Using an ECM System to Manage Electronic Records

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• Using an ECM System to Manage Electronic
  Records

New York State Archives www.archives.nysed.gov
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Todays Objectives

• Introduction to ECM
• How an ECMS works
• Standards for ECM
• Plan for implementation

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Defining an ECM System

• An enormous database
• Central platform for managing content
• Manages records in many formats
• Uses common standards and rules

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ECMS versus EDMS

• ECMS
• Manages all kinds of content
• Made up of modules
• Reflects change in business practices
• EDMS
• Manages electronic documents
• Can have additional applications

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Content

• Completed form
• Letter to a customer
• Digital image of a birth certificate
• E-mail message
• Voicemail message
• Web page
• Video clip of a speech

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Benefits of an ECMS

• Improve workflow
• Speed up retrieval and distribution
• Enhance security
• Eliminate document loss
• Institute version control
• Provide for disaster recovery

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What is Needed?

• ECM software
• Networked PCs
• Server
• Scanner

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Web-based ECM

• Very popular
• Access via Internet or intranet
• No need to learn new interface
• No need to maintain additional software
• Increased browser-based functionality

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ECMS Functions

• Capture
• Manage
• Store
• Deliver
• Dispose
• Manage E-Mail

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Capture

• Scanning
• From paper
• From microfilm
• Electronic records
• Computer-generated reports
• ERM (Enterprise Report Management)
• E-Forms
• Online data capture and processing

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Document Capture in ECMS
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Manage

• Index
• Create metadata
• Monitor and control
• Revise
• Workflow

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Index

• Keep index manageable
• Reduce manual keying time and errors
• Use existing electronic indexes
• Bar-coding
• OCR/ICR

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Metadata in an ECMS

• File name
• Unique document number
• Security level
• File description
• File date
• Retention and description

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Monitor and Control

• Work status
• Audit trails
• Alarms
• Automated work balancing

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Audit Trails
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Revise

• Version control
• Identifies final drafts
• Maintains earlier drafts
• Document annotation
• Sticky notes

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Workflow

• Routes to a queue
• Sorts a queue
• Holds item in a queue
• Retrieves items from a queue
• Defines actions before forwarding
• Defines timeframes for receipt
• Defines action if doc not received
• Processes set of docs as a unit

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Workflow in Everyday Life

• Packages received by UPS are bar coded
• Barcode is scanned at receipt
• As package moves through various hubs
• Workers access package status info
• Then provide to customers
• Direct package at each hub
• Track packages by
• Account number
• Tracking ID
• Date
• Zip code

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Store

• Follows and maintains index
• Saves files to server
• Saves backups to offline storage

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Types of Storage Media

• Magnetic
• Hard drive
• Tapes (backup only)
• Optical
• CD-R (Compact Disc-Recordable)
• CD-RW (Compact Disc-Rewritable)
• DVD (Digital Versatile Disc)

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Deliver

• Search by hierarchical structure
• Across libraries or repositories
• By profiles
• Document or file profiles
• Folder profiles
• Index / keywords
• Full-text

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Search Window in an ECMS
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Secure

• Provide access controls at levels
• Repository
• Folder
• Document
• Page
• Redact documents
• Audit Trails
• Web access

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Destroy

• Records Management Application (RMA)
• Includes retention schedule
• Links retention periods to records
• Automates disposition
• Standard developed by Defense Dept
• DoD 5015.2-STD

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Why You Need an RMA

• RM is not a priority for users
• Retention not applied to ER
• Provides automated retention solution

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Email Management
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Problems with an ECMS

• Expensive
• Strong IT support
• Significant training
• Large cultural change
• Process changes

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Business Process Analysis

• Analyze current processes
• Develop revised processes
• Assess solutions
• Integrate with ECMS
• Estimate costs

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Process Analysis

• How records are received
• What occurs to records after receipt
• How are records used
• How many people use records
• What happens to records during process
• Where are records stored

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Evaluating Products

• Product maturity
• Adherence to standards
• Ability to meet business needs
• Availability of tech support
• Cost

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Implementation Step 1 RFP

• Form Project Team
• RFP
• Development
• Issuance
• Evaluation of bids
• Award (signed contract)

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Implementation Step 2 File Plan and
Classification

• Analyze records
• Develop file plan
• Controlled vocabulary, directory structure
• Develop classification system
• Arrangement and attributes of records

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Implementation Step 3Application Design
Development

• Prioritize needs
• Application development
• Application testing
• User acceptance testing

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Implementation Step 4 Training

• Train users to use the file plan
• Train users how to use the ECMS
• Implement ECMS file by file
• User practice
• Manage cultural change

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Implementation Final Steps

• Hardware delivery and testing
• System testing
• System is live
• Expand system capability and user group
• Continue adding records

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Backfile Conversion

• Determine need to convert backfile
• Three approaches
• Full backfile
• Partial backfile
• As-needed
• Address in BPA
• Indicate in RFP

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Ensuring Successful Implementation

• Choose products that meet your needs
• Understand and test software
• Identify improvements
• Demonstrate benefits
• Identify key users early

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Case Study

• Madison County Dept of Social Services
• Did a needs assessment
• Created workflow charts for every process
• Critically examined each activity
• Formed an index with multiple search criteria
• 19 different document types
• Day forward conversion
• Will include electronic forms and RMA
• Will expand to other offices in the County

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Dont Blame the Machine

• Documents not always filed to repository
• Inconsistent filing
• Poor RM practices transferred to ECMS

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ECMS Does NOT

• Preserve information
• Ensure accuracy of record content
• Migrate electronic data

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Preservation Options

• Migration
• Standard formats
• Refreshing storage media

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Advantages for You

• Controls growth of records
• Can help ensure regulatory compliance
• Supports litigation
• Safeguards vital information
• Manages electronic archives

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Advantages for Everyone

• Reduces operating costs
• Improves
• efficiency and productivity
• decision making
• customer service
• Fosters professional business management

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Last Words of Advice

• Internal support
• Analysis
• Request for proposal
• State contracts for
• Integrators, hardware and software
• Grant support from State Archives

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Thank you for coming

• Final Questions?
• Please fill out Evaluation Form