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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
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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
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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
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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
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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
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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
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What is Needed?What is Needed? ECM softwareECM software
Networked PCsNetworked PCs
ServerServer
ScannerScanner
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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
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ECMS FunctionsECMS Functions CaptureCapture
ManageManage
StoreStore
DeliverDeliver
DisposeDispose
Manage E-MailManage E-Mail
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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
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Document Capture in ECMSDocument Capture in ECMS
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ManageManage
IndexIndex
Create metadataCreate metadata
Monitor and controlMonitor and control
Revise Revise
WorkflowWorkflow
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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
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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
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Monitor and ControlMonitor and Control
Work statusWork status
Audit trailsAudit trails
AlarmsAlarms
Automated work balancingAutomated work balancing
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Audit TrailsAudit Trails
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ReviseRevise
Version controlVersion control
Identifies final draftsIdentifies final drafts
Maintains earlier draftsMaintains earlier drafts
Document annotationDocument annotation
““Sticky notes”Sticky notes”
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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
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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
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StoreStore
Follows and maintains indexFollows and maintains index
Saves files to serverSaves files to server
Saves backups to offline storageSaves backups to offline storage
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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)
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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
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Search Window in an ECMSSearch Window in an ECMS
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SecureSecure Provide access controls at levelsProvide access controls at levels
RepositoryRepository FolderFolder DocumentDocument PagePage
Redact documentsRedact documents Audit TrailsAudit Trails Web accessWeb access
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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
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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
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Email ManagementEmail Management
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Problems with an ECMSProblems with an ECMS
ExpensiveExpensive
Strong IT supportStrong IT support
Significant trainingSignificant training
Large cultural changeLarge cultural change
Process changesProcess changes
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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
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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
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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
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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)
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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
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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
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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
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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
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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
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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
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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
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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
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ECMS Does NOTECMS Does NOT
Preserve informationPreserve information
Ensure accuracy of record contentEnsure accuracy of record content
Migrate electronic dataMigrate electronic data
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Preservation OptionsPreservation Options
MigrationMigration
Standard formatsStandard formats
Refreshing storage mediaRefreshing storage media
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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
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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
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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
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Thank you for comingThank you for coming
Final Questions?Final Questions?
Please fill out Evaluation FormPlease fill out Evaluation Form