1. Using an ECM System to Manage Electronic Records Using an ECM System to Manage Electronic Records New York State Archives www.archives.nysed.gov

2. Today’s Objectives Introduction to ECM Introduction to ECM How an ECMS works How an ECMS works Standards for ECM Standards for ECM Plan for implementation Plan for implementation

3. Defining an ECM System An enormous database An enormous database Central platform for managing content Central platform for managing content Manages records in many formats Manages records in many formats Uses common standards and rules Uses common standards and rules

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

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

6. Benefits of an ECMS Improve workflow Improve workflow Speed up retrieval and distribution Speed up retrieval and distribution Enhance security Enhance security Eliminate document loss Eliminate document loss Institute version control Institute version control Provide for disaster recovery Provide for disaster recovery

7. What is Needed? ECM software ECM software Networked PCs Networked PCs Server Server Scanner Scanner

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

9. ECMS Functions Capture Capture Manage Manage Store Store Deliver Deliver Dispose Dispose Manage E-Mail Manage E-Mail

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

11. Document Capture in ECMS

13. Manage Index Index Create metadata Create metadata Monitor and control Monitor and control Revise Revise Workflow Workflow

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

15. Metadata in an ECMS File name File name Unique document number Unique document number Security level Security level File description File description File date File date Retention and description Retention and description

16. Monitor and Control Work status Work status Audit trails Audit trails Alarms Alarms Automated work balancing Automated work balancing

17. Audit Trails

18. Revise Version control Version control Identifies final drafts Identifies final drafts Maintains earlier drafts Maintains earlier drafts Document annotation Document annotation “Sticky notes” “Sticky notes”

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

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

21. Store Follows and maintains index Follows and maintains index Saves files to server Saves files to server Saves backups to offline storage Saves backups to offline storage

24. Types of Storage Media Magnetic Magnetic Hard drive Hard drive Tapes (backup only) Tapes (backup only) Optical Optical CD-R (Compact Disc-Recordable) CD-R (Compact Disc-Recordable) CD-RW (Compact Disc-Rewritable) CD-RW (Compact Disc-Rewritable) DVD (Digital Versatile Disc) DVD (Digital Versatile Disc)

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

26. Search Window in an ECMS

33. Secure Provide access controls at levels Provide access controls at levels Repository Repository Folder Folder Document Document Page Page Redact documents Redact documents Audit Trails Audit Trails Web access Web access

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

36. Why You Need an RMA RM is not a priority for users RM is not a priority for users Retention not applied to ER Retention not applied to ER Provides automated retention solution Provides automated retention solution

37. Email Management

38. Problems with an ECMS Expensive Expensive Strong IT support Strong IT support Significant training Significant training Large cultural change Large cultural change Process changes Process changes

39. Business Process Analysis Analyze current processes Analyze current processes Develop revised processes Develop revised processes Assess solutions Assess solutions Integrate with ECMS Integrate with ECMS Estimate costs Estimate costs

40. Process Analysis How records are received How records are received What occurs to records after receipt What occurs to records after receipt How are records used How are records used How many people use records How many people use records What happens to records during process What happens to records during process Where are records stored Where are records stored

41. Evaluating Products Product maturity Product maturity Adherence to standards Adherence to standards Ability to meet business needs Ability to meet business needs Availability of tech support Availability of tech support Cost Cost

42. Implementation Step 1: RFP Form Project Team Form Project Team RFP RFP Development Development Issuance Issuance Evaluation of bids Evaluation of bids Award (signed contract) Award (signed contract)

43. Implementation Step 2: File Plan and Classification Analyze records Analyze records Develop file plan Develop file plan Controlled vocabulary, directory structure Controlled vocabulary, directory structure Develop classification system Develop classification system Arrangement and attributes of records Arrangement and attributes of records

44. Implementation Step 3: Application Design & Development Prioritize needs Prioritize needs Application development Application development Application testing Application testing User acceptance testing User acceptance testing

45. Implementation Step 4: Training Train users to use the file plan Train users to use the file plan Train users how to use the ECMS Train users how to use the ECMS Implement ECMS file by file Implement ECMS file by file User practice User practice Manage cultural change Manage cultural change

46. Implementation Final Steps Hardware delivery and testing Hardware delivery and testing System testing System testing System is live System is live Expand system capability and user group Expand system capability and user group Continue adding records Continue adding records

47. Backfile Conversion Determine need to convert backfile Determine need to convert backfile Three approaches Three approaches Full backfile Full backfile Partial backfile Partial backfile As-needed As-needed Address in BPA Address in BPA Indicate in RFP Indicate in RFP

48. Ensuring Successful Implementation Choose products that meet your needs Choose products that meet your needs Understand and test software Understand and test software Identify improvements Identify improvements Demonstrate benefits Demonstrate benefits Identify key users early Identify key users early

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

50. Don’t Blame the Machine Documents not always filed to repository Documents not always filed to repository Inconsistent filing Inconsistent filing Poor RM practices transferred to ECMS Poor RM practices transferred to ECMS

51. ECMS Does NOT Preserve information Preserve information Ensure accuracy of record content Ensure accuracy of record content Migrate electronic data Migrate electronic data

52. Preservation Options Migration Migration Standard formats Standard formats Refreshing storage media Refreshing storage media

53. Advantages for You Controls growth of records Controls growth of records Can help ensure regulatory compliance Can help ensure regulatory compliance Supports litigation Supports litigation Safeguards vital information Safeguards vital information Manages electronic archives Manages electronic archives

54. Advantages for Everyone Reduces operating costs Reduces operating costs Improves Improves efficiency and productivity efficiency and productivity decision making decision making customer service customer service Fosters professional business management Fosters professional business management

55. Last Words of Advice… Internal support Internal support Analysis Analysis Request for proposal Request for proposal State contracts for State contracts for Integrators, hardware and software Integrators, hardware and software Grant support from State Archives Grant support from State Archives

56. Thank you for coming Final Questions? Final Questions? Please fill out Evaluation Form Please fill out Evaluation Form