1 EDMS 101 Speaker: Monica Crocker, DHS EDMS Coordinator Overview of current project(s) Objective of this section: This session outlines EDMS fundamentals. Topics covered include: EDMS terms and technologies; how to leverage metadata standards; how to address legal admissibility questions; how to ensure retention schedule compliance; how to implement a solution; and how to meet archival requirements.

2 Definitions (see Attachment A) Electronic Document Management Includes imaging and other electronic records, such as , desktop productivity tools, shared folders, web publishing, etc. Enterprise Content Management “the technologies used to create, capture, customize, deliver and manage enterprise content to support business processes”

3 Records Mgmt and ECM Records Mgmt Goal Providing the right information to the right person at the right time at the lowest possible cost. ECM Goal Capture, manage, store, preserve and deliver content and documents related to org processes. Allow the mgmt of org’s unstructured info, wherever that info exists.

4 Legality of EDMS Multiple Statutes: Uniform Electronic Transactions Act, Best Evidence Act, Mn Statutes re: Gov’t records, Sarbanes-Oxley, Data Practices, HIPAA Key to defensibility: consistency and documentation Electronic records offer greater accountability than paper Cost Justification can help address legal concerns –Cost of non-compliance –Decreased cost of handing a discovery request –Cost savings of electronic or digital signatures

5 The Role of Policy Statute provides the RULES EDMS provides the TOOLS Policies, Standards and Guidelines is where the two meet: –Records retention policies – policies/standards/guidelines –Official records standards –Scanning guidelines –Records Hold Guideline

6 Technologies Included Page 1 of 2 (see Attachment B) Imaging/Scanning Document Management (including import) Content Management Electronic Forms Web Content Management Workflow Character Recognition (ICR/OCR)

7 Technologies Included Page 1 of 2 (see Attachment B) Forms Processing Archival Document Storage Electronic Report Management Printing Solutions Storage & Retrieval Security Trimming Knowledge Management

8 Retention Schedule Compliance Differentiate Official Records versus Convenience Copy Differentiate “active” records versus “inactive” records Differentiate “backfile” versus “day forward” Conduct a THOROUGH Records Inventory FIRST

9 Archival Requirements Definition: more than X years or “permanent” Depends on (and may dictate) storage media (CD example) Depends on (and may dictate) file format ( and PDF examples) Tools available –Write documents to microfilm –Migrate documents –Select a long lasting electronic format –All or some combination of the above

10 The Key Role of Metadata (see Attachment C) Metadata=document index values/document properties/data about data or document search criteria (“how you find stuff”) Ideal project starts with a well-defined taxonomy (definitions of indexing terms) Metadata can help comply with records management requirements –By making it easy to identify, locate and manage records

11 Standard EDMS Project Plan COMMUNICATE Identify Project Champion Identify Project Steering Committee Gather Requirements Identify Standards Design Solution –Complete BPM/BPR (see slides) –Define Functional Requirements (see slide) –Develop Solution (see slide) Implement Solution (phased approach)

12 Business Process Modeling/ Business Process Redesign Complete Focus Statement Conduct Business Process Modeling Sessions “As is” diagrams, text and sample documents Subject Matter Experts review and approve Draft Design Document with Technical Team Draft “future” diagrams, text

13 BPR Example (before)

14 BPR Example (after) grey=gone bold=done by system

15 Define Functional Requirements Archival of documents created by another system Conversion of existing backfile Capture of day forward documents Automated routing of documents in workflow Reuse of documents for subsequent work Flexible searches

16 Develop Solution File Import Fax Gateway Scanning, including bar code recognition Indexing, including database lookups and full text searching Storage & retrieval of multiple record types Workflow Integration with other system(s)

17 Conclusion A successful, sustainable EDMS program must involve collaboration between records management, information management, IT, and business users. You must have a foundation of policies and standards that are practical and consistently implemented. Update and/or create records retention schedules and follow up with regular, proper disposal of records. Institute on-going education and training for business users at all levels. Build on what others have done!

18 For Additional Information AIIM – ARMA – The Sedona Guidelines – ISO – ANSI – The Minnesota State Archives –