staging as well as supplies and equipment. These spaces will have to be located on level 2. (See Building Program - Bostwick Road Si(e) fora list of inactive records support spaces and Appendix C - Existing building floor plans for space dedicated for records support. Future Expansion Due to the size of the building, and the existing property boundary, the existing building does not have space on site for future expansion of any configuration. The building has not been designed for future vertical expansion. Security ' Providing an inactive records storage facility adjacent to the Community Justice Program within the same building is not a prudent mix of building uses. The level three mezzanine is physically open to the level two area below. An elevator provides vertical access to all levels of the building from the community justice program area on level one. Two stair wells provide vertical access from level I to both levels 2 and 3 above. A security alarm or detection system does not exist in the building. In summary, the building is not secure, and will not provide the security necessary to house inactive records. Building Integrity The existing building was constructed in the mid 1960'x. Some building components are ' nearing or have exceeded their life expectancy. The existing building envelope is in need of some remedial repairs as well as rool'replacement to extend the life expectancy of the building and maintain building integrity. The existing monumental concrete front enhance stair is showing signs of severe degradation. Pressure treated lumber has been placed over the top of the structural concrete stair to cover the deteriorated concrete and is showing signs of deterioration. 2 of 5 There is direct evidence of water penetration to the existing stair, concrete ramp, walkways, and retaining walls on site. This is primarily exhibited in the form of spalling and cracking concrete. This can be a serious problem if not addressed through industry standard concrete repair procedures as water can enter the aforementioned construction, freeze, and cause accelerated degradation. Due to the condition of the existing stair, it should be replaced, as repair procedures will not be an effected means for stabilizing its ' condition. The existing roof is leaking in many locations within the building. There is significant roof ponding on the existing roof membrane. The roofing system is 24 years old and has exceeded it's life expectancy and should be replaced as soon as possible. Hazardous Materials The existing building contains asbestos. The asbestos was used to fireproof the existing structure. Although much of the asbestos was removed in the 1980s, some asbestos remains in the form of encapsulated materials. Under current environmental laws, these materials are no longer permitted to remain in facilities. If the building is renovated, the asbestos must be abated. Fire Protection The building is presently unprotected and does not have an automatic fire suppression system. The building does have a fire alarm system that was part of the original occupancy. ' Environmental Systems The existing plumbing, heating, ventilating, air conditioning and electrical systems in the building are the original building systems. The equipment has exceeded its life expectancy (40 years) and should be replaced with energy efficient equipment. Existing distribution systems are conducive to open floor plans consistent with a public library ' use. Therefore, environmental systems will have to condition the entire floor area of level 2 even though records will only occupy a portion of the floor space. Further, existing environmental systems have poor individual controls with wide open floor areas. Code Compliance (Refer to Appendix D - FRA Report dated Apri122, 2008) ' The building code analysis is limited to it general code review based on existing conditions as well as the attached building program. The list of improvements is not to be considered it detailed list, as that can only be developed through schematic building ' design and design development of a potential building or renovation project. 3of5 Operational Efficiency The existing environmental systems in the building have exceeded life expectancy and are not energy efficient. The existing building envelope needs repairs. The two story central atrium space cannot he effectively utilized for long term storage as the floor is designed for shelving storage less than 7'-0 in height. The cost to heat such a space is unnecessary and not a good long torn value to the County. Increasing fuel costs contribute to higher operational expenses. If departments cannot easily access records and have to chive into or through the city to retrieve records, operational costs increase as the lack of on site parking and vehicular traffic contribute to increased operational expenses. It is a fact, that due to the existing building location and existing building conditions, several county departments have chosen to keep inactive records on their own site. Housing inactive records within their own departments by choice, will not support the goals of establishing a centralized inactive records storage facility as a long term solution to the County's inactive records storage problems. Reusing the existing library for the storage of inactive records will make it very difficult ' to take advantage of inactive records storage cooperatives with other municipalities and organizations. If adjacent Counties/municipalities have no interest to house their records in downtown Ithaca, this represents a wasted resource as the money available for lease could be used to offset operational costs. Conceptual Construction Cost The conversion of the old library to a mixed use Business/Storage facility is an official change of occupancy. To change the occupancy, code modifications arc mandatory to convert the building to the intended use. Primary code changes include the requirement for a sprinkler system and updating for handicap accessibility requirements. ' Several building systems have exceeded their life expectancy, these include roofing, environmental systems, and the existing concrete exterior stair. Roofing needs to be replaced as soon as possible to avert damage to the interior of the building. The original environmental systems are antiquated and are not energy efficient. The existing concrete stair is in serious disrepair and is a liability to the County. Some building systems have to be replaced as a result of executing the work enumerated above. These include asbestos abatement, ceiling replacement, lighting replacement, and life safety system upgrades. Conceptual construction costs to upgrade the building are $ 4,857,043. With an additional 20% for project soft costs, total project cost are $ 5,828,451. 1 4of5 1 I, Additional provisions have been added to the facility to upgrade the facility to a "long teen" solution to the County's inactive records storage problems. These provisions are not sufficient, as some conditions at the building cannot be changed. These additional systems include security systems, door replacement, and gypsum board partitions to provide better security and means for better environmental controls to individual storage spaces for inactive records. ' Below is a comparison of the advantages and disadvantages of developing the old library as an inactive record storage facility. Advantages to Building Development 1. The existing building has a loading dock. 2. The existing building has an existing mechanical and electrical room. ' Disadvantages to Building Development 1. The existing building is located in an urban central business district. 2. The existing building is difficult to access due to existing traffic and city vehicular traffic patterns. ' 3. The existing building does not have on site parking. 4. The existing roof needs replacement. 5. The existing heating, ventilating and air conditioning system needs replacement. 6. The existing heating, ventilating and air conditioning system does not have adequate environmental controls. 7. The existing building does not have a fire suppression system (sprinklers). ' 8. The existing building does not have a security alarm or detection system. 9. The existing building does not have provisions for future expansion. 10. The existing building's mezzanine will not accommodate all of the County's existing inactive records. It. The existing building is a mixed use facility, sharing space with the County's community justice program which compromises building security. 12. The existing building needs repairs to preserve building integrity. 13. The existing building has structural limitations which dictate shelving capacity and an inefficient layout for storage. ' 14. The building has a single elevator to transport records from the existing loading dock to the upper floor levels. 15. Reusing the existing building is not operationally efficient to the County in the ' long term clue to environmental conditioning of high building spaces with low racks of storage. 16. The cost to keep the building in operation (short term solution) exceeds the cost to build an economical prefabricated building off site. 1 5of5 • i • 1 Bostwick Road Sitc 170 Bostwick Road Ithaca, New York Overview ' The selected site for building development was chosen for several strategic reasons. The location has other County buildings on site, so the infrastructure for road access and building utilities is already in place. The location is away from traffic, has direct access to County roads and has adequate space for future expansion. To make the potential building option viable from a cost effectiveness perspective it prefabricated metal building will be utilized. Metal buildings can be up to 50% more cost effective than conventional building construction. Metal buildings permit long spans without interior columns which allow flexible storage configurations and high spaces. Metal buildings are typically used in constructing large warehouses for these same reasons. To formulate a building plan and a conceptual estimate of probable cost, it is necessary to define design goals and objectives as well as it physical space program to estimate building size- A site schematic diagram was developed (See Appendix G - Site Schematic) to estimate conceptual site development costs. It is generally more cost effective to extend storage space vertically, rather than horizontally for the same amount of storage capacity. Therefore, building size and capacity for inactive record storage was based on fixed, storage racks. Fixed racks permit air circulation to ventilate records which are not accessed on it regular basis, limiting the potential for mold, mildew and any contaminants which could adversely affect inactive ' record storage materials. Each unit of storage will house 72 cubic feet of records. Each storage unit is 12 cations high. Unit size is 3'-6" wide, 2'-6" deep and 14'-0" high. A total of 186 storage units will be required to house 13,257 cubic feet of storage. Mission Statement Provide a proper environment for the management of records and materials that require permanent protection for historic and lifetime storage, upkeep and preservation. ' Building Design Goals and Objectives I. Building shall be handicap accessible to all workers and visitors to the building. 2. Building aesthetics shall project a positive organizational image. 3. Building shall be cost effective, with an emphasis on low maintenance building materials and systems. 4. Building must contain flexible storage arrangements to house growing collections of materials with varying storage and environmental requirements. 5. Building movement between archival storage spaces shall be convenient, logical and efficient. 6. Building configuration shall be designed to maximize storage efficiency. 1 I of4 I II 7- -Building shall have Superior energy performance with an emphasis on szrcen building technology. 8. Building configuration and services shall be sized to accommodate future expansion. 9. Building storage systems should discourage the need for ladders and heavy lifting. 10. Budding shall provide protection of assets and building contents hour fire, smoke, water, inadequate environmental conditions and theft/vandalism. 11. Building organization will not permit visitor access to archival records. Visitors ' will be restricted to the public lobby, toilet room and reference area. Building Program Offices Administrative Office 120 sq. ft Archival Office 120 sq. ft. (preservation and curatorial operations) Archival Materials Storage 100 sq. ft. (materials used by staff for preservation/ curatorial functions) General Office Storage 80 sq. It. (office materials, paper storage) Secured Visitor/Research Area 300 sq. ft. (space for visitors to review materials on site) Employee Break Room 120 sq. ft. (space for Small countertop and sink, table and chairs) Employee Sanitary Facilities 160 sq. ft. (code required toilet rooms for each sex) Visitor Support Spaces Lobby/Vestibule 100 sq. ft. (weather vestibule, entrance lobby) Visitor Sanitary Facilities 80 sq. ft. (public unisex toilet room) Inactive Record Storage Spaces General Inactive Record Storage 2538 sq. ft. (compartment without restricted/ confidential records needs) Restricted Archive Storage 1 845 sq. ft. (fire rated compartment with restricted/ confidential records) Special Environmentally Controlled Storage 1692 sq. I't. (fire rated compartment with special environmental controls) Archive Access Corridors (links archival office to archival storage spaces) (Grossing Factor) 2 o f 4 1 1 Operation and Maintenance • Computer/ Communications Room 100 sq. ft. (space for computer server/ telephone panels) Recei ving/ Loading Area 200 sq. ft. ' (space for dock leveler, enclosed unloading area) Work Room/ Package Screening 200 sq. ft. (space for preparing records for storage or disposition) ' Mechanical Room 250 sq. ft. (space for heating, ventilating and air conditioning equipment) Electrical Room 100 sq. ft. (space for electrical panels and equipment) Janitors/ Maintenance Room 60 sq. ft. (space for service sink, janitorial supplies) Total Building Net Square Feet 7,165 sq. ft. Grossing Factor (0.40 2,865 sq. ft. Total Building Square Feet 10,030 sq. ft. Parking Four Parking Spaces Truck Access/ Loading Dock Conceptual Construction Cost It is estimated that the construction cost to implement the aforementioned building program is $1,885,444. With additional project soft costs of (15%%), total project cost is $ 2,168,261. Below is a comparison of the advantages and disadvantages of developing the Bostwick Road site as a new inactive record storage facility. Advantages I. The building is located away from City traffic and congestion. 2. The building is easily accessible with direct access from County roads. ' 3. The building has on site parking adjacent to the building. 4. The building is designed for future expansion. 5. The building is designed for flexible storage arrangements to house materials with unique storage needs. 6. The building is designed to maximize storage efficiency through the use of high storage shelving and rack systems to reduce floor area and initial construction cost. 7. The building is designed with low maintenance materials and systems. 3of4 i i 8. The building has aTirc detection, alarm and suppression system. 9. The building has a security detection and alarm system. 10. The building is operationally efficient with environmental controls and energy efficient equipment. If. The building is not it mixed use building and is dedicated to the storage of ' inactive government records. 12. A new dedicated facility gives the County the opportunity to build a cooperative venture with other organizations to offset the cost of inactive record storage. ' 13. The building is designed in accordance with applicable building codes. 14. The cost to develop the site and building is less than the cost to update the old library to house inactive records. 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G02 Dale span sr, ,enM .yam Gpn(ePna FWeae p 1 L 'r,s r, IC rdeO 1 PENrJ i 'urJa a`11° L' J inaals) e_ ~al Mend slxe cubl_Ixx Ieo 111* I I Px , n Eb aaJZE Rn . t ee F a.n.q as. Y Ilsf 11rdrs) 731 c ' T6 .el9r9tlo b P C H ILO'-q=mn L _ s el el.l~9 1 1A aver j e Renyemae P ooa ,n aE ve -"A" r ""a I ,n case 43" m'Dxm P nq G,or.eb o pe - r - 110 case zoo lep 5 eeo' 'rx c aepeoe. P~ p led, -1 eld"al 1 ne a.a a=P c asm P _ p r .nvs 1 .1 M P ia. TO Cap-a o x J¢p a c aor, e 1 ` __acm -01 'e zre Or, - " 5 n a-.s s z lV a e 0 P P p p e +5 p :Erna 1rl :v-Ila I(eilYalake Poba er Pe ve Pna brp e 6 435 l le e.aes I.f P 9C 1E ic .11 il "I e 1 ~ smafe a 15 f K _ _ _ _ upmen _ _ .p _ e l a a.rLoiex bete c. mn 1w1 a led s E aces . 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Y t £ ~v a<y ~ of Fill i d JR vd° inY~ • - J .r. } ,r to .R4I Ey" Ref" Msa '"s r~ ` s xa r. a ' d r SE"f x4 ss s § at.}r r y s k P °w y > p s y,~:.xS"* L r, ~F r. t src' & I~,~ & t kg 9 b "~TM, :E . ~ ~ pa'" 4+ a ~ ~ ~ SC r ~ ro~~ ate"` A `z` *'d #t + *B 4.aa's ,,a'Y Jt ,c 1~ p,fr~: s"kr+ i r.a x x T b~ 4 ~tx+ ~ H N ~ ~ ,tar°v ~ my t: rx W r r,{ srk t r „s ' '+r' ad ro- s ru 4 k P, 11 a s x_}r i"a r y' mw' a!E § §#9~ s 4q q 6{, ~I~.g h3'~'-#`'~' t4,~ ~ ~s; €k'+ ate:}' r{ r a lye S` i,r b d: 2'y L: 1 F I R I R A TYLIN INTERNATIONAL COMPANY 565 359 0280 530 mm stt it ,146 Drive FAY 585 3559 9 1 1059 I Hen riettaa, , my 1d467 - 9607 May 22, 2008 i LaBella Associates, P.C. 300 state Street ' Rochester, New York 14614 ATTN: Christopher Talarczyk, AIA RE: Old Tompkins County Library ' Revised Code Analysis for Records Management Master Plan Ithaca, New York FRA Project #434622.00 Dear Mr. Talarczyk: Below please find our plan review comments for the above referenced project based on original ' architectural drawings prepared by J Victor Bagnardi, RA, dated June 5, 1967, and the reconstructed handicap accessible ramp drawing by Downing Hascup Associates Architects, dated March 27, 1990. For purposes of clarification, the following drawing sheets were reviewed: A-1 thru A-18 S ' S-1 thru S-7 A-2 (1990) Reconstructed ramp This set has been stamped with our logo and dated for future reference. The following comments describe our understanding of the project and the information submitted for review, and highlight issues needing clarification and/or correction. Text shown in bold print is taken ' directly from a code or reference standard. Where not specifically stated otherwise, code provisions referenced pertain to the Existing Building Code of New York State, 2007. This information has been prepared on behalf of LaBella Associates. Our comments are advisory only. Tompkins County is considered as the Authority Having Jurisdiction, and therefore, reserves final decision on all matters concerning code compliance. ' FINDINGS AND RECOMMENDATIONS Basic Proiect Findings ' 1. We have been charged with providing a code compliance analysis of the existing Tompkins County Library building, to assess the viability of a potential conversion to a records storage facility with business and public support spaces. I ' 2. The building is comprised of an existing three story Group A-3 library occupancy of which the largest floor is approximately 17,400 square feet in building area. Portions of the building are temporarily being occupied by the County Probation Department. The potential new uses will consist primarily of Group S-1 moderate storage of records and mixed use Group B support business and public access areas for Tompkins County. • 1 1 i 3. If converted, the work to be performed for a Change of Occupancy would be regulated by Chapters 5, 6, 7, and 8 of the Existing Building Code of NYS. Items Pertaining to the Existing Building Code 4. The primary occupancy area would be Group S-1 moderate storage. The business and public i access areas would be regulated as Group B. Based on the extent of the business uses listed below, for purposes of this analysis we have assumed a mixed occupancy of Groups S-1 and B. There may be incidental and accessory uses as well, which may need further analysis. Assumed business use areas: a. Administrative offices b. Visitor support space (research room, plumbing facilities, entry lobby) c. Employee support (break room, plumbing facilities, storage) 5. The drawings do not indicate a construction type. However, based on the information shown, it is our opinion that this building is of type IIB construction; non-protected steel and concrete. 6. The relative change in hazard from the existing to the proposed uses is determined in accordance with Section 812, as follows: a. Table 812.4.1- Life Safety and Exits: The change from a Group A-3 to Groups S-1 and B is to a lesser hazard. Therefore. the existing means of egress elements may remain. Any new egress elements would be required to comply with the Building Code for new construction. b. Table 812.4.2 - Heights and Area: The change from a Group A-3 to Groups S-1 and B is to a lesser hazard. Therefore, the existing building is acceptable for building height and area. c. Table 812.4.3 - Exposure of Exterior Walls: The change from a Group A-3 to Group S-1 is to a higher hazard. Therefore, exterior walls need to comply with the requirements for fire separation distance. The closest exterior wall to the centerline of a public street or lane is the wall below the existing Reading Deck. The distance, scaled on the drawings, from the exterior wall to the centerline of the lane is 13 feet. Based on a building of Type 118 Construction with Group S-1 occupancy, Table 602 of the Building Code does not require a fire resistance rating for the exterior walls. Therefore, the existing building is acceptable for fire separation distance. 7. Since Table 812.4.3 indicates a change to a higher relative hazard, in accordance with Sections 812.1 through 812.2.2 compliance with all of Chapter 7 is required, which will be analyzed later in the report. 8. The intent of the proposed change is to accommodate archive storage files for Tompkins County. Your letter dated March 26, 2008, indicates that flexible, varying storage should be anticipated for up to 150 pounds per square foot but that high density storage may also be contemplated. Section 807.1 states that: Buildings or portions thereof subject to a change of occupancy where such change in the nature of occupancy results in higher uniform or concentrated loads based on Tables 1607.1 and 1607.6 of the Building Code of New York State shall comply with the gravity load provisions of the Building Code of New York State. Our structural department performed an analysis based on the drawings provided, based on 2 ' FIR R A TYLININTERNATIONAL COMPANY typical floor framing, the use of A-36 steel as noted on the drawings and assuming that all concrete has a 28-day compressive strength of 3000 pounds per square inch: 1 a. Based on the most restrictive controlling members, a typical 18WF55 Girder, the allowable load is calculated at 182 pounds per square foot. Assuming additional miscellaneous dead loads that may be present and since we don't know the actual conditions of the ' construction, we suggest applying a 15% reduction to the allowable load. This reduction results in an allowable live load of approximately 155 pounds per square foot. Therefore, 150 pounds per square foot stack storage should be possible. b. For any high density storage at a uniform load of up to 300 pounds per square foot, that will be limited to the slab on grade areas on the lower level. A typical 4" concrete slab with #4 reinforcement bars at 12" top and bottom has been calculated at an allowable live load of 371 pounds per square foot. Taking into account the same 15% reduction noted above, that results in an allowable live load of approximately 315 pounds per square foot. 9. No information has been provided on the existing electrical service. We anticipate that the electrical demand of a storage facility would be less than that of a library. However, Section 808.3 states that: Where the occupancy of an existing building or part of an existing ' building is changed, electrical service shall be upgraded to meet the requirements of NFPA 70 for the new occupancy. It should be verified that the existing service is either compliant or that it be upgraded to comply. Handicap Accessibility ' 10. The following elements are required for handicap accessibility: a. The original site plan does not indicate any on-site parking or passenger loading areas. The 1990 reconstructed ramp drawing indicates a single on-street handicap parking space is provided near the curb cut. It is the only parking provided and is compliant. b. In accordance with ICC/ANSI A117.1-2003 the reconstructed ramp to the main level meets the requirements for slope, landings, cross slope and handrails, except that a handrail is provided on only one side of the ramp at the very top of the ramp. To comply with ANSI for a fully accessible route from the exterior to the main level, a continuous compliant handrail should be provided on the building side of the ramp. It should also be verified that the open side of the ramp at the bottom is provided with edge protection in accordance with ANSI Section 405.9. c. An elevator is provided for vertical accessibility within the building, as required. d. No signage is indicated in the original drawings. Section 812.5 also requires signage complying with Section 1110 of the Building Code. r e. The existing toilet rooms do not meet current requirements for handicap accessibility. Section 812.5 states in part that: Changes of group or occupancy that incorporate any alterations or additions shall comply with this section and Sections 506.1 and 905.1 as applicable. When alterations affect an area of primary function, the accessible route including toilet facilities will be required to be upgraded for accessibility. Exception #1 of Section 506.2, as triggered by Section 506.1, states that: The costs of providing the accessible route are not required to exceed 20% of the costs of the alterations affecting the area of primary function. If alterations are intended, the extent of accessibility upgrades will need to be determined based on the estimated cost of such alterations. If no 3 ' FJRjR _ ATYLININTERNAI IONAL COMPANY alterations or additions will be made to the existing building to accommodate the new uses, then no further handicap accessibility upgrades would be required. Incorporation of these elements and providing at least orre unisex handicap accessible toilet room will also meet Title III of the Americans with Disabilities Act for the removal of barriers in places of public accommodation. ' 11. Since no rated separations currently exist in the building and the building area exceeds 24,000, any single fire area of the proposed S-1 occupancy would be much greater than ' 12,000 square feet, and even if rated separations were provided the combined Group S-1 fire areas throughout the building would also exceed 24.000 in accordance with Section 903.2.8 of the Building Code. Section 704.1 states that: Automatic sprinkler systems as required and In accordance with the Building Code of New York State shall be provided in all work areas. Therefore, sprinklers would be required throughout all portions of the building where work would be performed. 1 Based on our analysis the existing building may be reused as a mixed occupancy Group S-1 and Group B with the upgrades noted in the report, upon further analysis of the structural system load carrying capacity. Some items are minor in nature while some items entail significant upgrades. ' Comments contained herein shall not be construed as indicating that any other portion of the drawings, specifications or other submittals are in compliance with codes. This analysis is preliminary, thereby if the work is to be carried through a further, more detailed review should be performed to determine the entire extent of the work required. Respectfully Submitted. FRA Engineering & Architecture, P.C. 1 Laura M. Cooney, AIA Code Consultant/Trainer 1 C: file 0:\Rochester\ProjeCIS\43.4622.00\Correspondence\Outgoing\4622 RevisedRPT Tompkins Co Library_W6ella_052208.doc i 1 1 i P 4 F' R JFI A TYLININTERNATIONAL COMPANY y Y~!< k W S, Y x L d. x c~a 6 a VARki s S f[ f C" fi•. f h t" ~ Y 5 3 tam UI~ ~ 4 ~ Y e « F.~ m 3t: F< ~c r !tea ~„Fa• r~ . ~ ry 4y'~r'~ ('h` tt'S,y}3 ~ ¢ $ i 4 r as x r i t k a vi z~ x~"fi ~ ~x a4r r rkr >Yi t drro rF:u frn a t, 1 ,*r~ a.t a ,gya Y z 2 v ~ , v 3=~, r. #4 ~ ~ f ~x s it d ~ a d r "t d z x+3i~ ~ s L ~ -its z, i M~ r L t # - RIM s Q~ii d.rak x''* a= + r. r xy. !E it x xoa . oil g. v -11 r f rt F•l ~`S P"mi~? ~x~Yr ad'rt iht3.e+rs•A r4a'£%,~ i*r F~~~ 't`.k s i s z, § e L a s* an s «i4 a TOT F F ~ vq d ~ ' ~ "«2 iF ? i ~ h3at ! r ~ y x r ii' . 3~. to a -+ti t.&t r 4 «r4 ~i .~tS'b tii F p a., 3 1~ W U ~a ,y{ R 2 1 'I Y Y i j H Y 4' { r4S#,~.~ qi t AS "Yo 4 •u„ ~ P F ..r 1 ~ 5c ~ v r ~ 4 @ .Arf as 4 s - t § ~ ~ ~ ~ ~ s 8 sf a = Q.Awv~: Two bsu9fJil5FGEt'4~ M g. mm•i~ ~ € ~ 3, e, K' ~ S° _ ,t P~! ~ .~y ~}<4 t f S ay'a,S~ ~ y lJFk 3CT ~ A : a ycri~., ro R f ?T y.A 1£ R 914 . T~l x a a%-q! now WIT ~„ffi~ off, ~ i .-.~Y $ ~ 9d t~.f^$ b P, A. w 3 < as y~ $ A i ~4 t 9 *e r , 10 IND $ n %pp » e~$2 ~ tlr i T V~ All _ s 4L .46 4-Building Program RESTRICTED INACTIVE STORAGE ' FUTURE EXPANSION GENERAL (INACTIVE STORAGE RECORD SPECIAL ENVIRONMENTAL STORAGE) CONTROLLED STORAGE VISITOR SUPPORT FUTURE EXPANSION LOADING OPERATION AND (SUPPORTYI' '3W MAINTENANCE OFFICE DOCK TOTAL BUILDING SO. FT. -10,030 Tompkins County LABELLA Records Management Master Plan F C' 2008 d: ~ w t ,Y - +at _ A k' , 6 r¢ z_ 1 Old Librarv Site 312 North Cayuga Street Ithaca, New York Preliminary Construction Fstitnate Cost ( $ ) Demolition 235,688 Roof Replacement 199,805 Exterior Stair Replacement 52,686 Replace Ceilings 408,500 Elevator Upgrades 35,000 ADA Uggrades 125.000 Storage Shek ing 61.373 Asbestos Abatement Removal 127,200 Heat Generation - Replace Boilers 63"500 Heat Rejection - Replace Cooling Tower 447,040 Replace Heat Distribution System 1,043,940 Provide HVAC Instrumentation and Controls 190,500 Provide Sprinkler System 267,150 Provide Lighting/ Branch Wiring 203,200 ' Provide Communications/ Security System 60,000 Miscellaneous Electrical Life Safety Systems 30,000 Door Replacement I9,280 Gypsum Board Partitions (Mezz/Main Floor Perimeter) 76,567 Subtotal 3,646.429 General Conditions (5°l0) 182,321 Overhead & Profit (590) 182,321 Bond (I (Y(,,) 36.464 Subtotal 4,047,535 Contingency, Design (10%) 404,754 Contingency, Construction (10%) 404,754 Total Construction Cost 4,857,043 Soil Costs (204) 971,408 Total Project Cost 5,828,451 -;A ik k r s~ $h a. e - rm'V rg dig 'ate ° f l ,tr vry a L. i N i_ y r ~~,E' E4E ~ td~ d gq~*i ~ 9 4 4 ',if~h V^Ti ~ zW t. d C4 i''~~~ ~Y. d4P 5. N~.+~~'., ~'si~ £',if .x. Z`~'~''it ~y 5M- t Pik?d' ' .m_u4 S. tih his Bostwick-Road Site 170 Bostwick Road Ithaca, New York Preliminary Construction Estimate Cost ( $ ) Metal Building (Foundations, Slab, Enclosure) 360,500 Gypsum Board Partitions 82,000 Exterior Frames, Doors and Hardware 8,100 Interior Frames, Doors and Hardware 31.200 Aluminum Entrance System 20,000 Ceiling Finishes 13,800 Floor Finishes 51,500 Loading Dock Equipment 10.000 Shelving Systems 60,000 Toilet Accessories/ Misc. Equipment 5,000 Millwork 2,000 Plumbing 90,000 Fire Protection (Sprinklers) 68.000 Heating, Ventilating and Air Conditioning 235,000 Electrical 205,000 Security Alai-in and Detection 20,600 Communications 20,600 Water Supply 40.000 Storm Sewer 35,000 Sanitary Sewer 75,00 Earthwork/ Site Clearing 60.000 Asphalt Paving 8,000 Concrete Sidewalks 2,880 Site Lighting 20,000 Site Electrical 20,000 Subtotal 1,544,180 General Conditions (5%e) 77,209 Overhead & Profit (5%) 77,209 Bond (I %n) 15,442 Subtotal 1,714,040 Contingency, Design (5',r) 85,702 Contingency, Construction (54,) 85,702 ' Total Construction Cost 1,885,444 Soft Costs (1514) 282.817 Dotal Project Costs 2,168,261 Local Govern,-rent Rea rds Manaaemerr! fmprvvereeo: Fun9 ~maging and Microfilming Project Information Form (IG-IM) LOCAL GOVERNMENT NAME I ACT IVITIFS ICI IFCK .AI.!. THAT APP. Y.1.. IMAGING MICROFILMING PAPER DOCUMENTS TO DeGITA.L IMAGE ? PAPER DOCUMENT5 TO MICROFILM ? MICROFILM IMAGES TO DIGITAL IMAGE ? DIGITAL IMAGES TO MICROFILM ? DIGITAL DOCUMENTS TO DIGITAL IMAGE RECORDS DESCRIPTION - - NAME Of RECORDS SERIES RETENTION PERIOD (YEARS - 'r Building Permits permanent - - i DA FE RP,N+a"c` OF RECORDS ?RECORDS SCHEDULE (NAME AND ( Elxt NUP.ie3ER'i all ~MU-1 5.(60) TOTAL NUMBER OF WAGES Explain in the narrative any disc:epancres bet':.aer. the number of 680,000 images and the Winter of pages. Format of use con.cs: ?F;.izoarvrslcularmlcrofIm Digitalima+ges Number of original rolls, 16rflur 35mm CHARACTERISTICS F!1, U7-zONIC DATA 0 f>igrat image& ? Other eleCtrenic formats (such as •.vord processing files) DOCUMENT SIZE 8 1/2 x l 1& 8 1/2 x 14 PAPER TYPE good PAPER CONDITION good IFAPRINT good PAPfiR (,'(X OR white FASrt;.NERS prepped cuENCVO=rASrENERS removed _ RETRIEVAL - - - NUMBER OF REFERENCES 25/day REFCRFNCFS NEEDING CCPGS 95,- R£TRIEVA! URGENCY Q frnmediaie ? Within 1 day ? VYth n 1 weak ~u fork SI:LL::it~avre. r:mrrr LG-w s.•_nca NNW. LGRMIF Institutional Authorization Page 1 of 1 Archives Parmershin Trust I Office of'CuItmul Education Online Catalog I Search I I Ionic Home L'RMIf Hel liana Initial Application Forms: ~ Post-Grant Award Forms: ~ Checklist - - 'Ij Checklist t Go ~ Go Institutional Authorization LGRMIF Grant Project Sponsoring Institution: County Of Tompkins Project Number: 0580 -13 -3902 Category: Document Conversion and Access Certification and Approval The following signatures certify that the local government agrees to the conditions outlined in Appendix A and Appendix A-I G. Both the CAO and RMO must sign the Institutional Authorization form. I hereby certify that I am either the applicant's Chief Administrative Officer (CAO) or the Records Management Officer IRMO), and that the information contained in the application is, to the best of our knowledge, complete and accurate. I further certify, to the best of my knowledge, that any ensuing program and activity will be conducted in accordance with all applicable state laws and regulations, application guidelines and instructions, and that the requested budget amounts are necessary for the implementation of this project. I understand that the application constitutes an offer and, if accepted by the New York State Education Department or renegotiated to acceptance, will form a binding agreement. I also • understand that immediate written notice will be provided to the grants program office if at any time I learn that its certification was erroneous when submitted, or has become erroneous by reason of changed circumstances. CH7E D 'ISTRA -VEO CER i S- ature (orngt 1. azure i [ue ink) Date " l~~9zJL// Gi~t.?lc-~ .~cfur- ~ou,.3.'Y {jdtil~.r/1-ciy~/1ic7o,~ Print Name and Title of CAO REC RD MANAGEMENT IC. RMO Signature (original signature in blue ink) ate Print Name and Title of RMO P one Instructions The Authorization Form must be printed, completed, and signed in blue ink. Please mail the completed form to: New York State Archives Grants Administration Unit 9A81 Cultural Education Center, Albany, NY 12230 • View POP version of Institutional Authorization Form Cultural Education Center, Albany, New York 12230. Phone: (518) 474-6926 https://eservices.nysed.gov/ldgrants/IgApplicant.do?i=auth&m=lg 2/1/2012 l ~Nwe?srT THE STATE EDUCATION DEPARTMENT /THE UNIVERSITY OF THE STATE OF NEW YORK / ALBANY, NY 12234 (08/11) PAYEE INFORMATION TE OF 1A In order to receive funds from the NYS Education Department, ALL SECTIONS of the Payee Information/PI Form AND of the NYSED Substitute W-9 Form (required only if your agency does not have/know its OSC Vendor Identification Number) will need to be completed and returned with original signaturefs) to the Education Department program office to which your agency's grant application was sent. Please Print or type all information Section I: Institution Identifying Information Exact Legal Name of Agency contact Person/Name & E-mail Address mitt "Inl aS@ O(vp K L 5 t~i1 ~L - La Address (number, street, and apt. or suite no.) to which checks will be mailed gas aiA , R. City, Staten IP code 4 digits) or Foreign City, Country & Postal Code Federal Employer Identification Number (FEIN): Q ® D 15 0 FA ® M OSC Vendor Identification Number:*** ? ? ? ? ? ? ? ? ? ? • Data Universal Numbering System/DUNS Number: ? ? ? ? ? ? ? ? ? . Central Contractor Registration (CCR) - Active? E] Yes, provide Active Until Date ? No - * * * If you do not know your agency's OSC Vendor Identification Number, follow the specific instructions under Section I(c). Section II: Agency Profile 1- This agency is a (check one) ® Non-Profit Organization ? For Profit Organization 2. This, agency is a (check one) ? Sectarian Organization Non-sectarian organization 3. Is this agency chartered or incorporated by the New York State Board of Regents? (Check one) ? Yes © No 4. Is any member of the Board of Directors an employee of the NYS Education Department? ? Yes, please name ( No Section III: Certification I hereby certify that the information herewith provided is to the best of my knowledge both accurate and true. Chief Administrative Agency Official/Authorized Designee (Please Print) Title • ~,~Signature\,Chief Ad istrativ Agency Official/Authorized Designee Date - Id ED USE ONLY: ' Deputy Area/ Program Office Institution ID: 8 0 010710 0 I have reviewed the payee information contained herein and hereby approve this agency for payment. Program Manager (Please Print) Deputy Area/Program Office Signature - Program Manager Date _'§Ed Mlt6NLf-.' trantslinance_._._._._._._._._._._._._._._ SED Agency Number/BEDS Code (if applicable): m Institution Type: FT7 Institution Subtype: Interest Eligible: ? yes ? no Reviewer: Date: 1 • INSTRUCTIONS FOR COMPLETING NYSED FORMS: PAYEE INFORMATION/ PI & SUBSTITUTE W-9 .Complete all sections of the form(s) in accordance with the instructions provided below. Section I: Institution Identifying Information: a) Provide the following information: exact legal name of the agency, complete address to which checks should be mailed, name & e-mail address of the agency contact person b) FEIN - This is your agency's 9 digit federal employer identification number, often referred to as the tax identification number or TIN. C) OSC Vendor Identification Number - This is a'10 digit number assigned by the Office of the State Comptroller (OSC) to your agency for the purpose of doing business with the State of New York. ? If you know your agency's number, provide it on the Payee Information/PI Form. ? If you do not know your agency's number, contact OSC at VMU@osc.state.ny.us to obtain it so that it can be provided on the PI Form. ? If OSC notifies you that your aggro does not yet have a vendor identification number- Complete the NYSED Substitute W-9 provided herein according to the instructions on the form. Submit both forms (PI and the NYSED Substitute W-9) as both will be required for payments to your agency. d) Data Universal Numbering System/DUNS Number - This is a 9 character number issued by Dun & Bradstreet that identifies your agency. It is used by the federal government to track how federal grant funds are allocated & expended by NY State, the State Education Department, and local agencies. To • search for your agency's DUNS number or to register for one, go to Dun & Bradstreet's website: o. htto://fedqov.dnb.com/webform/-disi3layHomePage.d e) Central Contractor Registration (CCR) - This is a government-wide registry for organizations doing business with the federal government. It collects, validates, stores and disseminates business information about the federal government's trading partners. To register with CCR, go to htto://www.ccr.gov & click on the "Start New Registration" link. Upon registration, your agency will be provided with an "Active Until" date. Failure to renew your registration ("Active Until Date'l may delay payments from NYSED. Section II: Agency Profile • Question 1 - Self-explanatory. • Question 2 - A sectarian organization is defined as one which is affiliated with a particular religious group. A non-sectarian organization has no religious affiliation. • Question 3 - "Chartered or incorporated" here means created by the NYS Board of Regents. • Question 4 - Self-explanatory. Section III: Certification - Be sure to complete this section with an original signature. Important Notes. Changes to Vendor Information - If any of the information maintained by OSC in its vendor file changes, please contact OSC directly at VMU(a osc.state.ny.us. Electronic Payments - If your agency is not already signed up to receive payments electronically through ACH (Automated Clearing House), please enroll directly with OSC at http://www.osc.state.ny.us/epay/index.htm, g& NEW YORK STATE EDUCATION DEPARTMENT NYSED SUBSTITUTE FORM W-9: REQUEST FOR TAXPAYER IDENTIFICATION NUMBER & CERTIFICATION Ad III _N TYPE OR PRINT INFORMATION NEATLY. PLEASE REFER TO INSTRUCTIONS FOR MORE INFORMATION. Part I: Payee/Vendor/Organization Information AGENCY ID: 1 Legal Business Name 2. If you use a DBA, please list below: To "n-'_) eve , 3 Entity Type (Check one only) ? Sole Proprietor ? Pannership ? Limited Liability Co ? Business Corporation ? Unincorporated AssociationrGusmess ? Federal Government ? State Government ? Public Authority IR Local Government ? School Distnct ? Fire Dishrct ? Other Part 11: Taxpayer Identification Number (TIN) & Taxpayer Identification Type 1. Enter your TIN here: (DO NOT USE DASHES) J 6 Co 0 0 0 lQ cl 2 Taxpayer Identification Type (check appropriate box): ? Employer ID No. (EIN) ?Soaal Security No. (SSN) ?Individual Taxpayer ID No. (ITIN) ? NIA (Non-United States Business Entity) Part III: Address 1 Physical Address 2. Remittance Address Number, Street, and Apartment or Suite Number Number, Street, and Apartment or Suite Number %47 City, State, and Nine Digit Zip Code or Country City, State, and Nine Digit Zip Code or Country t4s Part IV: Certification of CEO or Properly Authorized Individual Under penalties of perjury, I certify that I am the CEO or properly authorized individual and that the number shown on this form is my correct Taxpayer Identification Number (TIN). Sign Here: S ture / 44 Date ell /7rlJ.~.¢ G. ~ Y(JrIn~GEF? 60/. ~Z/ a~1/~ PYiunL-e/~~[U~nn Print Name Phone Number L/Email Addre s Part V: Contact Information - In 'vidual Authorized to Represent the PayeeNendor/Organization ContactPerson Vk.ArtUl Title. 1/771 y (Print 00' L. '1~7 1 Contact's Email Address: n, 4.3A phone Number Part VI: Survey of Future Payment Methods Please indicate all methods of payment acceptable to your organization k Electronic ( XI Check [ ] VISA " An I, • NYS Education Department Instructions for Completing NYSED Substitute W-9 The NYS Education Department (NYSED) is using the NYSED Substitute Form W-9 to obtain certification of your TIN in order to facilitate your registration with the SFS centralized vendor file and to ensure accuracy of information contained therein. We ask for the information on the NYSED Substitute Form W-9 to carry out the Internal Revenue laws of the United States. Any payee/vendor/organization receiving Federal and/or State payments from NYSED must complete the NYSED Substitute Form W-9 if they are not yet registered in the SFS centralized vendor file. Part l: Payee/Vendor/Organization Information 1. Legal Business Name: For individuals, enter the name of the person who will do business with NYS as it appears'on the Social Security card or other required Federal tax documents. An organization should enter the name shown on its charter or other legal documents that created the organization. Do not abbreviate names. 2. DBA (Doing Business As): Enter your DBA name, if applicable. 3. Entity Type: Mark the Entity Type doing business with New York State. Part ll: Taxpayer Identification Number (TIN) and Taxpayer Identification Type 1. Taxpayer Identification Number: Enter your nine-digit Social Security Number, Individual Taxpayer Identification Number ([TIN)' or Employer Identification Number. 2. Taxpayer Identification Type: Mark the type of identification number provided. Part Ill: Address • 1. Physical Address: List the location of where your business is physically located. 2. Remittance Address: List the location where payments should be delivered: Part IV: Certification of CEO or Properly Authorized Individual Please sign, date and print the authorized individual's name, telephone and email address. An email address will facilitate communication and access to Vendor Self Service. Part V.• Contact Information Please provide the contact information for an individual who is authorized to make legal and financial decisions for your organization. An email address will facilitate communication and access to Vendor Self Service. Part VI: Survey of Future Payment Methods Payment methods are needed for informational purposes. To expedite payments, vendors are strongly encouraged to consider accepting payment via VISA credit card. I • ' An ITIN is a nine-digit number used by the United States Internal Revenue Service for individuals not eligible to obtain a Social Securitv Number, but are required to file income taxes To obtain an 1-IIN, submit a completed W-7 to the IRS. The IRS will notify you in Writing within 4 to 6 weeks about your 11 IN j status In order to do business with New York State, vnu must submit IRS Form W-8 along with our NYSED Substitute Forth W-9 showing your ITIN IRS i, Form W-8 certifies your foreign status. To obtain IRS Forms W-7 and W-8, call 1-800-829-3676 or visit the IRS websrte at www its eov / n e w y o r k s t a t e archives Grants Administration Unit Cultural Education Center, Albany, NY 12230 Standard Data Capture Form In order for your institution or agency to be officially registered with the State Education Department we need to accurately collect some basic information from you. Please provide the following basic information about your organization: Legal Name (as contained on a charter, license or other such document): Tompkins County Physical address (this is the primary address where your organization is located): Street 320 North Tioga Street City Ithaca State NY Zip code 14850 Mailing Address (check here _x_ if this is the same as your physical address) Street City State Zip code County of primary location (the county that your primary address is located in): Tompkins School District of primary location (the school district where your primary address is located): Ithaca City School District Date Established (the date or year that your organization or institution was originally established): 1817 Phone number: (607) 274 - 5551 Fax number: ( 607) 274 - 5558 Web URL: Tompkins-co.org Email address: jmareane@tompkins-co.org Name and Title of Chief Administrative Officer (CAO): Joe Mareane CAD's phone number: (607) 274 - 5551 CAD's e-mail address: imareane@tompkins-co.org CAD's fax number: (607) 274 - 5558 • Parent Organization (if applicable): Please include this form with your completed and signed Payee Information Form i TOWN OF NEWFIELD 607 564 7329 02/01/12 06:45pm P. 001 To Whom It May Concern: The Town of NEWFIELD hereby confirms our partnership with Tompkins County and the Tompkins County Clerk's Office for the establishment of a shared electronic records management system funded by a 2012 - 2013 Shared Services grant from the NYS Archives through the Local Government Records Management Improvement Fund. We affirm our active participation in the design and testing of the system and our plan for long term commitment to the shared service that will result from the project. • • The University of the State of New PROPOSED BUDGET SUMMARY FOR A FEDERAL OR • York STATE PROJECT THE STATE EDUCATION FS-20 (02/07) DEPARTMENT (see instructions for mailing address) Project Number: 0580 -13 -3902 Local Government Records Management Improvement Funding Source: Fund Report Prepared By: Maureen Reynolds Name of Applicant: County Of Tompkins Mailing Address: 320 N Tioga St City, State: Ithaca NY 14850 Telephone#: County: Tompkins E-Mail Address: mreynolds@tompkins-co.org Project Funding Dates: Start 7/1/12 End 6/30/13 INSTRUCTIONS Submit the original FS-20 Budget Summary, and 3 copies, all with signatures in blue ink, along with the completed application directly to the appropriate State Education Department office as indicated in the application instructions for the grant program for which you are applying. DO NOT submit this form to the Grants Finance. Please submit the FS-20 Budget Summary as a two page form (not back-to-back on a single sheet). Enter whole dollar amounts only. The amounts must agree with the budget category totals from each Budget Category and Narrative Form. For changes in agency or payee address contact the State Education Department office indicated on the application instructions for the grant program for which you are applying. An approved copy of the FS-20 Budget Summary will be returned to the contact person noted above. A window envelope will be used; please make sure that the contact information is accurate, legible and confined to the address field. For information on budgeting, including 2005-06 REVISED guidelines for equipment and supplies, refer to the Fiscal Guidelines for Federal and State Aided Grants at www.oms.nysed.gov/cafe/. pd4mi evaluation copy. visit htt_p://pd4ml.coni BUDGET SUMMARY • CATEGORIES CODE PROJECT Agency Code 610600640077 COSTS Project # 0580 -13 -3902 Professional 15 $0.00 Contract # Salaries Support Staff Agency Name County Of Tompkins Salaries 16 $0.00 Purchased For Department Use Only Services 40 (a'1 ~15• o0 Approved 7/l/12 6/30/13 Supplies and Funding Dates: 45 ~ Ft°. o0 Materials ao Travel Expenses 46 $0.00 From To Employee 80 $0.00 Benefits BOCES Services 49 $0.00 Program Approval: Minor 30 $0.00 Remodeling Equipment 20 551, 3p Date:, Grand Total 1`44 ~l.aJ CHIEF ADMINISTRATOR'S CERTIFICATION Fiscal Year First Payment Line# I hereby certify that the requested budget amounts are necessary for the implementation of this project and that this agency is in compliance with applicable Federal and State laws and regulations. Date Signatur Name and Title of Chief Administrative Officer ,Ieseph-ci mcar<elcane, County Administrator • Voucher# First Payment Finance: Log: Approved: MIR: i TOWN OF NEWFIELO 607 664 7329 02/05/12 10:20pm P. 001 townclerk@centralny.twcbc.com From: Saved by Windows Internet Explorer8 Sent: Friday, February 03, 2012 1:52 PM Subject LGRMIF Institutional Authorization Attachments: Untitled attachment 00021.css Untitled attachment 00024.css s Archives Partnership Trust Office of Cultural I. ducation I Online Cataloe Search Home _J y_ tay ubq.r,,Rl'It WE 2 ® A 1 tome I_ORMIF Home Initial Application Forms: Post-Grant Award Forms: 1{eID [Checklist V] [Go) [Checklist Vj [Go) ctitntinnv/ AnthnrivatSnn' LGRMIF Grant Project Sponsoring Institution: County Of Tompkins Project Number: 0580 -13 -3902 Category: Document Conversion and Access Certification and Approval The following signatures certify that the local government agrees to the conditions outlined in Appendix A and Appendix A-1 G_ Both the CAO and RMO must sign the Institutional Authorization form. I hereby certify that 1 am either the'applicant's Chief Administrative Officer (CAO) or the Records Management Officer (RMO), and that the information contained in the application is, to the best of out knowledge, complete and accurate. I further certify, to the best of my knowledge, that any ensuing Program and activity will be conducted in accordance with all applicable state laws and regulations, application guidelines and instructions, and that the requested budget amounts are necessary for the implementation of this project. I understand that the application constitutes an offer and, if accepted by the New York State Education Department or renegotiated to acceptance, will form a binding agreement. I also understand that immediate written notice will be provided to the grants program office if at any time I learn that its certification was erroneous when submitted, or has become erroneous by reason of changed circumstances. t`MV..F AnMINICTRATTVF. CIFFICV..R Signature (original signature in blue ink) Date i TOWN OF NEWFIELD 607 564 7329 02/05/12 10:20pm P. 002 Print Name and Title of CAO RECORD MANAGEMENT OFFICER (RMO) Signature (original signature in blue ink) Date yen. Y)1 i! r. vh k7- S! 9~/~l Print Name and Title of RMO Phone Instructions The Authorization Form must be printed, completed, and signed in blue ink. Please mail the completed form to: New York State Archives Grants Administration Unit 9A81 Cultural Education Center, Albany, NY 12230 View I?DI' version of Institutional Authorization Form Cultural Education Center, Albany, New York 12230. Phone: (518) 474-6926 Business Process Analysis Assessment For the Town of Dryden Report Conducted by ACCEII IYITEMI October 2011 • Table of Contents S Executive Summary ....................................................................................................................................3 Project Overview ......................................................................................................................................11 Electronic File Inventory Analysis .............................................................................................................13 Issues and Areas of Opportunities ...........................................................................................................20 Strategic Approach Needed .....................................................................................................................28 Recommendations ...................................................................................................................................31 Preliminary Implementation Plan ............................................................................................................38 Appendix 42 Understanding Current Processes and Department Notes 43 Directory Reorganization 58 File Distribution By Type 62 Best uses for an Electronic Content Management System 64 • • The Town of Dryden Business Process Analysis Report Page 2 • Executive Summary The Town of Dryden contracted with Access Systems to conduct a Business Process Analysis targeting the primary work processes performed within the main municipal building, excluding the Courts. Group and individual interviews were conducted to identify and discuss any workflow or records management related issues and concerns that may exist from the staff's perspective within the respective areas. The goals of this project are to: 1) Provide a general understanding of the steps to perform the primary work processes 2) Identify any of the staffs issues or concerns that may be hindering their work performance or affecting overall records management practices 3) Recommend potential solutions to improve the workflow, management and access to records, and overall staff efficiency in the targeted areas The results of this project will provide the Town with a clear understanding of the primary areas to focus on to streamline workflows in the targeted areas and specific recommendations to improve the management and protection of both electronic and paper records throughout their retention lifecycle. Additional benefit provided • Although not included in the original scope of this project, our firm is providing an additional service to further assist the Town of Dryden. As a part of this project, our firm conducted a separate electronic record inventory analysis at no additional cost to the Town. This was done in an effort to provide greater insight into how electronic files are used and accessed by staff. The results of this analysis are included later within this report. With the above in mind, the following is offered as a summary of the issues and concerns as expressed by staff or observed by our firm during this project: Su nmaiy of issues and areas of concern Similar to many other organizations, the Town is faced with the daunting challenge of managing thousands of end user generated electronic and hard copy files. In particular, those files created outside of centrally managed databases, such as the Williamson Law Book financial and licensing software, present the greatest challenge due to their unstructured nature. Without the proper tools and policies in place, the task to manage the estimated 142 gigabytes of end user files stored on the Town's network becomes even more challenging. Although many of the following issues are known to the Town staff, determining the direction and approach to addressing these issues can be overwhelming, which in large part is the reason for conducting this project. Some of the issues and areas of opportunities for improvement discussed later in this report include, but are not limited to the following: The Town of Dryden Business Process Analysis Report Page 3 i 1. Existing work processes are inherently creating numerous additional documents • Some of the primary work processes, as they are now performed, are inherently creating additional electronic and paper copies of documents. This is due to one or more of the following reasons: 1) Lack of functionality in the current application software used within a department, 2) Not having a primary software application tool at all to manage a process, or 3) A need to track, share or otherwise provide report-based information to co-workers and/or supervisors that is not readily available to them. These processes often involve cumbersome steps performed by Town staff to record information in numerous Excel spreadsheets and then share these documents as email attachments (or copy a file to a shared network directory), resulting in additional copies and growth in the storage space used (both physical and electronic). Often these spreadsheets are used as ad hoc tracking tools, requiring redundant data entry and additional time/labor to keep up to date. These individual disjointed tracking tools also do not provide senior Town management with an integrated view of the overall processes or trending information needed to make strategic decisions for the Town. 2. Need for new or enhanced applications Although minor tweaks can be made to some of the processes within each department to improve efficiency, it became apparent that the current staff has already refined many of the • steps given the tools at their disposal. In order to see significant workflow improvement, new or enhanced software applications must be implemented. Two departments in particular are sorely in need of new applications in order to improve operational efficiency: Recreation and Planning. Both of these departments have numerous manual steps and duplicate data entry due to a lack of properly functioning applications (Recreation has no primary application at all). The provider of the Planning Department's core application ceased development of the product some time ago and has no plans to address current functional deficiencies or further enhance the application. In addition to these two departments, the limitations in the current financial software (Williamson Law Book) used by the Town are forcing departments to create additional internal tracking tools leading to duplicate data entry. Departmental activities involving managing budgeting, purchasing and expense related information are cumbersome processes requiring separate tracking tools due to limitations in the financial software to provide real- time information to departments. Also, the underlying database used within the financial software has not been sold by its manufacturer (Microsoft) for over six years and thus has not been enhanced to meet the changing technology landscape. This software does not use a relational database as most modern applications. Thereby it lacks transactional processing which guards against hardware and software errors/crashes that might leave the application in an unstable status. The Town of Dryden Business Process Analysis Report Page 4 • Although time and attendance tracking is not a capability presently offered by the installed software, it is included by other financial applications and would significantly reduce additional labor spent in the tracking and managing of personnel time. The Town Clerk uses software from the same vendor and thus has the same inherent limitations in the database structure and is a candidate for change at the same time as the financial software. 3. Use of current electronic forms can be cumbersome While there are forms stored on the server in electronic format, they are typically Microsoft Excel, Word, or PDF formatted files. There are four primary issues with these formats: 1) They are not intelligent forms that can transfer data to other applications without re-keying of the information; 2) These forms do not have any type of validation capability to ensure information is entered correctly, 3) The current forms can be accidently overwritten with data entered once a person saves the form, requiring someone else to copy a 'clean' form back to the server; and 4) They lack any workflow capability that will route the form to the appropriate person when completed or an approval is needed. 4. Need for improved filing and organization of electronic records A large percentage of duplicate electronic files (54%) are being stored throughout the Town's • network directories adding to an already unwieldy file repository. In addition, file content is often difficult to identify due to non-descript file naming and no use of standard file naming conventions. The lack of a common file organization or indexing scheme makes it more difficult to locate files in shared directories, particularly when the file was created by another staff member who is not in the office that day. 5. No tools exist to manage unstructured documents (e.g. word processing, spreadsheets, email) There are no systems in place to manage retention for electronic records and/or coordinate the retention of electronic and paper renditions. Sufficient protection against the accidental deletion of critical electronic files is not in place beyond a standard backup process (which requires someone to know a file was accidently deleted). Nor is there any way to identify electronic versions of records that may still exist after their hard copy versions have been destroyed. No application tools are in place to ensure document integrity or the proper security, protection, and revision control for documents in shared directories. 6. Other areas to address I Disaster Preparedness: With increased dependence on electronic information - regardless of whether any new application is implemented or not - the Town must have a solid business continuity plan in place. A disaster preparedness assessment should be performed along with the development of a business continuity plan to ensure the daily operations of all critical functions of the Town in the event of a disaster. The Town of Dryden Business Process Analysis Report Page 5 Image file format: While the document scanning occurring within Planning adheres to the file . format recommended by the New York State Archives (a TIFF formatted file), the Town must be careful other scanning efforts, particularly those involving the digital copier that also has scanning capabilities. Often these devices default to a standard PDF file which does not comply with New York State Archives' guidelines for the long term retention and preservation of electronic records (only TIFF or PDF/A files are recommended). Regulating use of digital copiers: With the increasing and unregulated use of the digital copier already in place, users are creating additional copies (both digital and hardcopy), which in turn are consuming more storage space throughout the Town. Update and adopt records management policy manual: The Town has a draft version of a records management policy manual that need further revision and has not been formally adopted by the Town Board. Recommendations while continuing to follow strategic approach Although a review of the primary processes was performed and a solid understanding of the issues involved was gained, it became clear that more than minor tweaks to the current processes are needed. While there are some changes our firm can offer the Town to improve access to information and ease some processes, these changes will have relatively minor impact on the processes now being performed. In order to have a more dramatic impact and streamline operations, the Town must focus on • implementing specific software application tools to address the primary needs of the Town. While it may appear that a municipality-wide software solution from a single vendor addressing multiple town departments may be the best solution for Dryden, this is not always the case. Based on our experience working with hundreds of municipalities across the northeast, it is rare to find a local government that is satisfied with a single vendor's solution in all departments. These single vendor solutions are rarely the best of breed solutions in all functional areas, nor do they address all departments (e.g. Recreation is typically not addressed by many of these single source vendors). Our firm is available for further discussion involving the selection of an all-in-one solution versus solutions that can share data electronically with each other when needed. In any case, selecting a common IT platform (operating systems, database architecture, etc.) must be considered in any software acquisition. Further discussion on this is included later in this report. Given the above, the following are the specific needs of the Town: • Develop a Strategic Plan for Information Technology In order to effectively and efficiently improve the Town's IT infrastructure and resources, Dryden needs a mission driven, 3-5 year Strategic Technology Plan that openly reflects the Town's priorities for providing resources and services. Given the internal resources of the Town, this plan should be developed and proposed by an outside consultant (either the new firm that will be providing IT support or another outside consultant) and be approved by the Supervisor and Town Board as part of the annual budget process. This plan needs to include The Town of Dryden Business Process Analysis Report Page 6 • the rationale, cost, funding and disposition for all existing and planned IT systems and infrastructure to drive decision making, priorities, timeframes, and budgeting. • Replace the codes enforcement and permit issuance application used in Planning The primary application used within Planning for code enforcement and permit issuance does not meet the current or future needs of the department. The Town must select a new application specifically designed to address the needs of code enforcement, permit issuance, fire inspections, Planning, and Zoning among other needs. In addition, the application must offer remote access to allow Code Enforcement Officers to leverage the application from the field along with tight integration with GIS. Consideration should be given to collecting permit fees directly by the department since most applications include this capability. Estimated costs for a new application are included later within this report. • Implement a new Recreation Department application The Town must select and implement an application designed to address the registration, program management and scheduling needs required of the department. Using a tool that provides online program registration will provide significant benefits for the residents as well as reduce the manual labor now spent by department staff recording and tracking participants. Residents will be able to register for the programs offered by the Town of their • convenience, instead of having to make time to travel to the municipal building during normal operating hours. In today's online world, residents are expecting to be able to do more online and reduce the need to travel and process paper forms. Based on time estimates provided by the department, staff is spending a significant amount of time performing data entry and compiling various reporting and tracking tools (although our interviews were conducted prior to the hiring of a part time staffer for data entry). At the time of our interviews, approximately 15%-20% of the Director's time was spent performing data manipulation involving numerous Excel spreadsheets. The vast majority of this time, as well as the 10+ hours a week the Recreation Coordinator spends preparing program rosters at peak times, could be avoided with a new application. Assuming just the Director's time, this equates to approximately $9,000 to $12,000 annually the Town spends with tasks that could be avoided (when salary and benefits are included). While there is a present need in Recreation, it becomes even more important to address the issue before any increase in future workloads. Recreation should see an increase in the need for their services and additional scheduling demands with the development of the new park. • Reorganize shared directory structures The current shared, server-based data storage directories contain a significant number of important, critical files, but were created without any particular methodology or structure. . Formalizing the structure and use of those directories will improve control over access and reduce the time and effort required for retrieval. The Town of Dryden Business Process Analysis Report Page 7 I As an added offering, our firm has provided a suggested directory hierarchy and guiding • principles for creating and maintaining a directory structure within the appendix of this report. The intention is to use this draft structure as a starting point for discussion and to further modify the draft as needed to better address individual department needs. As the directory hierarchy is modified, the actual structure in use is documented within a Records Management Policy Manual to identify the specific purpose for each sub-directory and the record series that are stored there • Develop a Disaster Recovery and Business Continuity Plan While there are daily backups of the data stored on the Town's information server, a comprehensive plan for maintaining continuity of operations in the event of a disaster does not currently exist (although one is referred to within the draft records management policy manual). Having the backup data is of little good if it cannot be accessed with the appropriate software and hardware that created it. The Town needs a detailed, tested Business Continuity Plan in place to facilitate the timely restoration of services and resources in the event of a disaster. Grants applied through the NYS Archives are typically highly rated and thus more likely to be funded if outside funding sources are needed to complete such a plan. After the above items are implemented, the Town should consider the following: • Replace the current financial software application • The current financial application does not provide departments with readily accessible real- time data, particularly concerning current budget balances, among other shortcomings. Departments receive a periodic budget abstract, but this requires departments to track their expenses and purchases using separate Excel spreadsheets. More flexibility is needed for departments to view their own budget information in real time, as well as assist in drafting preliminary budget data. Integrated online time and attendance functionality will eliminate duplicate data entry as well as streamline operations, reduce file storage, among other needs. • In conjunction with the above, replace Clerk's software for licensing, permits & tax collection Although the Town Clerk's office operates a relatively efficient operation, the software used by the department should be replaced for reasons similar to the limitations seen with the finance application. Since the Clerk is actively involved in fee collection, any software selected by the Clerk must be fully integrated into the Town's financial application and should be considered as a candidate for replacement during the same timeframe. • Implement an Electronic Content Management System (ECMS) In order to manage the paper records as well as the unstructured electronic files (e.g. word processing, spreadsheets, PDF, email, etc.), the Town should implement an ECMS solution. With the limited number of staff and internal IT support resources, the Town should consider working with Tompkins County on leveraging the use of their ECMS through shared services. The Town of Dryden Business Process Analysis Report Page 8 • An ECMS is a powerful tool for managing native electronic records as well as scanned documents and can be the centralized repository for many of the Town's records (e.g. contracts, resolutions, minutes, etc.). An ECMS that incorporates solid records management design and functionality is paramount in the selection process. A centralized managed repository for the records is needed and will provide the following benefits: • Streamlined workflows (e.g. eliminate unnecessary steps) • Reduced storage consumption/copies (both electronic and physical storage space) • Controlled access to records • Improved finding aids to locate records and information • Address records retention, records disposal, and compliance needs • Change the existing document scanning process to generate files in TIFF or PDF/A format for long term retention records. Any documents intended to be retained for more than six years should be scanned only into either a PDF/A or TIFF formatted file. Typically, digital copiers default to a standard PDF file (not a PDF/A), which is not the preferred format for the long term preservation of electronic records by the New York State Archives' or the National Archives. The preferred image formats are TIFF Group IV files and PDF/A. PDF/A is the archival version of the standard PDF format and is an open file format recognized by the International Standards Organization. • Kev considerations The Town should be commended for its strategic approach to addressing the issues facing departments and the Town as seen with undertaking this business process analysis project. Too often our firm sees municipalities make knee jerk reactions to address specific issues facing them without considering the impact on other departments or the Town overall. With the above in mind, the following some of the key considerations for the Town of Dryden as it moves forward with the implementation of any of the recommendations offered within this report include: • Developing a strategic approach to a town wide information system infrastructure. Too often departments within a local government work in silos, with each focusing on their specific needs and little attention paid to overall operation of the Town. Selecting solutions based both on individual need as well as how they integrate with each other must be done to avoid inefficiencies as now seen where duplicate data entry and numerous ad hoc tracking tools are being used. Strategic planning also will reduce the budgetary surprises when new technology or upgrades are needed. • Develop a requirements definition document for each application Before any software is purchased or any Request for Proposal issued, the Town must develop a detailed requirement definition document for each application area. These documents outline the specific minimum functionality needed by the department and/or Town to ensure the proposed system meet a baseline of capabilities for easier comparison and more accurate costs. The Town of Dryden Business Process Analysis Report Page 9 • Leveraging shared services through Tompkins County and other local municipalities . The Town has the opportunity to avoid additional upfront costs and potentially higher internal support needs by discussing with the County the possibility of leveraging their ECMS solution. There are also additional benefits discussed later within this report that would assist the County's Assessor by providing direct access to property related information the Assessor requires. In addition, new software applications in Recreation and Planning could position the Town to be able to offer Recreation and Planning/Code Enforcement management shared services to other local municipalities in the future, providing additional revenue opportunities. I Next steps After the Town reviews this report and the recommendations contained within, Access Systems welcomes feedback to assist us in clarifying and improving our deliverables to better address the Town of Dryden's needs. The next sections within this report provide additional detail regarding the project, the issues and concerns seen, as well as recommendations and a suggested implementation plan for the company. If you have any questions regarding this report, please contact Steve Goodfellow from Access Systems directly at 315-682-1188 or SteveG@AccessKM.com. • • The Town of Dryden Business Process Analysis Report Page 10 • Project Overview Project Focus The focus of this project was to perform a business process analysis focusing on the primary workflows occurring within the main municipal building (excluding the Courts) as well as a review of the electronic records management practices associated with these processes. The primary work processes within departments were reviewed to identify potential opportunities to enhance the overall operating efficiency and management of electronic records. This report is intended to provide specific recommendations for these targeted practices within the Town. The primary goals of this project included: 1) Providing a general understanding of the steps to perform the current processes 2) Identifying any of the staff's issues or concerns that may be hindering their work performance or affecting overall records management practices 3) Recommending potential solutions to improve the workflow, management and access to records, and overall staff efficiency in the targeted areas . Process followed In order to gather the needed information, group and individual interviews were conducted with the Clerk's Office, Bookkeeping, Planning and Recreation departments of the Town. During the course of the project our firm performed the following activities: • Performed a Business Process Analysis focusing on improving the management and access to records within selective Town departments. Potential areas to streamline workflows and improve overall records management activities throughout the Town were examined. Departments included in this project were: o Clerk (including Tax Collection) o Planning (including Zoning, GIS and Code Enforcement) o Town Clerk's Office o Finance o Recreation • Interviews were conducted within the targeted Town departments with department heads and the key personnel with knowledge of the primary workflows as well as those responsible for records management activities within each functional area. • Identified current applications used by the above departments and the records these applications and the users create. Reviewed the storage locations and media used as well as a general overview of the organization for files was performed. The Town of Dryden Business Process Analysis Report Page 11 • Reviewed the Town's Information Technology infrastructure and the current use of electronic i records management technologies within the Town. Examined current e-mail infrastructure and related processes, management and archiving tools in place. • Determined potential information sharing opportunities as well as potential overlap of data already being gathered, stored and used by the targeted departments. Opportunities for improved efficiency in operations and information sharing among departments were identified and are provided within this report. • Identified areas of concern and provided appropriate recommendations to improve existing workflows, operational efficiencies and procedures relating to information access, sharing, records management, and the preservation of records according to NYS Archives' guidelines. • Recommendations were provided for streamlining general departmental workflows, reduced physical record storage, and the overall improvement of records management operations as needed. • Identified specific processes and records within the departments for the potential implementation of an Electronic Content Management system, if applicable, to improve the management of records within the Town. • Assisted in the prioritization of the issues to address with regards to the overall approach the Town could take and develop an implementation plan to follow. • Additional benefit provided As an additional benefit, although not included in the original scope of work, Access Systems performed a high level electronic file inventory analysis for the Town. This extra process was done to provide additional insight into how departments use and store the files they create. By performing this additional work, our firm was able to provide to the Town a draft outline of a new directory structure for the Town's server. This is intended to be a starting point for further discussions that will further refine this draft. A new directory structure will lead to easier locating of stored files as well as reduce some of the redundancy in storage now seen. The following sections provide additional information on the process our firm followed as well as the findings of the analysis performed and the interviews conducted by our staff. i The Town of Dryden Business Process Analysis Report Page 12 Electronic File Inventory Analysis This section covers some of the specific information gathered from the online analysis of the data collected related to electronic files stored on the server within the Town of Dryden. The focus of the electronic file analysis performed by our firm is the shared network directories for the data used by the departments as this storage location is specifically intended to be used to store electronic records. These files are generally referred to as 'unstructured' files including those created by word processing and spreadsheet applications, in addition to PDF and imaged files among others. There are over 100,000 individual files representing approximately 142 GB of data stored on Town of Dryden' primary file server. Many of these files are not considered the official copy of a record by the Town. Particularly for word processing files, the official record is usually the printed, signed version of the document stored in hard copy. However, users frequently refer to the electronic version out of convenience and these data files are often reused and edited to create new documents. In addition, many of the files in these directories are not end user generated data files. Files used by the operating system and software application program files have also been stored within the data directory hierarchy. The presence of these files, and others not specifically related to end user data, further • complicate the use and management of the shared storage areas. The Town has an email server and several applications which use a back-end database for record storage. Not all of these data repositories are included in the end user data totals discussed above or stored in the same directory hierarchies. However, they are important, critical information systems from which official records are retrieved in both electronic and hard copy formats. The following table is a breakdown of the current application software used within Town of Dryden and data storage allocations when known: System Notes Size Email System Microsoft Exchange TBD Enterprise Application Systems Williamson Law Book TBD Imagemate TBD ArcGIS TBD user Data Kiies " Primary end user files 142 GB i The Town of Dryden Business Process Analysis Report Page 13 File In venlot y Analysis To highlight issues with managing end user electronic files, a more in-depth analysis was performed to identify the types of files, their age and the extent of duplication. The directory structures, file names, sizes and date stamps in the end user directories were extracted with a software tool provided by our firm. This extracted data was gathered and stored in a SOL database utilized by our firm that allows aggregate statistical analysis to be performed on the collected data. Some of the specific issues regarding the unstructured electronic documents stored on server-based repositories are covered below. The following analysis does not cover files stored locally on desktop PCs or laptops. 1. There is a significant number of duplicated names for electronic files Many documents have the same names. In some cases, multiple copies of the same electronic files exist (many created via email distribution attachments and copied to various user directories). For example, of the 31,394 image files stored on the network in both the shared and private directory hierarchies, 16,848 had duplicate names or 54% of the total. Of particular concern are the databases associated with financial information: CHART.CDX 270 CHART.DBF 270 JOURNAL.DBF 202 LEDGER.CDX 201 LEDGER.DBF 201 JOURNAL.CDX 201 LASTYEAR.DBF 200 encjrn.cdx 199 ENCJRN.DBF 199 CDJRN.DBF 199 BUDJRN.DBF 199 XACTIONS.DBF 199 crjrn.cdx 199 CRJRN.DBF 199 CDJRN.CDX 199 BUDJRN.CDX 199 In other cases, generic, default names are assigned by application programs such as by digital cameras and digital copiers/scanners. The following are some examples of the number of files with the same auto generated names: The Town of Dryden Business Process Analysis Report Page 14 .be IXK 000 0002.1PG 98 000_0003.JPG 95 000_0004.1PG 90 000_0005.1PG 82 000_0007.JPG 81 000_0006.JPG 77 000_0008.1PG 73 000_0001.JPG 68 000_0009.jpg 67 000_0010.jpg 53 000_0011.jpg 49 The following table summarizes the number of duplicate file names for commonly used data types: Files With Duplicate File Names . . Image 31,394 16,848 54% GIS 15,111 8,808 58% Word processing 10,384 3,108 30% Database 8,233 7,518 91% Postscript 5,729 2,261 66% Excel 2,990 1,406 47% Total (all types) 100,962 54,357 54% 2. Certain file content is difficult to identify As discussed elsewhere within this report, consistent file naming conventions are not used within the Town of Dryden. While this is by no means unique to the Town, there are other factors increasing the number of documents with nondescript file names. An increasing trend our firm sees is the automatic file naming approach used by digital cameras and copiers/scanners used in most organizations. Many of these image files have the sequential numeric names assigned when they are downloaded from a camera, or sent to a pre-assigned directory or via email from a digital copier. There is no way to know what they represent or if they have been used in other documents (such as embedding them into a Microsoft Word document). The Town of Dryden Business Process Analysis Report Page 15 Often, the only way to properly identify these images is to individually open up and view each file. Given that the Town of Dryden has almost 17,000 JPG files, this would require significant time to individually open, review, and assign descriptive names to each one of these files. The overall storage space used by all image files (see table summary below) is significant consuming over 55 GB of storage space and it is it is likely to grow even more over the coming years. Image files by type and volume r Gt<'iJPG U PEG 16,693 17,257 TIF&TIFF 6,170 24,852 PDF* 5,729 11,541 PNG 4,657 81 GIF 1720 182 BMP 969 192 SDW 966 < 1 All other 219 2,162 * (Not all PDF files are scanned images created by digital copiers.) It should be noted that JPG image files, which are typically the default storage format for digital cameras, are not the recommended format for long term preservation of images according to the National Archives and Records Administration (NARA) and the New York State Archives, among other sources of industry best practices. The reason for this is due to the'lossy' file compression format used by JPG files. While the lossy approach to file compression allows for relatively smaller file formats, it is accomplishing this by effectively taking pixels out of the image to produce the results. Each time a JPG file is re-saved, additional image pixels are removed from the image thereby degrading the quality of the image with each successive file saving occurrence. As a result, those electronic files deemed long term organizational records should not be stored in a JPG format. Most digital cameras can save to another file format other than JPG (such as JPEG2000 which is a lossless compression format). While it is not known which PDF files included in the table above were created directly from applications, received from outside sources, or were scanned via the digital copier/scanners, it is worth noting the increasing use of the digital copier/scanner is leading to a growing number of PDF image files on the network. These files are housed in both the Exchange email storage repository and the network file server repositories after end users save the email copy to their The Town of Dryden Business Process Analysis Report Page 16 own private or shared directory. Often during this process, users will rename the file as it is saved to a directory and leave the original scanned file in the email repository. As a result, at least two copies are being stored, but with different file names (one sequentially numbered by the copier and the other named by the end user). Beyond the JPG and PDF files, the Town of Dryden has over 1,606 files using 161 MB of storage space that are unspecified (e.g. no file extension was used), in addition to 1,059 unidentified files (these files were not easily identified as using common file type extensions) using 57 MB of storage. Unidentified and unspecified files are difficult to determine their contents without individually opening each file (assuming the application is still available to view these files). However, in each case, these files represent a relatively small number of the total number of files in the data directories reviewed 1.5% and 1% respectively). 3. Growth in files stored As can be seen in the chart on the next page, there has been significant growth in the number of individual files stored on the network file server since 2000. In 2000, there were 259 image related files using about 17MB of space. Since that time, thousands of files have been added each year to a total of over 31,000 files in 2011 occupying more than 44GB of space. While less dramatic, similar trends exist for database, Postscript, and word processing files. Total storage for these data types accounted for only 80 MB in 2000, growing to 60,437 MB by 2011, a 755-fold increase. 50,000 Drvden - Cumulative Totals For Selected Data Tvnes 45,000 I ~ 40,000 + - -t-Images of files) 35,000 I -&-Images (Size MB) 30,000 Databases of files) 25,000------------------------------.._.- -E-Databases (Size MB) -)*-Postscript # of files 20,000 i- ( ) Postscript (Size MB) 15,000 Word Processing of files) 10,000 ...,,.„_WOrd Processing (Size MB) j 5,000 0 - i 2000 20012002 2003 2004 2005 2006 2007 2008 2009 2010 2011 - - • The Town of Dryden Business Process Analysis Report Page 17 4. Data files are intermixed with other electronic files There are application program files (e.g. 'Program', 'Font', 'Temp file', among others) intermixed with end user data files. At least 16,642 total files using approximately 13GB of space in the primary data directory hierarchies on the main data storage server for end users fall into these categories. End user files are those identified as text, word processing, database, mail, image, postscript, PowerPoint, Excel among others. This means that approximately 16.5% of the total number of files stored in end user directories may not be data created by Town of Dryden employees. 5. Many stored files have not been viewed or modified for 6+ years There are 22,468 files stored in the end user data directories that have not been viewed or modified since 2004 accounting for 10 GB of storage space. It is not possible to determine the contents of many of these files without individual opening each file. Once the contents of a file is actually identified, then the Town will need to determine whether that file is an official record that must be retained according to the NYS Archives' MU-1 retention schedule) or if the official record is in another format such as paper or microfilm. 6. Shared directory hierarchies use individual employee names instead of functional references In multiple directory structures, a key identifier for the purpose of a particular subdirectory hierarchy is based on an employee's name: 0 \Shared Data\Planning Dept\Dans Docs for Sharing \Shared Data\Planning Dept\Dave's \Shared Data\Planning Dept\HENRYS \Shared Data\Planning Dept\Jane \Shared Data\Planning Dept\JOSH'S STUFF \Shared Data\Planning Dept\Joys Stuff \Shared Data\Planning Dept\Kevin's Folder \Shared Data\Recreation\Melissa\Rec Vouchers While it may be clear to current employees who these individuals are and what role they have in the Town, future staff may not know what to expect to find in the files maintained by Jane or Kevin. 7. Shared directory hierarchies have excessive number of levels In many directory structures, data files are stored below six or more, often redundant, subdirectory levels. For example: \Shared Data\Planning Dept\Joys Stuff\All ZBA mins. past years\ZBA mins for 2008\ZBA minutes 2008 \Shared Data\Planning Dept\Joys Stuff\AII Henrys past letters\Henrys letters for 2007 ALL\All letters from Henry for 2007\Fire letters 2007 • The Town of Dryden Business Process Analysis Report Page 18 "Burying" files deep in the directory structure can make them difficult to find, particularly by users who did not originally create the structure. While the above information was gathered and analyzed based solely on the information gathered from the electronic files stored on the network, the following section outlines some of the issues mentioned by staff as well as other areas our firm observed during the project. The recommendations that are contained later within this report are based on the collective information gathered by our firm from both server-based data analysis as well as individual end user interviews. The Town of Dryden Business Process Analysis Report Page 19 Issues and Areas of Opportunities Typically when conducting a Business Process Analysis, our firm will provide a section within the report outlining the current steps followed by the organization before discussing any issues or providing recommendations on addressing those issues. But in this case, we have decided to include any description of the current processes in the appendix of this report instead of the main body. This is done for brevity of the main body (although not by much) as well as saving the reader time reviewing processes they are already familiar with. This section is intended to provide a discussion on the opportunities for improvement either mentioned by the Town staff or observed by our firm during the on-site interviews. Although many of the items discussed below are known to some if not all of those involved in the each of the processes, this section provides a summary of the various issues and concerns seen by the staff involved with each process. When examined in isolation, the number of items listed may seem overwhelming to the reader of this report. But with the support of the Supervisor, the Clerk, the Town Board, department heads and staff, the Town has the opportunity to significantly improve operational efficiency and ensure greater access, protection and management of the Town's electronic and hard copy records. Discovery phase approach The approach our firm took in interviewing each department or individual staff member should be noted. Asking someone if they had any issues or concerns with finding information on the network may provide a straightforward 'no' response from the interviewee. It would be easy to accept this response and assess that there was no issues for this particular area. But upon closer examination, although the individual may not have an issue since they are storing files in their own directory structure, we found that either other individuals had issues finding the files created/used by the 1" person or they were making copies of the originator's files and placing them in their own filing area - thus adding to the number of duplicate files being stored. This situation also will lead to future issues such as determining which files are the most recent version (or have the 'correct' information within them). Issues and areas of opportunities observed during interviews With the above in mind, we offer the following as those areas either mentioned by department staff or observed during our firm's meetings that should be addressed to improve the overall workflows as well as create a properly managed electronic records environment. Although not listed in any particular order, the items that follow are grouped into five primary areas: Lack of proper tools adding to document generation, document copying built into current processes, need to improve electronic filing and organization, lack of file management tools, and other needs. The Town of Dryden Business Process Analysis Report Page 20 i Lack of proper tools leading to additional document generation and management Excel used to fill need gaps in application needs Departments are creating and storing numerous individual Microsoft Excel-based documents as a result of one of the following situations: 1) Lack of functionality in current application software used within a department 2) Not having a primary software application tool to manage a process at all (e.g. Recreation) 3) Having a need to track, share or otherwise provide report-based information to co-workers and/or supervisors that is not readily available to them. For example, in Recreation, there is no department-specific software application in place to help managing the registration and program tracking needs of the department. As a result, this department is using dozens of individual Excel spreadsheets to address its specific needs. While each one appears to address an identified need, there is significant duplicate data entry and increased chances for inconsistent data entry among the various individual spreadsheets. In addition, these disjointed spreadsheets do not provide a clear overview of the activities of the department (without having to create additional spreadsheets) and lack any trending information to better forecast future needs of the department and the Town. At the time of our interview, approximately 15%-20% of the Director's time is spent performing data manipulation with the Excel spreadsheets. The vast majority of this time, as well as the 10+ hours a week the Recreation Coordinator spends preparing program rosters, could be avoided with a new application. Assumingjustthe Director's time, this equates to approximately $9,000 to $12,000 annually the Town spends with tasks that could be avoided (when salary and benefits are included). When the approximately 10+ hours a week of time the Recreation Coordinator spends on data entry and preparing the rosters during the first few weeks of registration, the potential savings are even greater. When added together, they should more than justify the cost of a new application given the additional benefits these applications can provide both internally and externally to the community. In Planning, multiple spreadsheets are used for tracking permit inspections, recording information on fire inspections, planning activities, among many other data points related to the work performed within this department. Typically these functions are included in the core permit tracking system used for permit issuance and code enforcement, but are lacking in the present application. Other concerns with the current application software used by Planning include: • No module for fire safety inspections, requiring separate tracking tools • Does not address Planning related work at all (e.g. site plan, subdivisions, etc.) • Cannot easily import existing electronic files and data such as PDF files and photos- leading to additional labor by printing a file and then scanning the item into the software • No remote access to the software, thereby limiting access to only office workers. ICC Certifications require staff to be away from office for multiple days (e.g. for conferences, quarterly meetings of Code officers, training, etc.). Often a Code Enforcement Officer is . driving by a location and they see a potential issue with a property, but they do not have access to information on the property. So this requires another trip back to property after looking up information when they returned to the office. The Town of Dryden Business Process Analysis Report Page 21 • Cannot synchronize data if entered into a shadow copy of the database used in the field • with main database since it will overwrites any previous data (such as information entered by office staff while a Code Enforcement Officer was out in the field) • Cannot manage historical parcel data easily when there are changes in a tax map • Requires a separate Word document to be created to complete a permit placard • Staff would like the software to incorporate the Town codes in order to generate an appearance ticket Double data entry being performed In several cases, there is data being entered into multiple applications and tracking tools to address specific needs within the Town due to a lack of integration between applications. This was occurring within Planning (between ImageMate, Excel and Word documents) and often with information contained with Williamson Law Book and Excel spreadsheets used in departments. In certain cases, a separate spreadsheet may need to be created by a user to track specific information or produce a report. With Recreation not have a primary application tool there are numerous instances of duplicate data entry occurring between the dozens of spreadsheets used by this department. Electronic forms cumbersome While there are forms stored on the server in electronic format, they are typically Microsoft Excel, Word, or PDF formatted files. There are four primary issues with these formats: 1) They are not • intelligent forms that can transfer data to other applications without re-keying of the information; 2) These forms do not have any type of validation capability to ensure information is entered correctly, 3) The current forms can be accidently overwritten with data entered once a person saves the form, requiring someone else to copy a 'clean' form back to the server; and 4) They lack any workflow capability that will route the form to the appropriate person when completed or an approval is needed. Lack of flexible financial tool The limitations in the current financial software (Williamson Law Book) are forcing departments to create additional internal tracking tools leading to duplicate data entry. Tracking purchases and other expenses and comparing them against a department's budget is cumbersome since the financial software does not provide real-time viewing of budget by department personnel. A PDF-based file is produced to provide periodic updates to departments on their budgets to date, but this leads to the creation/updating of separate Excel-based tracking tools (and data entry) of the updated information by departments. When there are a greater number of individual budget line items (e.g. Planning has 33 separate accounts), the process becomes more time consuming for certain departments. The underlying database used within the financial software has not been sold by its manufacturer (Microsoft) for over six years and thus has not been further enhanced to meet changing technology landscape. This database is also not a relational database as most modern databases are thereby lacking transactional processing, which guards against hardware and software errors/crashes that • might leave the application in an unstable status. The Town Clerk uses software from the same The Town of Dryden Business Process Analysis Report Page 22 • vendor and thus has the same inherent limitations of the database design structure and is a candidate for change at the same time as the financial software. Time and attendance needs For time tracking requirements, Town employees enter their time worked into individual Excel based timesheets (one per employee). These files are then sent to the Bookkeeper for payroll. This current process includes duplicate data entry of selected information and generates multiple individual files (both electronic and hard copy) in order to share the information (which leads to further growth in storage spaced consumed with various copies of the files). In addition, part time and seasonal staff can be confused on sections of the form that are meant for full time employees (e.g. vacation and other benefit related data). This leads to a need for additional training for part time staff members whom are often new to the workforce (particularly in Recreation) and are not familiar with standard payroll terms and norms. The lack of online time tracking forces part time staff to hand deliver the timesheets to the municipal building during normal business hours when they normally do not have a need to go to the building, such as coaches. Since many of the Recreation Department's part time staff members work at parks and ball fields in all kinds of weather conditions these forms can be damaged from rain or crumpled up in a backpack while they are working. Document copying (both electronic & hardcopy) is inherently built into current processes Collaboration and information exchange/shoring leading to additional unnecessary copies With the numerous Excel and word based tracking tools used, this is leading to more copying of files in order to share the information with others. Typically, staff will not make the original version of the electronic document available to others due to the greater chance data being changed, files being accidently deleted or otherwise corrupted. File copies are emailed or placed in shared directories, as well as private directories in order to provide access to other town staff. Email is a commonly used tool for file sharing Many users default to using email as the primary method for sharing files. While this is common in many organizations, it also is a primary reason for the growth in the storage of redundant copies of files on the Town's network. For example, when someone sends an email with an attachment to 5 people on the network, typically the recipients will save the attachment to a local or network drive. The result can be 6 copies of the attachment held within the email storage repository (the sender's and the 5 recipients) as well as an additional 6 copies of the file stored on various locations on the network or user workstations. As users make additional copies on USB drives for travel (or forward the email to others), these copies continue to proliferate throughout the Town and it becomes difficult to determine which of these files are copies and which have been updated by selected users. • The Town of Dryden Business Process Analysis Report Page 23 Need for improved electronic filing and organization • There is no common file organization or indexing scheme While the Town has attempted over the years to bring improved organization to its growing number of files and directories in its server-based data structures, like most organizations, the Town has found this process to be challenging, to say the least. In several cases, each individual organizes his or her files in a manner that best suits their needs. While benefiting the file creator, this process does not help others needing access to that file at a later time. While generally not seen as an issue since it is may be relatively easy for the file creator to locate the needed document, what would happen if the file creator leaves the Town? Would others be able to understand their personalized file naming and organizational structure needed to find the file? Information regarding a file' can be spread across multiple repositories In order for a user to obtain all the information needed on a project or specific task, often there must be separate searches performed among disparate repositories. These repositories can include: • Department shared folders • Private folders • Email (Exchange repository and in individual archived PST files) • Individual tracking logs (Excel spreadsheets or an Access database) • Office file cabinets • Boxes in the vault If multiple renditions of a document are found, there are no obvious management tools in place to ensure the validity of the discovered documents (e.g. ensuring they are the latest and most accurate versions). Controlling and managing content on shared drives is challenging The hierarchal directory structure used on shared network drives is inflexible, hindering searching ability and the management of the content. Content may be changed, accidentally deleted, or moved, further frustrating users. This file folder approach also does not provide the granular level of security and access required by departments. While many consider the current file server based directory structure as being a centralized repository, this method does not provide the flexibly in searching, finding and retrieving records that each individual department requires. Often users will copy files into another directory so they can organize them with their other files in a manner better suited for their individual needs- leading to additional copies being stored. Need for consistent file naming conventions There are no consistent conventions for naming critical files or for files that are typically shared among staff. Although a file sent to others via email may indicate the attached file's contents within • the body of the email, the file name itself often contains little if any information to indicate the The Town of Dryden Business Process Analysis Report Page 24 • contents. The use of inconsistent file naming conventions adds to the time required to search for a file and can even result in someone concluding that a file is missing (when it is not). Lack of tools or consistent methods to manage end user electronic documents While the Town has some tools available to manage network resources and structured data contained within database driven applications (e.g. Williamson Law Book for finance and some of the Clerk's activities) there are a significant number of unstructured documents (e.g. word processing, spreadsheets, presentations, emails, etc.) stored on local and network repositories. These unstructured documents once created, are often retained indefinitely with little or no oversight. No tools to ensure proper electronic records retention There are no procedures in place to manage retention for electronic records. Stored unstructured records (e.g. word processing, spreadsheets, etc.), as well as structured records held in database driven applications, do not have record retention management capabilities built in that follow the NYS Archives' MU-1 Records Retention Schedule. In addition, copies of 'official' records may still exist in electronic versions (backup tapes, copies, etc.) that were scheduled for destruction previously. Although a daily backup process is in place for protecting stored served-based data, accidental deletion of critical files can occur in the present environment. Unless someone notices a file was accidentally deleted at the time of the occurrence, a backup tape could be overwritten as it passes through its normally scheduled rotation, thereby making the file irretrievable. The current process does not offer a solid audit trail within a system for tracking the activities surrounding the management of electronic records. No tools or process in place to regularly manage non-records Although the focus of this project is on improving the management of 'records', it is important to also have a process in place to manage non-records. As an example, users typically create a document, print it out and use the hard copy as a primary document in the normal course of operations. The electronic version of that same document just sits on the server untouched for many years to come since it would require an 'extra' step to go back and delete the electronic version. Sometimes this is done with the belief that the electronic version could be used as a template for a future need, but all too often the electronic version is never touched again. The Town needs a procedure and system in place to regularly purge these unnecessary documents and force users to think more about what they create electronically and how they need to categorize and store files. No tools in place to ensure document integrity and control As indicated previously, there is a strong possibility for older or outdated documents to be found and shared by users without knowing a newer version exists. This not only could be creating a loss of • productivity, but also exposes the Town to the risk of decisions being made based on incorrect information. The Town of Dryden Business Process Analysis Report Page 25 Other needs to consider • Importance for a solid business continuity plan Although not directly inside the scope of this project and thus not fully examined, it is important to not only protect the electronic records through a comprehensive backup and off-site storage process, the Town must ensure that operations that depend on this data can readily resume immediately after a disaster occurs. In other words, the backup data is of little good if the systems to read that data are not available, and thus become unavailable to the departments and end users. Too often, the recovery procedures needed for systems are in the 'heads' of the individuals responsible for Information Technology. In other words, if a disaster occurs, staff would react based on their previous experience. But undocumented procedures, forgotten configurations, and personnel changes lead to missing pieces of vital information needed to recover, further delaying the recovery process. As the Town continues to moves more towards a digital environment, the need to ensure the stability of electronic information and to be able to continue with critical day-to-day operations requiring electronic files is essential. The Town should address the short-term and long-term needs to secure the day-to-day operating environment and look beyond just the backup process, which only addresses the data and not the systems (both hardware, software and communication devices linking and accessing the systems). The Town has to have a plan in place to answer the question of "What do we do if the primary server room is lost?" Need to address the proper use of digital copiers Without proper direction, additional and unnecessary copies are being made with the multifunction digital copier/scanners used by the Town. Similar to creating unnecessary photocopies, these devices are creating additional digital copies, each requiring additional storage space on local and network drives. Often, there are additional hardcopy and multiple digital copies stored each time a user utilizes these devices. For example, when a person scans a document on a digital copier, a copy can be placed in the email inbox. Users can leave the copy in their inbox and copy the scanned file either to a local drive or network drive (plus, some make additional copies if they copy the scanned file to a USB drive). So one document can exist in multiple digital repositories and still exist in hard copy format. Since the digital renditions are not as 'visible' as paper copies, the additional storage space they take up goes relatively unnoticed. Use of the standard PDF file format Certain staff members have made efforts to scan hard copy records in order to make them available electronically. These scanned records have been digitalized and stored on the Town's server as Adobe Acrobat (PDF) files. While this format is convenient for users to access, it does not follow the New York State Archives' recommendations as well as international standards for long term electronic • record preservation. Scanning documents that were intended to be retained for greater than 6 years The Town of Dryden Business Process Analysis Report Page 26 • should be scanned into TIFF Group IV formatted files or into PDF/A formatted files. PDF/A is the archival version of PDF, an open standard that is also an International Standards Organization designated file format. The Town must have the proper procedures in place to inform all staff on what actions should be followed when a disaster occurs. This is to include the development of an easy to understand but detailed Business Continuity Plan. Annual testing of this plan must be incorporated as a part of the business continuity plan development process. A plan without the proper testing procedure in place would create a false sense of security that could be devastating if a disaster did occur and the plan had unknown deficiencies. The following two sections outline an overall strategy for the Town to follow as well as specific recommendations addressing the items mentioned previously within this report. • • The Town of Dryden Business Process Analysis Report Page 27 • Strategic Approach Needed As stated earlier, the Town should be commended for its strategic approach to addressing the issues facing departments and the Town as seen with undertaking this business process analysis project. It is critical for the Town to continue this approach as it moves forward. Developing and following a strategic plan to upgrade its technology infrastructure and improve the management of electronic files in a manner integrated with an overall strategic plan for the Town. When developing such a plan, and the timing of specific component implementations, the available resources (staff, equipment, tools, capital, etc.) become a cornerstone in the development process. Dryden must avoid the pitfalls that other municipalities eventually realize when decisions are made based solely on individual departments or functions within a department. Too often, a software application is selected to address a specific need without regards to a common IT infrastructure (operating system, database used, etc.) or how it may need to interact with other departments or share selected data. The common pitfalls include: 1. Addressing a specific departmental need by selecting a solution lacking integration or data sharing capabilities with other applications used by the Town 2. Selecting a solution with lower upfront costs, but lacking needed functionality creating additional steps and manual labor for staff • 3. Not developing a requirements definition document outlining the functionality needed before issuing a Request For Proposal or selecting a solution based on just a demonstration The Town of Dryden must ensure that any decision follows an overall town wide strategic plan. Without knowing what available resources the Town may have at its disposal, especially in these tight economic times, our firm can only provide rough guidelines on the implementation of the recommendations that follow. Included later within this report is a high level implementation plan designed for the Town to follow. Key consideration: integration vs. data sharing While it may appear that a municipality-wide software solution from a single vendor addressing multiple town departments may be the best solution for Dryden, this is not always the case. Based on our experience working with hundreds of municipalities across the northeast, it is rare to find a local government that is satisfied with a single vendor's solution in all departments. These single vendor solutions are rarely the best of breed solutions in all functional areas nor do they address all departments (e.g. Recreation is typically not addressed by many of these single source vendors). Typically a vendor developed an application to address one area of a local government and then expanded into other functional areas. The result often is that the application is more feature-rich in the area initially targeted than the other modules that were added later on. or the modules are in essence standalone modules with the promise of being integrated at some point in the future. • The Town of Dryden Business Process Analysis Report Page 28 For example, one vendor offering multi-department applications offers separate modules for Code Enforcement, Fire, Clerk, and finance. Based on work recently performed by our firm in another town, the Clerk's module and the Building Department's module use completely separate databases with no current ability to share data between applications. As a result fees collected by the Clerk for permits issued by the Building department are recorded separately, still requiring the Building Department staff to log into their module to indicate the permit was paid even after the Clerk posted the payment. It should be noted that the vendor has indicated they are planning on integrating the backend databases at some future point. An alternative is to select an application that allows the easy electronic transfer of data collected by one application into the other application. For example, registration fees collected by Recreation can be sent daily to the Bookkeeper via a CSV formatted file or other method, thereby reducing a need to produce another Excel spreadsheet that is maintained separately from either the recreation application or the Towns' financial software. This will allow the Recreation Department to continue to track and record all their information within an application suited for their specific needs, while outputting the selected data needed by the Bookkeeper to import into the Town's financial application. Note that the current Williamson software may not allow this to be performed easily and thus is an additional reason to consider replacing this application with a more modern application as discussed later in this report. Potential applications to consider Based on the earlier information contained within this report, it becomes obvious that new application • software is needed within the Town of Dryden. The following is meant to offer the reader of this report a partial listing of the vendors that offer applications addressing multiple departments as well as those that focus on single department solutions. This listing is not to be considered complete or provide any recommendation of a particular software solution, but more as a starting point for the Town to consider when selecting an application. Some of the vendors include: Municipality-wide solutions (typically include finance, code enforcement Planning, Clerk) • Harris Spectrum Solutions • Tyler technologies (MUNIS) • Business Automation Systems (BAS) • Mitchell Humphrey • Business Management Systems Inc. (BMSI) • Williamson Law Book Department specific solutions Planning/Code Enforcement Vendors offering software application for this functional area include: • SCA (Municity) -Also marketed by General Code • CRW (Track-It) • Cityworks • • Permitsoft • Comcate • IWorg The Town of Dryden Business Process Analysis Report Page 29 • Blue Prince • Accela • Municipal Software (CityView) Recreation Vendors offering software application for this functional area include: • RecSoft • RecWare • Maximum Solutions • RecPro • Vermont Systems (Rectrac) • RecDesk • MyRecDept Clerk Vendors offering software application for this functional area include: • BAS • Williamson Law Book • Edmunds • Harris (Municipal Software) • Software Interphase (Town Clerk Software) Finance • Harris Spectrum Solutions • Tyler technologies(MUNIS) • BAS • Mitchell Humphrey • BMSI • Williamson Law Book With the knowledge that it may not be feasible forthe Town to upgrade or implement new software in all the areas of need mentioned previously, our recommendations and the suggested implementation plan discussed later in this report spreads the projects and workload over multiple years. Without knowing the current or future budget projects for the Town, our recommendations and their timing are intended to provide a starting point for further discussion and refinement. The Town should also strongly consider leasing options in order to strategically bundle various software and hardware needs and spread the costs over several years. Our firm can provide suggestions on firms that specialize in this area if need. Given the above, the following section provides our recommendations and estimate cost ranges for each of the initially targeted areas. . The Town of Dryden Business Process Analysis Report Page 30 Recommendations Similar to many other organizations, the Town of Dryden has limited resources that it must carefully allocate in all areas, particularly regarding information technology. With the tighter economic times faced at present by many organizations, properly allocating these scarce resources becomes even more of a challenge. Even though many of the items outlined in the previous section may be known to a degree by the Town, there may not be the appropriate staffing, internal skill levels and available time to address previously known issues. Based on interviews and observations during this project, as well as Access Systems' experience working in similar environments, the following are our recommendations for the Town of Dryden. The intent is to address the items discussed in the previous section regarding opportunities for more efficient workflow and improved information access and organization, as well as to further assist the Town in its efforts in building a solid overall records management infrastructure. Areas of need and a measured implementation approach In order to manage current workloads as well as prepare for future needs, the Town of Dryden needs to address the replacement of some aging software applications now in use as well as address specific needs where no software currently exists. Based on individual interviews as well as our experience working with hundreds of other municipalities, the following are our recommendations for the Town of Dryden: Planning Department it quickly becomes obvious that a new software application is needed for the Planning Department to address current and future needs of this area, especially given that the department is using a software application that: • Does not address the current functional needs of the department (e.g. site plan and subdivision review, managing fire code inspections, scheduling of inspections, properly managing digital images, proper GIS integration, among other needs) • Does not offer additional functionality that will benefit the department or the community (e.g. remote/field access to a central parcel database, etc.) • Has not been enhanced by the vendor in several years and is no longer being sold by the vendor • Cannot easily import or even link to other related documents (e.g. Word, Excel, PDF, etc.) that would provide additional supplemental information on a parcel or transaction. • Is creating daily situations of duplicate data entry into separate Excel and Word documents in order to address gaps in functionality in the current software. These additional documents are consuming more storage space and creating additional copies - • leading to more staff time needed to handle and manage these other documents. The Town of Dryden Business Process Analysis Report Page 31 The costs of department specific applications vary greatly, depending on the vendor. Some • vendors determine their costs by the modules purchased (e.g. Codes, Fire and Planning), by population of the Town, by the number of end user licenses, or by the number of parcels to be managed. In order to provide some rough budgetary numbers for the Town relating to the needs of Planning, the following assumptions were made in determining an estimate for a new Planning & Code Enforcement application: • Approximately 6,000 parcels • Population of 14,000 • Remote/field access needed • 7-8 users • Modules/functionality to address: Planning, site review, subdivisions, code enforcement, permit issuance, zoning, fire inspections, inspection scheduling, among other functionality needed. • Integration with the Town's GIS application • Open platform to allow use of laptops or tablets in the field (although no specific field units were specified, most of the leading applications offered today can support Microsoft Windows and Linux based laptops and tablets as well as many smart phones). Estimated costs based on the above minimum requirements range from $40k to $130,000+, although the Town should expect to be in the $50,000 to $60,000 for a suitable application for the Planning Department. This estimate excludes any remote communication hardware and . software needed for remote access from the field or laptops/smart phones that may be used in the field to access the application. It is assumed that any communication hardware or software needed would serve a dual purpose of providing access to not only a new Planning application, but also provide remote access to other Town network-based resources for any municipal staff member as needed (e.g. email, file storage, etc.). While our firm does not market any hardware or software products, nor are we will aligned with any product vendors, the Town should consider as one of the available options the Municity software from SCA and also marketed by General Code. We offer this statement due to two reasons: 1) a general match to the functionality needed by the Planning Department, and 2) knowing this application is one of the vendors being considered by Tompkins County's Environmental Health to address their needs. The Town should discuss with the County's IT and Environmental Health department if there are any potential synergies and costs savings advantages by selecting the same vendor as the County (or potentially leveraging the County's implementation, if feasible). The Town should also consider the addition of an application such as SDG's ImageMate Online (IMO) which would provide not only integration with the selected code enforcement application data, but also act as a portal with links directly to the latest aerial Pictometry imagery, selected county data, and provide future options for integrated links to the Town Clerk and Town's financial system. IMO can provide greater links to the Tompkins County Assessor's information that will reduce or eliminate • the need for the County to travel to the Town's municipal building and interrupt department staff to get the latest permit information as is now occurring The Town of Dryden Business Process Analysis Report Page 32 Recreation Recreation has no primary application software to manage their operation and thus is relying on numerous Excel spreadsheets to track information within their department. The use of these disjointed tracking tools is leading to duplicate data entry, a lack of an integrated history or trending information, and requiring the search through multiple repositories to gather complete information needed to properly manage the department. Given the potential expanded services Recreation can offer once the new park is developed, the demand on the current staff will be greater - leading to increases in labor to accomplish the work required. Now is the time to address a new application tool for the department - to meet current needs as well as prepare for future needs. In order to provide an estimate for budgeting purposes, the following assumptions were made in determining a rough cost for the software needed for Recreation: • Minimum of 2 concurrent users • Online registration • Program tracking • Credit card processing • Field and staff scheduling Both hosted (also known as Software as a Service, or SaaS) and server-based offerings are available from many vendors. Typically the SaaS-based services are a less expensive alternative initially and require less internal IT support and no additional hardware purchases. Estimated costs range from $9,000 to $35,000 from vendors for a server-based solution, with a mostly likely range being in the $14,000- $20,000. A lower cost could be achieved if only selected functional modules are initially implemented, although all the modules should be selected to address the needs of the department. Some application vendors offered payment plans that can spread the cost to implement over multiple years. Estimated costs for a SaaS solution would be in the $6,000 range for the first year (includes installation and training), then would lower to approximately $2,000 per year. Given the Town does not have a fulltime internal IT support person, our firm would highly recommend that the Town consider a SaaS for 3 reasons: speed of implementation, lower cost, less maintenance support required. Information backup, recovery, and business continuity I While outside the scope of this project, the Town is well aware of the importance of having a properly designed and implemented disaster backup, recovery and business continuity plan. With the greater reliance on electronic files, it is critical the Town review the process to ensure the proper backup and protection of essential electronic files is in place. The Town of Dryden Business Process Analysis Report Page 33 As the Town continues to moves more towards a digital environment, the need to ensure the I stability of electronic information and to be able to continue with critical day-to-day operations requiring electronic files is essential. The Town should address the short-term and long-term needs to secure the day-to-day operating environment and look beyond just the backup process, which only addresses the data and not the systems (both hardware, software and communication devices linking and accessing the systems). The Town has to have a plan in place to answer the question of "What do we do if the primary server room is lost?" The Town must have the proper procedures in place to inform all staff on what actions should be followed when a disaster occurs. Funding for performing a disaster preparedness assessment and developing a Business Continuity Plan for the Town can either be included in future budgets or as part of a grant application through the NYS Archives. Developing disaster response plans was a priority item among the grant application areas suggested by the Archives and are often favorably received by the grant reviews. Given the recent flooding in the southern tier, it can be expected that disaster related grant applications will continue to be encouraged. An annual testing of this plan must be incorporated as a part of the business continuity plan development process. A plan without the proper testing procedure in place would create a false sense of security that could be devastating if a disaster did occur that revealed deficiencies in the plan. File directory clean up and reorganization The Town needs to address the existing files stored on the network to reduce and eliminate unnecessary files (e.g. copies, items held beyond retention requirements, etc.) as well as have a plan to move forward in the storing and organizing of these files. Better organization of these files can also help facilitate the eventual transfer into an ECMS if desired. Included within the appendix of this report is a draft plan for an initial restructuring of the Town's server-based directories intended to start the discussion among staff leading towards a more efficient organization. Included later within this section is a discussion regarding the future implementation of an Electronic Content Management Systems (ECMS). Even though an ECMS will improve the organization of the unstructured files, there will still be a significant volume of other files that will not be stored on the ECMS. Finance The current financial application (Williamson Law Book) does not provide departments with readily accessible real-time data particularly concerning current budget balances, among other shortcomings. Departments receive a periodic budget abstract, but this requires departments to track their expenses and purchases using separate Excel spreadsheets. The Town of Dryden Business Process Analysis Report Page 34 • More flexibility is needed for departments to view their own budget information in real time, as well as assist in drafting preliminary budget data. When developing the requirements for this application, the Town should consider online time and attendance management with the ability for remote access. Integrated online time and attendance functionality will eliminate duplicate data entry for current bookkeeping staff as well as streamline operations, reduce file storage, provide more flexibility for staff working outside the municipal building, among other needs. Clerk Although the Town Clerk's office operates a relatively efficient operation, the software used by the department should be replaced for reasons similar to the limitations seen with the finance application. The software is used for licensing, permits, tax collection among other activities. Since the Clerk is actively involved in fee collection, any software selected by the Clerk must be fully integrated into the Town's financial application and should be considered as a candidate for replacement during the same timeframe. Electronic Content Management System (ECMS) In order to manage the paper records as well as the unstructured electronic files (e.g. word processing, spreadsheets, PDF, email, etc.), the Town should implement an ECMS solution. An • ECMS is a powerful tool for managing electronic records and can be the centralized repository for many of the Town's electronic records instead of the shared network data directories. An ECMS that incorporates solid records management design and functionality is paramount in the selection process. While it is our belief that a centralized managed repository for the Town's records is needed, there is concern as to the ability to provide the needed support for the application given the current workloads of staff. As an alternative, the Town is encouraged to hold discussions with Tompkins County on the potential to leverage the County's ECMS. This system has been successfully implemented in several departments and the County may be in a position in the relatively near future to provide access to their ECMS infrastructure. While any specific cost estimates for such a shared service being offered through the County are not available at this time, it is still expected to be significantly lower than the Town acquiring their own ECMS solution. For the Town to implement an ECMS solution itself for all departments, the estimate costs can be expected to be in the $45,000 to $80,000 with annual maintenance costs in the $5,000 to $12,000 range. Considering these costs and the staff time needed to properly implement an ECMS - let alone the costs needed to address the other software application areas discussed in this report - leveraging the County's ECMS appears to be the only viable short term solution. Even if the Town decides to leverage the County's ECMS, this does not prohibit future • implementation of Dryden's own ECMS. Images and indexes from the County system can be easily transferred to any new ECMS the Town may implement, if desired. The Town of Dryden Business Process Analysis Report Page 35 An ECMS would provide the Town with the following benefits: is • Streamlined workflows (e.g. eliminate unnecessary steps) • Reduced storage consumption/copies (both electronic and physical storage space) • Controlled access to records • Improved finding aids to locate records and information • Address records retention, records disposal, and compliance needs Other Recommendations Back file conversion - - - The Planning Department appears to have followed good general practices for the digitizing of selected files within their department. This includes the scanning of documents into a file format approved by the New York State Archives (TIFF format) and using a process flow that includes a separate step for quality control. This quality control process is a key step often overlooked by those scanning documents and if not done, can lead to unreadable images long after the hardcopy has been destroyed. To complete the work already started, the department must continue to scan the remaining files located in the file cabinet within their office. Although staff members have been trying to • complete this work, it can only be accomplished when time is available in between other duties. The Town should focus on this effort by using part time staff or outsourcing the scanning to an external vendor. If an outside vendor is used, the Town should consider leveraging the County's contract with Challenge Industries in Ithaca for a more favorable price estimate. Other backfile scanning opportunities to address include contracts, resolutions, minutes, inactive personnel files, and miscellaneous project and department files among others that are being retained by the Town. Although some of these files have already by scanned into a digital format, a review of the files for quality control purposes, ensuring they are stored in the proper file format, and for completeness should be performed. Any additional files that may not have been scanned should be addressed. Document scanning process As the Town moves forward with any additional scanning or ECMS project, it needs to be sure that the document scanning process results in electronic versions of the hard copy records that comply with the guidelines set forth by the New York State Archives, as well as industry accepted best practices. In general, for records with long term (more than 10 years) or permanent retention, scanning must result in a TIFF Group IV file or a PDF/A file. As discussed elsewhere in this report, PDF/A is the open standards version of the PDF file format and was developed for the long term retention and preservation of electronic files. The Town should work with their NYS • Archives' Regional Advisory Officer (RAO) for additional guidance as the Town moves forward with its scanning efforts. The Town of Dryden Business Process Analysis Report Page 36 • Time and attendance recording Although implementing an integrated time and attendance application is the preferred solution, it may not be possible until the appropriate resources are available. In the mean time, the Town should provide two separate timesheets for the town staff: full time employees and part time employees. This is recommended primarily due to the confusion for part time staff. With the normal turnover seen with part time staff, especially within Recreation, less explaining will be needed by current staff as to what should be completed and what should be skipped. Given that many part timers are new to thejob market, they are unfamiliar with many common terms used on these forms. A simpler form that eliminates unnecessary information for part time staff should be used. Record CoordinatorsILiaisons Even though the Town Clerk is assigned as the Records Management Officer (RMO), each functional group should have a designated Records Coordinator/Liaison who works with the RMO to ensure the established policies and procedures are followed in their respective areas. Depending on the area, the Records Coordinator/Liaison often is an administrative manager or person most familiar with the processes and records used in their area. Although within the draft Records Management manual there is discussion on a Records Liaison role within the town, the manual has not been updated nor has it formally been adopted by the Town. Since it is difficult for the RMO to be completely familiar with the day-to-day work being performed in all departments (especially since the RMO already has full time responsibilities outside of records management), the Town needs to spread these responsibilities out into the departments. The Coordinators/Liaisons act as extensions of the RMO to oversee the day-to-day records management duties within their functional areas. While the duties of the Records Coordinator/Liaison may already exist in an informal capacity already, it is important to document and formalize this role and its responsibilities to underscore its importance in developing a strong records management program. The following section of this report outlines a suggested implementation plan the Town can follow to implement the recommendations offered earlier. • The Town of Dryden Business Process Analysis Report Page 37 Preliminary Implementation Plan • In order to receive the full benefit of the recommendations offered within the report and avoid a costly implementation process that may not be fully utilized or even resisted in certain areas, the Town must have a clearly defined implementation plan that is communicated to all affected parties. The following is offered as a high level suggested implementation plan based on the recommendations discussed within this report. Fait 2011 • Business Process Analysis Assessment - COMPLETED o Perform a Business Process Analysis targeting the primary processes involving the departments covered by this project. • Review findings and targeted areas o Prioritize needs and action items based on the findings of this report. Access Systems is available for further discussion regarding this project and helping the Town formalize its plans. • Hold senior Town management meetings to discuss specific strategic decisions, including, but not limited to: o Review timetable for implementing recommendations included as a part of this project o Review current and future budgets for funding new departmental applications o Discuss potential shared services leveraging the County's ECMS o Reorganizing existing network directory structure o Formalizing Records Coordinator/Liaison roles for each department within the Town • Based on budget discussions, determine which department(s) to focus on initially o If possible, both Planning and Recreation should be addressed based on their needs • Hold discussions with the County IT and Environmental Health to learn more about their plans for implementing a software solution and any potential to leverage the software and/or more favorable pricing for the Town • Hold discussion with other local governments within Tompkins County on the software they use within Planning and Building/Codes Enforcement • Develop a requirements definition document for the Planning Department addressing specific functionality needed in new software application o Use information collected as part of previous quotation solicitation as well as information contained within this report and the staff's knowledge of their needs o Based on requirements developed, issue an RFP for needed software • Develop a requirements definition document for the Recreation Department addressing specific • functionality needed in new software application The Town of Dryden Business Process Analysis Report Page 38 o Use information already collected as well as the Director's knowledge of current and future needs of the department o Based on the developed requirements, issue an RFP for needed software • Review and evaluate vendor proposals received as a result of the RFP for Recreation and Planning o Schedule demonstrations of vendors offering the needed solutions at the Town offices to further reduce the potential solution choices o Check vendor references and potentially perform site visits o Based on functional needs, ability to integrate with current infrastructure and future budget estimates, select appropriate solutions. o Consider multi-year payment plans and leasing to assist in the acquisition of the new solutions • Procure the select solution(s) to proceed based on previous actions and outcomes • Hold initial meeting with Records Coordinators/Liaisons and Records Management Officer o Discuss draft policies and procedures, refine as needed o Discuss meeting schedule (quarterly?) and topics to be discussed • Update Records Management polity manual and email policy document o Have Town Board formally adopt the manual once updated • Continue with and complete review of existing Planning Department files not already scanned and reviewed on server o Ensure all scanned files are complete and have an acceptable image quality • Consider project for shared data directory re-organization o Review draft directory hierarchy included within this report and refine as needed o Consider a progressive rollout based on individual functional areas and continue to refine as needed • Review system backup and recovery procedures including the process to develop a Business Continuity Plan for the Town (see below) • Consider applying for a 2012-2013 NYS Archives' grant to conduct a Disaster Preparedness Assessment and the development of a Business Continuity Plan o The Town will need to apply for a NYS Archives' grant by February 1, 2012. • Discuss future ECMS direction and support requirements with the County o Hold discussions with Tompkins County on potential use of the County's ECMS. o Consider mid to late 2012 potential implementation depending on talks with the County 2012 work Plan • Review stated objectives for 2011 and evaluate compared to current status of projects. o Create a detailed project plan and stated objectives for the coming year depending on • progress made to date. The Town of Dryden Business Process Analysis Report Page 39 • Apply for grant funding a disaster preparedness assessment business continuity plan project or S other potential project • Depending on activities to date, continue with a project focused on implementing new application software tools in Planning and Recreation o Continue to hold discussions with Tompkins County and other local governments within the county • Hold end-user training for new applications (if not already done) o Focus on train-the-trainer approach to learning the installed application(s) • Review and solicit department feedback regarding training and system use • Continue to hold discussions with the County on potential ECMS use and other shared services • Consider future potential top offer shared services to other local governments if able o Consider Recreation services management, Code Enforcement or Planning services if new software has been implemented and perceived staffing resources are available • Refine and release reviewed policies and procedures if not already done • Complete Disaster Preparedness Assessment and the development of a Business Continuity Plan if not already done. Perform annual test of Business Continuity Plan; Refine Plan as needed • Hold regular meetings with Records Coordinators/Liaisons and Records Management Officer • Discuss potential to replace current financial system and Clerk software in 2013 o Budget for new software as needed • Near mid to end of year, continue to discuss potential leveraging of County's ECMS o Consider end of the year or 2013 pilot program for focusing on contracts, resolutions and minutes o Develop file plan/index design for ECMS prior to implementation o Perform final review of the file plan and index structure for records and update if necessary to insure compatibility with NYS approved records retention schedule o The Town must devote the time and effort to continuously refine an index structure that matches the needs of the users for retrieving targeted records. Further discussions will continue involving the vendor or outside consultant as needed. o Implement and test any design on system 2013 work plan • Review stated objectives for 2012 and evaluate compared to current status of projects. o Create a detailed project plan and stated objectives for the coming year depending on progress made to date. • Select and implement new financial software and Clerk software, if not already done The Town of Dryden Business Process Analysis Report Page 40 . . Test Business Continuity Plan and refine as needed • If not already done, replace both the financial software and the Clerks software • Refine shared directory structure on the network as needed • Refine and update records management policies and procedure manual as needed • Hold regular meetings with Records Coordinators/Liaisons and Records Management Officer Depending on activities to date, consider expanding backfile conversion into an ECMS to include remaining contracts, resolutions, minutes and Town project files among other. The Town of Dryden Business Process Analysis Report Page 41 Appendix • i Understanding Current Processes ............................................................................43 Directory Reorganization .........................................................................................58 File Distribution .......................................................................................................62 i Best Uses for an ECMS .............................................................................................64 I The Town of Dryden Business Process Analysis Report Page 42 Understanding Current Processes and Departtnent Notes In order to provide greater insight into some of the information gathered during this project, this section is intended to give the reader a general overview of the current steps followed by the two of the departments involved as a part of this project: Planning and Recreation. The focus is on these two departments for the following reasons: 1) The perceived greater needs of these two department 2) The diversity of the work performed within each area 3) Activities included the interaction with the Clerk and Bookkeeper roles (budget, voucher processing, fee collection, etc.) 4) Both the Bookkeeper and the Clerk have more defined and repetitive tasks that are somewhat dictated by the software used and their roles As is typical in many organizations, individuals have their own variations in the manner they perform similar processes. For example, one department may track a received document in a spreadsheet while another individual in a different area may track that same type of document in a database or Word document. The following is intended to provide a basic understanding of the specific steps performed among the primary processes with the understanding that there may still be slight variations by some individuals involved. Recreation Department Staff • Two full time staff within department (Director and Recreation Coordinator); plus part time and seasonal staff o Recreation Director hours are typically from 10:30 to 6:00 o Recreation Coordinator (Andrew Pierce) works from 11:00 am - 7:00pm • The department has no administrative staff other than the Director and the Coordinator Program Information • Program participants are 4 years old to 14 c Participants have to re-enroll for each program they wish to participate in • Over 40 programs and events are held annually o Youth and adult sports o Swim lessons o Red Cross certifications o Two summer music series o Summer teen programs o Other: fireworks, egg hunts, Daddy-Daughter Dance, etc. The Town of Dryden Business Process Analysis Report Page 43 Software used: • • The department has no Recreation-specific software program; uses multiple Excel-based spreadsheets for: o Tracking registration o Individual rosters o Payments, refunds o Deposits o Scholarships o Purchases o Vendors o Program participation numbers and trends o Other uses o No central database of past participants • Typically will need to have 4-5 individual Excel spreadsheets per program offered o Has a separate program for scheduling fields and facility use (name?) o Has a separate program for scheduling tournaments (name?) • Robo Call o Used for last minute notifications and changes • Constant Contact o Used for marketing and program announcements o Sends 900+ emails out announcing new registration period with a hyperlink to the Registration form on the web site o Anywhere from 20 to 125 people will click on the link within the email to get the form • Roster tracking o Department creates 30-40 rosters per year o Creates 3-4 different 'rosters' per program (all within Excel) o General Roster (includes all of the information on file) o Coaches (subset of General Roster, includes medical information on participants) o Parent volunteers (subset of General Roster with no medical or other personal information) o Issues occur when a last minute participant is added to (or deleted) from a roster and then their name must be added to all the other Excel spreadsheets already created. Registration Process Followed • Department uses the same form for all program registrations o Multiple family participants and programs can be listed on the same form o Participants can get the form online; in school thru grades K-5, or by walking into the Recreation Department's office • Completed form is received o Mail (75% are received via mail) o Walk in (20% are received via walk-ins) o Coach may drop off form (although they are not suppose to) o Fax & Email (form only, with payment to follow) The Town of Dryden Business Process Analysis Report Page 44 i • Payment is typically included with form o 95%+ include payment with form o Paid in cash or a check o Credit cards not accepted for payment • Check k is written on registration form, if paid via check o If paid in cash, cash payment is noted on form • Andrew or part-time assistant enters registrant's name into General Roster Excel spreadsheet o This becomes the master roster listing and information source 0 other spreadsheets are created from the General Roster (e.g. Coaches roster, Parent volunteer roster, etc.) o After Registrant's name is entered into spreadsheet, checkbox on top of form is checked to indicate their name has been entered into the General Roster • Registrant's name and phone number is also added to a separate text-based electronic file for later uploading to Robo phone call system (Database Systems Pro) used by the Department o Robo call system is used to notify participants of last minute changes and other announcements o Saves Rosters to a text-based file o Reformats as needed to work with Robo call system • o Uploads text file (can also do via phone if needed) o Uploads 8 separate roster lists o This system is also used for Town Hall emergencies • Registrant's name and email address is also added to Constant Contact program for future marketing and announcements o Used for sending reminders on deadlines or up an coming registrations o Sends out email to over 900 individuals with hyperlink within email to Registration form o Anywhere from 20 to 125 individuals will click on link to get form (depends on the programs offered and the time of year) o Constant Contact is also used by Clerk • The participants payments that are received by the department are totaled o Typically this is done each day, but may be done less frequently depending on the volumes received and the staff workload and other activities that day o Director adds daily payments using a calculator which produces a tape of the entries o Compares total to the Reconciliation spreadsheet the Director created (which includes Revenue codes) o Department completes approximately 37+ deposits a year • Director print two copies of Reconciliation spreadsheet o Keeps one for own records o Forwards other copy along with daily calculator tape with daily deposits to Town Bookkeeper (Brian) • Receives receipt for money to be deposited from Bookkeeper The Town of Dryden Business Process Analysis Report Page 45 • Sends confirmation to every program registrant o 98% via email; remainder via mailed notice o Confirmations can be sent daily (during slower times of the year) or once a week during the higher activity program times • Registration forms are filed in a 3-ring binder o One for each program; stored on shelf in Coordinator's office Primary files stored by Department: • Program binders (held in Coordinator's office) o 2004 to present • Registration form (may include Or notes) o Included in older binders (e.g. those before current Director was in the position): • Vouchers • Equipment spreadsheets (who has what) Facilities/Parks • The Town pays the school district for use of their facilities (e.g. fields, gym, etc.) o Scheduling is a challenge since they have to work with the schools own programs and other organizations that may use the school's facilities • DPW manages the Parks • • Parks used by the Town o Montgomery Park (Village) but Town manages programs held at the Park o Dryden Lake Park (DEC owns, but DPW does maintenance) o Jim Schug Trail (located within Dryden Lake Park) o Groton Ave Park o Community Associations' parks • Etna Park (Town mows the lawn in exchange for use) Montgomery Park • Elis Hollow Park • Dryden Community Cafe • The Town hopes to deed 55 acres within 5 years so Town will have own facilities to conduct Recreation programs o The Department hopes to provide a reservation system for using its facilitates at some point in the future Vouchers and purchasing • Does not typically use the Requisition form o Used in the process to acquire the van • Uses Excel-based voucher and saves to server • The Town of Dryden Business Process Analysis Report Page 46 • Sometimes there are issues with the Town cutting checks only once a month for some of the service providers used by the department o Normally not an issue with equipment and product providers commonly used by the department Timesheet (Excel-based) • Part time and seasonal use same form o Can be an issue with staff only in field o Since seasonal staff at out in the fields, the timesheets can come back to the office damaged from water, crumbled up from storing in bag, etc.) o Time sheets are not suppose to leave building o Tao much unused information on form and jargon used requires too much training and explaining to seasonal staff • Staff will drop envelop for Sunday work week into the Court's drop box o May fax in Travel Mileage form • Excel-based form o Not enough room on form to fit destination information and travel reason into same area ofform o Department Coordinator stopped submitting the forms because of the cumbersome nature of completing and submitting the form; often pays for his own travel costs • New van has just arrived o Not sure how the process will work for maintenance, travel and scheduling until they are actively using the van Selecting coaches • Coaches fill out a volunteer application • Staff calls three references listed on their form • Run a criminal background check • Uses an online company called Protect Youth Sports, it costs about 8.00 per coach o Re-run the checks annually, prior to each season starting, for coaches who are returning o Require that all of our coaches receive Level One Coaching Certification through the SUNY Youth Sports Institute o Send them rosters of our coaches annually, and then they let Dept know who needs to be renewed (each certification lasts three years). The Town of Dryden Business Process Analysis Report Page 47 Equipment Inventories S • Excel-base spreadsheets used for each program to track equipment inventories o Football is biggest program that uses equipment o Can be a problem when exchanges or swaps are preformed (e.g. exchanging a small helmet for a medium helmet or swapping equipment with the school if extra equipment is needed, etc.) • Director would like to take deposits for equipment to ensure their return Misc. • Unexpected events can cause missed deadlines due to limited staffing o Staff may need to address current program needs and may miss a deadline (e.g. end of school Friday folders) • Everything is backed up on server o No issue with accessing Excel files on server • No issues with email • Keeping track of coaches certifications, First Aid, Red Cross is time consuming • Estimated that the Coordinator spends 10 hours a week doing data entry into Rosters o How are the above numbers affected by the new part time assistant hired to do data entry? (new Assistant works 4 hours a week) • Estimated that the Director spends 15%-20% of time manipulating data from Rosters and other spreadsheets o Creating additional spreadsheets, getting program participation numbers, updating Robo call and constant contact systems, etc. The Town of Dryden Business Process Analysis Report Page 48 Plannintl Department The Planning Department is responsible for the following primary functions within the Town of Dryden: • Planning, Code Enforcement, and GIS Mapping, and Fire Safety Types of permits issued within the department • Building permit • Operating permit • Special Use permit o Tower installation o wind or solar o Renewable energy o Small windmill permit • Subdivision o Minor o Major • Site Plan Review • Zoning permit • Zoning Variance o Use variance o Area variance o Interpretation of the Zoning Ordinance Volume • Approximately 200 building permits a year • Approximately 10 operating permits a year • Approximately 100+ Fire Safety inspections a year o Letters out to the owner o Certificates and forms back to the property owners • 75 to 100 Violations • Court cases about 3 a year (typically higher) • Perform approximately 1200 field inspections per year (for both inspectors) • 15 to 20 Storm water complaints Primary Processes occurring within Department • Permit process (includes building, operating, special use, zoning, etc.) • Fire Safety inspection • Zoning Board of Appeals • Planning Board processes (includes site plan review, subdivisions) • The Town of Dryden Business Process Analysis Report , Page 49 Building Permit process followed: • Note: Approximately 70%-80% of permits are started by a person walking into the office; the remaining permits are started via a mailed in application • Applicant fills out required forms at table within the office (Code Enforcement Officer or Administrative Coordinator helps out as needed ) o Typically proof of insurance & worker's compensation is required (worker's compensation is only valid during each specific project); however if the homeowner will be performing the work, a homeowner's insurance form is completed • After applicant completes paperwork, the Code Enforcement Officer takes paperwork to complete any missing information o Code Enforcement Officer files Certificate of Insurance in 3-ring binder on shelf above counter o Additional documents may be submitted subsequently if not all provided during initial meeting/submission • When application paperwork is complete, Applicant typically pays building permit fee with a check o If paid with cash, Code Enforcement Officer walks with Applicant to Clerk's Office to pay for permit; Clerk issues a receipt; Applicants leave • Code Enforcement Officer returns file to office and places in holding bin near Administrative Coordinator • The Permit file (the file folder is color coded by the year of the permit) typically includes: o Application o Survey/plan o Receipt card for check information o DEC Ground Disturbance form (new) o Dig Safely forms may be thrown away if no permit is issued; otherwise they are placed in permit file • Administrative Coordinator keys information into Microsoft Excel Permit Log spreadsheet • Administrative Coordinator keys basic permit information into Imate • Administrative Coordinator prints yellow placard from Imate o Once printed, Administrative Coordinator places placard back into printer in order to print additional information on the backside of the placard from Microsoft Word o Places unsigned placard within folder • Administrative Coordinator types up file folder label from within Microsoft Word (place label sheet in printer) • File folder is placed in Code Enforcement Officer mailbox to review for Applicant . o Code Enforcement Officer reviews file The Town of Dryden Business Process Analysis Report Page 50 • o If preliminary approval is given, creates inspection sheet o If rejected, nt Officer notifies Applicant with reasons 'ected~ Code Enforcement If permit is approved, Inspection sheet is mailed to applicant to follow by Code Enforcement Officer o Up to seven individual inspections can occur during the course of a particular project • Folder sent back to Administrative Coordinator; Administrative Coordinator forwards folder to Director of Planning Director of Planning reviews file and signs placard Director of Planning gives folder back to Administrative Coordinator • Administrative Coordinator photocopies placard and other documents that are sent to applicant • Administrative Coordinator forwards placard and other documents to Applicant • Permit folder is filed pending final inspection • Inspection(s) are performed throughout course of project o After each inspection is performed, the Inspection form is filled out/updated by Code Enforcement Officer and placed within permit folder • Final inspection is performed o If issues exist causing a failed inspection, Code Enforcement Officer explains issues needed to be addressed to applicant If final inspection is approved, Certificate of Occupancy or Certificate of Compliance (for deck, garages, etc.) is completed and printed from ]mate • Administrative Coordinator photocopies the Certificate of Occupancy or Certificate of Compliance (depending on type of project) o Original is mailed out to customer • Administrative Coordinator uses pink highlighter to highlight folder ('Pink-it") • Administrative Coordinators give file folder to part-time staffer (Ashley) Ashley scans folder contents • Ashley gives folder back to Administrative Coordinator after scanning • Administrative Coordinator checks scanned images for quality control purposes • Administrative Coordinator files folder in Clerk's vault The Town of Dryden Business Process Analysis Report Page 51 Fire Inspection Permit Process (same process followed for Town and Village Fire Inspections) • • Administrative Coordinators types postcard from Microsoft Word notifying the Applicant/Property owner of pending inspection o Administrative Coordinator mails out postcard to Applicant o Sends up to four postcards to schedule an inspection; if no reply is given, a surprise inspection is scheduled o If Code Enforcement Officer is not allowed to perform inspection, a violation notice is sent • Owner calls the office for inspection appointment • Administrative Coordinator schedules appointments in Microsoft Outlook • Administrative Coordinator pulls file folder for property; gives to Code Enforcement Officer • Code Enforcement Officer typically brings Fire Inspection forms with them; property owner completes form while on-site • Code Enforcement Officer completes inspection • Code Enforcement Officer gives file folder back to Administrative Coordinator after returning to office • Administrative Coordinator types Certificate of Compliance & occupancy capacity form (where needed) o Updates list on Excel Spreadsheet • Code Enforcement Officer signs forms • Administrative Coordinator laminates Occupancy Capacity Form (if needed) • Administrative Coordinator photocopies forms and places within file folder • Administrative Coordinator mails original forms to Applicant • Administrative Coordinator gives file folder to Ashley • Ashley scans new contents within file folder • Gives file folder back to Administrative Coordinator • Administrative Coordinator reviews scanned images • File folder is filed • Administrative Coordinator checks list monthly to see which inspections are due then the process begins again The Town of Dryden Business Process Analysis Report Page 52 Fire Inspection folder types: • Town Fire Inspection files o Commercial (red file folder) • 136 files o Public (manila file folder) 35 files o Multi-residents (yellow file folder) • 70 files • Village Fire Inspection files o Commercial (red file folder) • 46 files o Public (manila file folder) 22 files o Multi-residents (yellow file folder) • 45 files Special Permits • Special permits are typically required for: o Special Permits for Telecommunications • o Site Plan Review o Subdivisions • Primary issues typically involve Telecommunications and subdivisions permits due to details and multiple approvals needed Special Permit Process • Applicant walks into office • Applicant is handed the appropriate application packet o Code Enforcement Officer discusses project with the client • Applicant completes applications and submits required documents • Submitted paperwork is placed into file folder for review • Code Enforcement Officer reviews and may request additional information o As information is submitted, additional comments and other documentation may be requested depending on the individual situation • Code Enforcement Officer forwards packet to Director of Planning for review • Director of Planning reviews packet The Town of Dryden Business Process Analysis Report Page 53 o Director of Planning may discuss packet with Code Enforcement Officer and/or request • additional information If Director of Planning gives preliminary ok, Administrative Coordinator prints letter/emails board concerning project o Administrative Coordinator forwards packet to board o May scan and email, or photocopy and send packet depending on individual situation/volume o Mary picks up packet prior to Board meeting • Board reviews packet application • Board selects date of hearing o Board notifies Administrative Coordinator of hearing date • Administrative Coordinator sends letter to applicant or calls applicant (most of the time a phone call is made) to notify of hearing date • Administrative Coordinator creates Public Hearing notice and sends to the newspaper for publication • Administrative Coordinator sends postcard to property owners within 500' notifying them of the project • Administrative Coordinators sends applicant a copy of the packet sent to the Board • Hearing is held & determination is made o if approved, resolution is passed o Bambi writes up completes Board meeting minutes • Special Permit is issued • Administrative Coordinator prints placard from Imate • Approval letter is written in Microsoft Word with conditions (if needed) o Outstanding fee must be paid prior to issuing special use permit • Administrative Coordinator mails to Applicant: o Placard o Resolution copy o Correspondence with conditions (if needed) • Administrative Coordinator writes on file folder what occurred • Typically at this stage, the process will eventually lead to a building permit(s) • Administrative Coordinator gives file folder to Ashley . • Ashley scans new contents within file folder The Town of Dryden Business Process Analysis Report Page 54 • Gives file folder back to Administrative Coordinator • Administrative Coordinator reviews scanned images • File folder is filed in Clerk's vault Sub Division Process • Applicant places request to get on Planning Board Agenda • Sketch plan of proposed project is presented at Planning Board meeting o Planning Board meetings are held once a month (typically on the 3id Thursday) o Applicant could have a well developed plan or a'rough' plan at this stage in the process • A formal application filled out by the Applicant if preliminary ok is given by Board • Planning Board reviews application o The application may or may not be complete o Applicant may appear 3+ times before Board during the process o Typically the appearances are: Sketch Plan presentation • Review of revised/formal plan • Review of revisions and/or Final presentation (depending on Board review comments) • If preliminary Board ok to proceed is given; a Public Hearing is scheduled by the Planning Board • Administrative Coordinator types up Planning Board Hearing notice and submits to newspaper • Administrative Coordinator types postcard to send to the Applicant • Administrative Coordinator submits application to the County Clerk o Receipt of submittal given to Town • Depending on the project, other county and state agencies may be involved o County Environmental Health may be involved if 5 to more houses are included o Could also include: DEC, DOT, Army Corp of Engineers, County Planning & Assessment o Receipt of any submittals from the above agencies are given to Town o Administrative Coordinator uploads documents to Town web site • Hearing is held o Determination is made; Resolution is issued • Minutes are typed up • Administrative Coordinator sends copy of resolution and any correspondence to Applicant . • File folder is scanned and reviewed for image quality o File folder is placed in Clerk's vault after scanning The Town of Dryden Business Process Analysis Report Page 55 • Typically the process will lead to other permits (e.g. a subdivision leads to a Zoning permit, if • same use is intended) Zoning Board of Appeals (ZBA) • Similar to Special Use Permit process • Administrative Coordinator handles ZBA permits, night meetings, minutes, making folders, documents, sending to 500' and the county. • Planning Director and Administrative Coordinator work together on reviewing and collecting all needed info. • Planning Director and Administrative Coordinator go to night meeting. o Director is at meeting to answer questions as needed. • Administrative Coordinator is recording secretary and later types minutes and process • Administrative Coordinator creates all documents needed to mail to applicant and the Zoning Board. Planning Misc Notes: • • Currently Imate Codes software is used for the permitting process • Previously did an RFP for new software for Building Department o Town received 5-6 proposals as a result of the RFP • Including ones from CRW, Energy Gov, Blue Prince, BAS, General Code/Municity, Business Management Systems, Opus 2, etc. • Permits are scanned into Tiff formatted files and stored within Imate • County does property assessment for the Town o County Assessor comes to Town offices to review information; they do not have remote access to IMate • Most of the forms used within the department were designed by the Town o They do have flexibility in modifying/changing forms if needed o Some of the forms, such as SECR form, they cannot control/change • Flood plain process is s separate process o Performed mainly within the Village o Occurs 4-5 times year at most o Must ensure mechanicals are above flood plain o Uses the FEMA form , which includes elevation line • Dave works more with Zoning variances o The process followed is not too much different from other processes The Town of Dryden Business Process Analysis Report Page 56 I • Primary issues and concerns as seen by Staff within Building/Planning: Issues concerning Imate software now in use: o Cannot sync data entered from field with main database since it overwrites the previous data o No modules for Fire Safety Inspections o Would like the software to incorporate the Town codes within the software to generate appearance ticket o Allow the incorporation of Planning related work o Allow the incorporation of the work performed for the Village, but in a separate module isolated from the Town work o Cannot important existing electronic files and data into Imate • PDF files, photos o What happens with historical data in Imate when there is a tax map change? o Lack of remote access • ICC Certifications require staff to be away from office for multiple days • 1-2 weeks away from office for Code Development Another week+time going to conference • Quarterly meetings • Often a Code Enforcement Officer is driving by a location and they see a potential issue with a property, but they do not have access to information on the property. So this requires another trip back to property after looking up information in Imate back in the office. • Misc. information on IMate o Tabs used within Image Mate software • Building Plan, Photo, Survey, Deed, Special Plan, Site Plan, Tax Map, GIS, Zoning, Building Inspections (Leads to Codes Module), Sketches, Misc, Notes. o $7,000 to $8,000 for initial implementation o Uses Panasonic Tough books laptop • Lateral file drawers main office area (near table) are used for: o Planning files (2) o Building files still to scan and review (2) • Other issues and concerns mentioned by staff o Avoid stumbling in a process o Need checklist o Avoid clock timetable issues • The Town of Dryden Business Process Analysis Report Page 57 Directory Reorganization • As discussed earlier, our firm decided to provide an additional service to the Town of Dryden that was outside the original scope of work for this project - an electronic file inventory analysis - at no additional costs. This was done to not only provide the Town with greater insight into how electronic files are used within the Town, but also to further assist our firm in providing a solid foundation for our recommendations. The intent with this section is to provide a starting point for discussions among Town staff members to further refine the information and structure outlined below. Basic directory reorganization principles The directory organizational approach our firm offers the Town of Dryden is based on five primary principles when designing an initial electronic file storage hierarchy. The five principles are: 1. Files that are unique to a functional area should be organized by department 2. Files that are relevant across departments should be organized by record type 3. Minimal 1" level branches 4. Static files (e.g. forms, templates, reference materials, training, educational) are organized • under 'Common Documents' by record type S. Regularly updated administrative files are organized separately into General and Confidential directories The following further describes the design approach offered by our firm. Within the highest level directory available to the Town of Dryden (the root directory), there would be eighteen primary subdirectories (less if some of the directories below are placed under another the 'primary' department as indicated below): • Clerk • Code Enforcement (can be listed under Planning) • Energy (can be listed under Planning) • Finance • Fire Safety (can be Listed under Planning) • GIS (can be listed under Planning) • Highway • IT • Recreation • Planning • Sewer (can be listed under Clerk) • Supervisor • • Tax (can be listed under Clerk) • Water (Can be listed under Clerk) • Common Documents The Town of Dryden Business Process Analysis Report Page 58 • • Admin-general • Admin-confidential • Archive-inactive Each departmental directory (e.g. Clerk, Finance, Recreation, Planning, Supervisor, and any others to be added) will have a standard set of subdirectories. Selected subdirectories could include a folder for the year to facilitate easier locating of files as well as the eventual disposal of those files not longer need and beyond retention requirements. An alternative is to include a year indicator within each file naming convention used. The standard set of departmental subdirectories can include: • Budget • Correspondence • Grants • Photos • Reports • Scanned documents The Clerk directory will also have subdirectories for: • Elections • Licenses • Permits • Record Retention The Code Enforcement directory will also have subdirectories for: • Complaints • Violations The Finance directory will also have subdirectories for: • Accounts Payable • Accounts Receivable • General Ledger • Payroll • Time and Attendance The Fire Safety directory will also have subdirectories for: • Inspections • Order To Remedy • Plan Review • Vendors The GIS directory will also have a subdirectory for: 40 • ESRI The Town of Dryden Business Process Analysis Report Page 59 • The IT directory will also have a subdirectory, for: • System documents I The Planning directory will also have subdirectories for: • Site Plan Review • Special Use • Survey Maps • Zoning Applications The Recreation directory will also have subdirectories for: • Equipment • Facilities • Parks • Playgrounds • Programs • Publications • Registrations • Special Events • Staffing • Supplies • Vehicles The Sewer directory will also have a subdirectory for: • Billing The Tax directory will also have a subdirectory for: • Assessment rolls The Water directory will also have a subdirectory for: • Billing The Common Documents hierarchy has five standard subdirectories: • Forms & Templates • Reference Materials • Publications • Policies and Procedures • Training and education The data files in these directories typically do not change often and need to be protected from update except when a designated administrator archives an existing version and replaces it with a new version. The Town of Dryden Business Process Analysis Report Page 60 • Naming conventions (e.g. using a department specific prefix) help to organize and group files for easier retrieval. The Admin-general hierarchy has eight standard subdirectories, with the potential for additional subdirectories for previous years' data files: • Agendas • Annual Report • Audits • Capital Projects • Contracts and Agreements • Master/ Comprehensive Plan • Minutes • Ordinances The Admin-confidential hierarchy has three standard subdirectories, with the potential for additional subdirectories for previous years' data files. These directories have tightly controlled and limited access: • Budgets • HR • Searches The Archive-inactive hierarchy has a subdirectory for each year of retention, with additional subdirectories for each type of archived data. Again, it is important to note that the above directory structured is offered to the Town of Dryden as a starting point for discussion by senior Town Office staff. • The Town of Dryden Business Process Analysis Report Page 61 File Distribution By Type • Type Of Data # of Files Size (MB) File extensions 0, ai, bmp, dwg, emf, gif, img, itc2, jpeg, jpg, Image 31,394 44,726 mpt, ntf, pcx, png, psd, ptn, sdw, svg, tif, tiff, wmf 00a, adf, aux, avl, car, cor, dd, ddf, e00, ecw, gic, gip, gis, giw, gix, imp, ixs, j2w, jgw, jpg, GIS 15,111 36,195 kmz, las, lyr, mxd, nit, obs, obx, prj, psi, pwf, rrd, sbn, sbx, sdc, sdi, shp, shx, sid, ssf, tab, tat, tfw, tifw, txx 95, 98, _pkginfo, abt, afm, ain, app, apr, arbfpl, arbvpl, asd, aut, ave, avp, avx, has, bat, bin, bid, c, cab, cat, ccp, cfg, chm, cis, cmd, cnt, com, config, cpl, cpp, dbd, dct, def, dem, dig, dll, don, drv, dtm, eex, enc, esl, ex, exe, exe_aav, exesav, exesavv, fds, fit, fmf, fmi, frt, frx, fxp, gdbindexes, gdbtable, gdbtablx, gid, gsb, gsf, h, hdi, hdr, hip, icc, icm, id, inf, ini, ins, inx, iss, isu, jar, Program 13,627 8,753 js, key, kml, label, Ida, Idi, Idx, lib, lid, lif, Ing, loc, los, lot, It2, map, mat, mem, mib, mo, mod, mor, msi, mso, mst, mxt, nib, nlm, nls, ocx, olb, old, ovl, pal, par, pat, pfa, php, pif, pl, pit, ppd, prg, properties, ps_2_0, pxn, pxw, py, qm, qtc, qtt, qvr, rb, rbs, rcc, reg, saf, sav, sch, serverstyle, sh, skm, skp, smd, sol, spx, sql, stf, stn, style, svn-base, svn- work, sys, tag, tbl, tbx, td, tlb, upp, vdb, vs_2_01 vst, vxd, xsl, z doc, docm, docx, dot, dotx, frm, hst, pages, Word processing 10,384 2,892 prn, pub, rpt, rtf, shs, wpd, wps, wri, xps, xsd 002, 003, 004, 005, 007, 008, 010, 011, 012, Database 8,233 1,345 013, accdb, cdx, dbc, dbf, dcx, fpt, idx, Idb, mdb, ndx Postscript 5,729 11,541 eps, pdf, pips, ps Excel 2,990 227 xls, xlsm, xlsx, xlt Web document 2,852 12 asp, css, dwt, htc, htm, html, mht, mno System 1,606 161 db, ds_store, dtd . Unspecified 1,475 209 The Town of Dryden Business Process Analysis Report Page 62 • XML data 1,416 31 xml Text file 1,171 275 001, 3, csv, log, Ist, txt unidentified 1,059 57 264 different extensions Archive 1,013 8,130 dir, gz, tar, zip .dat file 809 25 dat Music 711 3,777 itl, m4a, m4p, mp3, wma Mail 282 1,219 dbx, eml, msg, pst, wab Font 246 12 otl, pfb, pfm, ttf Backup 173 72 1, 2, bak, qic Link 173 0 Ink PowerPoint 95 741 pot, ppsx, ppt, pptx Temp file 92 74 tmp Icon 86 2 ico iWork 67 0 numbers Movie 54 4,150 3g2, avi, flv, m4v, mov, mp4, wmv Web address 43 0 url Flash 22 165 fla, swf Sound 16 13,223 wav Playlist 16 0 pls, wpl Palm Pilot resource 14 0 prc Disc image 3 3,926 dmg, iso i 'I The Town of Dryden Business Process Analysis Report Page 63 j Best uses for an Electronic Content Management System , Although the application uses for an ECMS can vary widely, generally there are specific criteria to look for when discussing the potential use of such a system. This section is intended to provide some general guidelines for the Town of Dryden to consider when examining potential uses that could benefit by implementing ECMS functionality - whether using the County's ECMS or an internal ECMS solution. General criteria to consider when implementing an ECMS The following are offered as some of the criteria to consider when determining if an ECMS is suitable for a particular application or area. It is important to note that all applications needs are unique and that there may be other reasons to consider using an ECMS. The following are presented as general guidelines for the Town to consider when determine which application areas are best suited. • Relatively high retrieval rate of documents if users frequently request a document and have to go through a potentially time consuming process to locate the required document, then an ECMS should be considered. On the contrary, if documents are easy to locate and are immediately available to all users in their present condition, (and the other criteria listed below is not relevant), then there may not be a pressing need to implement an ECMS. • High value with no backup copy If records held are of high value and there is no backup copy of the record, then an ECMS can provide a very suitable backup copy in the event of a disaster that affects records. If losing the sole copy of a record would result in undue harm to an organization, then an ECMS should be considered as one potential tool providing an off-site backup copy of the records. • Need to share files/Need to distribute information within a file If there is a need to share records among more than one department or person, an ECMS can be used as a tool to electronically provide access to the latest information to multiple individuals. If multiple photocopies of the same information are being created, shared, reviewed and stored by several individuals an ECMS can be used to reduce the number of copies made and stored. • Need to improve operating efficiency An ECMS is often considered in addition to the items mentioned above when an increase in the operational efficiency of the organization or department is desired. Having instant access to information lessens the time needed to search for records and being away from an individual's primary office work area. The Town of Dryden Business Process Analysis Report Page 64 • • Lack of file storage space If there is a lack of physical file storage space, typically only four options are available: review and purge existing records being held beyond retention requirements to reduce space; find or build a new storage room to accommodate the records; contract with a third-party vendor to store records off-site; or process the existing records onto a smaller format media such as microfilm or in a digital image format stored in an ECMS. Although purging is the recommended first step given all the options, moving to an ECMS should be considered as a viable alternative. Often building a new building or contracting with a third-party may be only delaying a future decision on an alternative media format if the volume of records being stored annually is greater than what is being destroyed. In addition, the Town can establish a set of document templates in the ECMS for common document types. Not only will reusable templates reduce the amount of time required to recreate these documents each time they are needed, the documents will have a consistent format and content. Ideally, an ECMS will replace the use of shared data directory directories, particularly in how they are used for working documents and collaboration. Once documents are finalized and are to be classified as 'records', they should be moved or designated as records (which can be done automatically through workflow processes or 3rd party add-ons within the ECMS) for archival and records retention management purposes. As one can imagine, individual needs can vary from department to department or even record series to record series. A blanket assumption cannot be made that if one department has a need to use an ECMS for a records series, then others within the Town will also have a need. The Town of Dryden Business Process Analysis Report Page 65 GENERAL CODE PRO SAL Grant Quote for Enterprise Content Management Services Tompkins County New York December 19th, 2011 Valid for 6 months BY GENERAL Ommi Information made civil. Regional Representative Liz Mistretta Email: Imistretta@generalcode.com (585) 328-1810 781 Orngrove Road, Rochester NY 14624 Phone: 8' 836 8834 S 328 8,189 Ade 0 Quotation for the County of Tompkins, New York CONTENTS • EXECUTIVE SUMMARY .........................................................................................................................................3 PRELIMINARY DOCUMENT MANAGEMENT PROJECT PLAN Error! Bookmark not defined. INVESTMENT DETAIL & OPTIONS .........................................................................................................................6 • • GENERAL 2 December 19th, 2011 i Quotation for the County of Tompkins, New York • EXECUTIVE SUMMARY ABOUT GENERAL CODE General Code provides a variety of information management solutions to more than 2,700 local governments, educational and commercial organizations throughout the United Sates. We set the standard for improving document management processes, and are on the cutting-edge of technology, providing new and reliable tools to our customers to better serve their clients. We pride ourselves in our level of experience, our technical knowledge in the industry and our focus on the customer. General Code is a top 5 government reseller of Laserfiche in the United States, offering more than twelve years of experience, coupled with an industry-leading service, integration, training and help desk team. With Laserfiche at the center of your Enterprise Content Management Solution you get what nearly 30,000 other public and private organizations are already getting - the most powerful combination of electronic capture, storage and business process automation tools available today. We selected Laserfiche as our technology platform because of its open architecture, integration ability and the capacity to scale up as your demand for information sharing and access grows. Every system designed and implemented by General Code fits your specific needs and requirements. Customization of your Enterprise Content Management Solution reduces the time and additional resources required to "adjust" or "optimize" a one-dimensional system. • As a values-based company we adhere to the principles outlined in our General Code. These guides for conduct are integral to building a comprehensive content management solution - one that leverages our 50 years of service to public organizations and governments of all sizes. Digital information must be designed and implemented in ways that support the success of the entire organization. Our content management solutions must run on a platform that we believe in. The quality of our service and support determines the ultimate value of the solution we develop. Out content management solutions are based on the practical-if there is a better way to do something we will design and implement it. -THE GENERAL CODE- G 11 ENERAL 3 December 19th, 2011 Quotation forth e County of Tompkins, New York LASERFICHE RIO SYSTEM OVERVIEW • Laserfiche Rio combines comprehensive ECM functionality with powerful business process management (BPM), security and auditing tools, Laserfiche Rio provides a solid ECM infrastructure that: - Manages your content. - Grants the IT Department central control over standards, security and auditing. - Gives individual departments flexibility to customize their filing structures, views and workflows Laserfiche Rio integrates with your existing IT portfolio supporting intelligent decision making enterprise- wide. With a fundamental design structure engineered to meet the needs of the IT Department, Laserfiche Rio is designed to be easy to purchase, easy to deploy, easy to support and easy to extend. The Laserfiche Rio system includes: - A licensing server to produce system licenses as you determine system topology based on your specific needs. - Unlimited Laserfiche content servers that provide document imaging, is document management and records management functionality as part of the core architecture - not through separate modules that are stacked together. - A fully functional, true thin-client interface that does not require any software to be installed, maintained or updated at the workstation level. - The Laserfiche Workflow system, capable of automating business processes in high volume transactional environments, as well as customizing the way the system reacts to user input. - A built-in auditing solution for security and compliance. - Production-level document capture and processing, including a variety of image enhancements, data extraction and processing tools to automate document identification, indexing, classification and filing. - Fully customizable, read-only public Web ports, with unlimited public portal licenses. GENERAL 4 December 19th, 2011 Quotation for the County of Tompkins, New York • Laserfiche Rio was developed specifically to meet the needs of organizations that view ECM technology as a foundational component of their technical infrastructure. With bundled functionality, unlimited content servers and its own licensing server, the system provides with unmatched deployment flexibility: - Scale easily from one hundred to hundreds of thousands of users. Named user licenses with significant volume discounts simplify the procurement process, eliminating long requisitions and making budgeting for an enterprise deployment must easier. - Integrate with your existing IT portfolio. As an open platform, Laserfiche Rio facilitates and encourages integration with line-of-business and legacy applications to solve transactional document problems and provide a rapid ROL - Extend local flexibility. No ECM system will offer centralized control over content if it isn't used. Laserfiche Rio is designed to provide centralization and standardization without compromising the flexibility and customization of information delivery required for defined business applications. - Configure, don't customize. Configuration of Laserfiche Rio's standardized solutions leverage existing administration platforms-including Microsoft skill sets-and offer a lower total cost of ownership. - Maintain control over your ECM environment. Support for virtualization, mirroring, test, development and other environments without the need to • purchase additional software licenses puts you in complete control of system topology, high availability and recovery. - Grow with your organization. Because needs change, Laserfiche Rio maintains flexibility to change system attributes even after release to production. Changes are made with the same intuitive tools used for initial configuration. • GENERAL 5 _ December 19th, 2011 Quotation for the County of Tompkins, New York • INVESTMENT DETAIL & OPTIONS Hardware or any applicable taxes are not included in price. Line Item Description Model # Quantity Unit Price Total User Software' Individual Rio Named Full User License ENFPL50 1 $875.00 $875.00 Individidual Rio Named Full User Support ENFPL50B 1 $209.00 $209.00 Individual User Software Total $1,084.00 Estimated LSAP second year forward (LSAP): $209.00 Line Item Description Model # Quantity Unit Price Total Additional Software Rio Scan Connect License SC01 1 $174.00 $174.00 Rio Scan Connect Support SC01 B 1 $42.00 $42.00 Additional Software Total $215.00 Estimated LSAP second year forward (LSAP): $42.00 Line Item Description Model # Quantity Unit Price Total Services " On-Site Days ON-B 1 $1,500.00 $1,500.00 Services Total $1,500.00 * User Software Note: • NOTE: User Software costs listed above are for individual Rio Named user licenses. This applies to a total quantity of I- 49 Rio Named User licenses purchased. For a total quantity of 50 or more user licenses purchased, these individual costs would be reduced to $910.00 Services Note: NOTE: Service Costs listed above are for 1 on-site day of installation and training.. Typically activity at a single municipality is anywhere from 1 -2 days of on-site work. If a total price for 6 (six) municipalities in a shared service model is needed, please consider anywhere from 8 -12 days with total prices equaling a range of $12,000 - $18,000.00. Additional NOTE: Automated Workflow (software) is included with Laserfiche Rio'" User licenses. If/when the County wishes to implement Automated Workflow components, there will be additional development and configuration time required. We will be happy to assess any Workflow implementation desires with you and provide any relevant fees at your request. (Fees will be based on the number and complexity of the desired work flows to be implemented.) These additional service fees would not apply until you are ready to implement this component. • GENERAL 6 December 19th, 2011 • Quotation for the County of Tompkins, New York Installation is expected to be completed in 90 days from authorization. 1. Adjustments to Performance Schedule; Delays. A. Adjustments to Schedule. Upon the mutual consent of the Municipality and General Code, the "Performance Schedule" may be changed or extended as provided under "Changes" below. B. Delays. Client must notify General Code, in writing, immediately upon learning or otherwise becoming aware, of any difficulties that may delay the delivery of services or deliverables. Such notification must identify the reason for the delay, as well as the anticipated period of delay. General Code may require a payment of 50% of the balance due under the contract for any delay on Client's part. 2. Cancellation Policy. A. A cancellation fee of Fifty (50) Percent of the total Installation / Training amount will be charged to County of Tompkins for any scheduled Laserfiche installation cancelled or rescheduled six (6) or more, but less than ten (10) business days from the scheduled installation start date. B. A cancellation fee of One-Hundred (100) Percent of the total Installation / Training amount will be charged to County of Tompkins for any scheduled Laserfiche installation cancelled or rescheduled less than six (6) business days from the scheduled installation start date. • • GENERAL 7 December 19th, 2011 Quotation forth e County of Tompkins, New York APPENDIX A - DESCRIPTION OF RECOMMENDED COMPONENTS Laserfiche RIO Laserfiche Rio is functionality and simplicity combined into an enterprise document/content management solution. Rio includes document management, business process management and Web publishing for your entire enterprise, all in one bundle. Rio's named-user licensing makes budgeting and purchasing easy-all you need to do is count the number of users. And with its tiered pricing structure, Rio becomes more affordable with increased number of users. As your organization grows, Rio scales easily to accommodate new departments and an expanding workforce. In addition to volume discounts on user licenses, Rio includes an unlimited number of servers, so you can create failover clusters, redundant servers, departmental servers, or whichever structure best fits the way your organization runs. Included: Laserf iche Automated Workflow Module: The Laserfiche Automated Workflow Module is a robust component that facilitates the flow of documents. By automating the flow of documents and/or folders between users, work can be distributed to different users in an orderly and predetermined manner. The Laserfiche Automated Workflow Module also can help enforce timelines by • sending e-mail notifications when routed items are inactive beyond a designated time or when documents arrive in certain folders. Laserfiche Workflow activities can be triggered by any activity within your Laserfiche database. Web Access is a browser-based thin client offering virtually all of the document management capabilities of the thick client interface. Authorized users organization-wide can simultaneously access documents, whether they are accessing Laserfiche from their desks or a remote location. IT can add new users without installing software on individual workstations. Users access Laserfiche through a Web browser. Authorized users scan, index and otherwise manage documents with Web Access. Staff can also search, retrieve, create, move, rename and annotate documents from the Web. Web Access has real time access to the Laserfiche repository, which means that information input into Laserfiche is instantly available to all users, whether connected directly to your server, or using Web Access. Advanced Audit Trail provides you with the ability to track activity • within your Laserfiche database (e g., who accessed which GENERAL 8 December 19th, 2011 I Quotation for the County of Tompkins, New York • document when, who input a document, who added pages, or moved a document, etc.). Advanced Audit Trail also tracks failed attempts to access or change content and allows custom auditing per trustee. It also tracks changes of rights to documents (who changed which rights), tracks search events, allows supplemental reasons for exporting, printing and e-mail, and supports of tracking of printed documents via watermark. A built-in Report Wizard guides you through creating auditing reports and enables you to save frequently viewed reports. If you wish to create more advanced reports, you can also use 3rd party reporting software, such as Crystal Reports, with Audit Trail. Audit Trail is an excellent tool for an added level of security and/or for monitoring staff productivity Named Users Named users have the ability to utilize all of the features of the software, including scanning, importing, file and volume management, search and retrieval, annotations, e-mail routing and workflow participation, as applicable and as security rights permit. Additional named user licensees can be added at any time. Included: Snapshot Functionality: The Snapshot functionality allows • designated users the capability to print existing electronic files into the Laserfiche system directly rather than having to print them out and then scan them into the system. E-Mail Functionality: The E-Mail Plug-in allows users to send Laserfiche documents as e-mail attachments to anyone using a MAPI-compatible E-mail system. Laserfiche ScanConnect A software interface that allows Laserfiche to interface with a number of supported scanners using the ISIS communication standard. I • GENERAL 9...... December 19th, 2011