Using an ECM System to Using an ECM System to

Manage Electronic RecordsManage Electronic Records New York State ArchivesNew York State Archives

www.archives.nysed.govwww.archives.nysed.gov

Today’s ObjectivesToday’s Objectives

Introduction to ECMIntroduction to ECM

How an ECMS worksHow an ECMS works

Standards for ECMStandards for ECM

Plan for implementationPlan for implementation

Defining an ECM SystemDefining an ECM System

An enormous databaseAn enormous database

Central platform for managing contentCentral platform for managing content

Manages records in many formatsManages records in many formats

Uses common standards and rulesUses common standards and rules

ECMS versus EDMSECMS versus EDMS

ECMSECMS Manages all kinds of contentManages all kinds of content Made up of modules Made up of modules Reflects change in business Reflects change in business

practicespractices

EDMSEDMS Manages electronic documentsManages electronic documents Can have additional applicationsCan have additional applications

ContentContent Completed formCompleted form

Letter to a customerLetter to a customer

Digital image of a birth certificateDigital image of a birth certificate

E-mail messageE-mail message

Voicemail messageVoicemail message

Web pageWeb page

Video clip of a speechVideo clip of a speech

Benefits of an ECMSBenefits of an ECMS Improve workflowImprove workflow

Speed up retrieval and distributionSpeed up retrieval and distribution

Enhance securityEnhance security

Eliminate document lossEliminate document loss

Institute version controlInstitute version control

Provide for disaster recoveryProvide for disaster recovery

What is Needed?What is Needed? ECM softwareECM software

Networked PCsNetworked PCs

ServerServer

ScannerScanner

Web-based ECMWeb-based ECM

Very popular Very popular

Access via Internet or intranetAccess via Internet or intranet

No need to learn new interfaceNo need to learn new interface

No need to maintain additional softwareNo need to maintain additional software

Increased browser-based functionalityIncreased browser-based functionality

ECMS FunctionsECMS Functions CaptureCapture

ManageManage

StoreStore

DeliverDeliver

DisposeDispose

Manage E-MailManage E-Mail

CaptureCapture ScanningScanning

From paperFrom paper From microfilmFrom microfilm

Electronic recordsElectronic records Computer-generated reportsComputer-generated reports

ERM (Enterprise Report Management)ERM (Enterprise Report Management)

E-FormsE-Forms Online data capture and processingOnline data capture and processing

Document Capture in ECMSDocument Capture in ECMS

ManageManage

IndexIndex

Create metadataCreate metadata

Monitor and controlMonitor and control

Revise Revise

WorkflowWorkflow

IndexIndex

Keep index manageableKeep index manageable

Reduce manual keying time and errorsReduce manual keying time and errors

Use existing electronic indexesUse existing electronic indexes

Bar-codingBar-coding

OCR/ICR OCR/ICR

Metadata in an ECMSMetadata in an ECMS File nameFile name

Unique document numberUnique document number

Security levelSecurity level

File descriptionFile description

File dateFile date

Retention and descriptionRetention and description

Monitor and ControlMonitor and Control

Work statusWork status

Audit trailsAudit trails

AlarmsAlarms

Automated work balancingAutomated work balancing

Audit TrailsAudit Trails

ReviseRevise

Version controlVersion control

Identifies final draftsIdentifies final drafts

Maintains earlier draftsMaintains earlier drafts

Document annotationDocument annotation

““Sticky notes”Sticky notes”

WorkflowWorkflow Routes to a queueRoutes to a queue Sorts a queueSorts a queue Holds item in a queueHolds item in a queue Retrieves items from a queueRetrieves items from a queue Defines actions before forwardingDefines actions before forwarding Defines timeframes for receiptDefines timeframes for receipt Defines action if doc not receivedDefines action if doc not received Processes set of docs as a unitProcesses set of docs as a unit

Workflow in Everyday LifeWorkflow in Everyday Life Packages received by UPS are bar codedPackages received by UPS are bar coded

Barcode is scanned at receiptBarcode is scanned at receipt As package moves through various hubsAs package moves through various hubs

Workers access package status infoWorkers access package status info Then provide to customersThen provide to customers

Direct package at each hubDirect package at each hub Track packages byTrack packages by

Account numberAccount number Tracking IDTracking ID DateDate Zip code Zip code

StoreStore

Follows and maintains indexFollows and maintains index

Saves files to serverSaves files to server

Saves backups to offline storageSaves backups to offline storage

Types of Storage MediaTypes of Storage Media MagneticMagnetic

Hard driveHard drive

Tapes (backup only)Tapes (backup only)

OpticalOptical

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)

DeliverDeliver Search by hierarchical structureSearch by hierarchical structure

Across libraries or repositoriesAcross libraries or repositories

By profilesBy profiles

Document or file profilesDocument or file profiles

Folder profilesFolder profiles

Index / keywordsIndex / keywords

Full-text Full-text

Search Window in an ECMSSearch Window in an ECMS

SecureSecure Provide access controls at levelsProvide access controls at levels

RepositoryRepository FolderFolder DocumentDocument PagePage

Redact documentsRedact documents Audit TrailsAudit Trails Web accessWeb access

DestroyDestroy Records Management Application Records Management Application

(RMA)(RMA)

Includes retention schedule Includes retention schedule

Links retention periods to recordsLinks retention periods to records

Automates dispositionAutomates disposition

Standard developed by Defense DeptStandard developed by Defense Dept DoD 5015.2-STDDoD 5015.2-STD

Why You Need an RMAWhy You Need an RMA

RM is not a priority for usersRM is not a priority for users

Retention not applied to ERRetention not applied to ER

Provides automated retention Provides automated retention

solutionsolution

Email ManagementEmail Management

Problems with an ECMSProblems with an ECMS

ExpensiveExpensive

Strong IT supportStrong IT support

Significant trainingSignificant training

Large cultural changeLarge cultural change

Process changesProcess changes

Business Process AnalysisBusiness Process Analysis

Analyze current processesAnalyze current processes

Develop revised processesDevelop revised processes

Assess solutionsAssess solutions

Integrate with ECMSIntegrate with ECMS

Estimate costsEstimate costs

Process AnalysisProcess Analysis How records are receivedHow records are received

What occurs to records after receiptWhat occurs to records after receipt

How are records usedHow are records used

How many people use recordsHow many people use records

What happens to records during processWhat happens to records during process

Where are records storedWhere are records stored

Evaluating ProductsEvaluating Products

Product maturityProduct maturity

Adherence to standardsAdherence to standards

Ability to meet business needsAbility to meet business needs

Availability of tech supportAvailability of tech support

CostCost

Implementation Step 1: RFPImplementation Step 1: RFP

Form Project TeamForm Project Team

RFPRFP

DevelopmentDevelopment

IssuanceIssuance

Evaluation of bidsEvaluation of bids

Award (signed contract)Award (signed contract)

Implementation Step 2: Implementation Step 2: File Plan and ClassificationFile Plan and Classification Analyze recordsAnalyze records

Develop file planDevelop file plan

Controlled vocabulary, directory structureControlled vocabulary, directory structure

Develop classification systemDevelop classification system

Arrangement and attributes of recordsArrangement and attributes of records

Implementation Step 3:Implementation Step 3:Application Design & Application Design &

DevelopmentDevelopment Prioritize needsPrioritize needs

Application developmentApplication development

Application testingApplication testing

User acceptance testingUser acceptance testing

Implementation Step 4: Implementation Step 4: TrainingTraining

Train users to use the file planTrain users to use the file plan

Train users how to use the ECMSTrain users how to use the ECMS

Implement ECMS file by file Implement ECMS file by file

User practiceUser practice

Manage cultural changeManage cultural change

Implementation Final Steps Implementation Final Steps

Hardware delivery and testingHardware delivery and testing

System testingSystem testing

System is liveSystem is live

Expand system capability and user groupExpand system capability and user group

Continue adding recordsContinue adding records

Backfile ConversionBackfile Conversion Determine need to convert backfileDetermine need to convert backfile

Three approachesThree approaches

Full backfileFull backfile

Partial backfilePartial backfile

As-neededAs-needed

Address in BPAAddress in BPA

Indicate in RFPIndicate in RFP

Ensuring Successful Ensuring Successful ImplementationImplementation

Choose products that meet your needsChoose products that meet your needs

Understand and test softwareUnderstand and test software

Identify improvementsIdentify improvements

Demonstrate benefitsDemonstrate benefits

Identify key users earlyIdentify key users early

Case StudyCase Study Madison County Dept of Social ServicesMadison County Dept of Social Services

Did a needs assessmentDid a needs assessment Created workflow charts for every processCreated workflow charts for every process Critically examined each activity Critically examined each activity Formed an index with multiple search criteriaFormed an index with multiple search criteria

19 different document types19 different document types

Day forward conversionDay forward conversion Will include electronic forms and RMAWill include electronic forms and RMA Will expand to other offices in the CountyWill expand to other offices in the County

Don’t Blame the MachineDon’t Blame the Machine

Documents not always filed to repositoryDocuments not always filed to repository

Inconsistent filingInconsistent filing

Poor RM practices transferred to ECMSPoor RM practices transferred to ECMS

ECMS Does NOTECMS Does NOT

Preserve informationPreserve information

Ensure accuracy of record contentEnsure accuracy of record content

Migrate electronic dataMigrate electronic data

Preservation OptionsPreservation Options

MigrationMigration

Standard formatsStandard formats

Refreshing storage mediaRefreshing storage media

Advantages for YouAdvantages for You

Controls growth of recordsControls growth of records

Can help ensure regulatory complianceCan help ensure regulatory compliance

Supports litigationSupports litigation

Safeguards vital informationSafeguards vital information

Manages electronic archivesManages electronic archives

Advantages for EveryoneAdvantages for Everyone Reduces operating costsReduces operating costs

Improves Improves

efficiency and productivity efficiency and productivity

decision makingdecision making

customer servicecustomer service

Fosters professional business Fosters professional business

managementmanagement

Last Words of Advice…Last Words of Advice…

Internal supportInternal support AnalysisAnalysis Request for proposalRequest for proposal State contracts forState contracts for

Integrators, hardware and softwareIntegrators, hardware and software

Grant support from State ArchivesGrant support from State Archives

Thank you for comingThank you for coming

Final Questions?Final Questions?

Please fill out Evaluation FormPlease fill out Evaluation Form