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 email, 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– Email policies/standards/guidelines– Official records standards– Scanning guidelines– Records Hold Guideline

6

Technologies IncludedPage 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 IncludedPage 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 (email

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)

S7

SupervisorE-mail or phone callregarding FMLA

S1

Employee

E-mail or phone call

or personal contact

regarding FMLA

1.0Determine

FMLA eligibil i ty(Benefit Call

Center)

DS2 SEMA4

Employeeinformation

DailyTime

TrackingReport

Determinedineligiblefor FMLA

2.0Complete Denial

Letter(Benefit Call

Center)

Blank Denial Letter

3.0Send e-mail toemployee withattached Denial

Letter; CCSupervisor(Benefit Call

Center)

CompletedDenial Letter

Determinedeligible

for FMLA

4.0Send e-mail withattached FMLAdocuments for

Supervisor to give toemployee

(Benefit CallCenter)

Sent e-mailwith attached

FMLA documents

1768 -EmployeeActionsSection

S7

Supervisor

S1

Employee

Sent e-mailwith

attachedDenial Letter

ForwardedFMLA documents

Completed Memosent by e-mail

5.0Print

SupervisorMemo

(Benefit CallCenter)

DS6FMLA Open

FilePrinted Supervisor Memo

7.0Date-stamp

forms(Kathy, Susan,

Alexis)

8.0Place forms in

Benefit Call Centermailbox

(Kathy, Susan,Alexis)

PlacedCertification

ofHealth Care

Provider Formfor BCC

DS5Benefit Call

Centermailbox

9.1Put forms in

FMLA Open File(Benefit Call

Center)

Mailed orfaxed

Certification ofHealth Care

Provider Form

SignedInsurance Premium

RecoveryAuthorization

Form sent by mail

Date-stampedInsurance Premium

RecoveryAuthorization

Form

Date-stampedCertification

ofHealth Care

Provider FormPlaced

Insurance PremiumRecovery

AuthorizationForm for BCC

PlacedInsurance Premium

RecoveryAuthorizationForm for BCC

PlacedCertification

ofHealth Care

Provider Formfor BCC

S22

FMLA Login Excel

10.0Review FMLAOpen File forleave activity(Benefit Call

Center)

DS6 FMLAOpen File

Leaveactivity

information

Sufficient

balances

Lowbalance

s

11.0Remind

Supervisor by e-mail to send 1768

(Benefit CallCenter

RemindedSuperviso

r

S7

Supervisor

Sent1768

12.0Review

for completion(Benefit Call

Center)

Call aboutincomplete

1768

Complete1768

13.0Enter leave of

absence inSEMA4

(Benefit CallCenter)

Entered1768

DS2 SEMA4

Leave ofabsence

information

14.0Put 1768 inFMLA Open

File(Benefit Call

Center)

1768 inFMLAOpenFile

6.0Record

employee nameand unit number

in FMLA Log(Benefit Call

Center)

Mid-morningand mid-

afternoonmail deliveries

S24

Denial Letterin Word

15.0Pull medical

documentationfrom FMLAOpen File

(Benefit CallCenter)

Notificationof

employee’sreturn date

Employeereturns to

work

Employeeexhausts

FMLAhours

DS6 FMLAOpen File

Medicaldocumentation

S23

Medicaldocumentation

fi les

16.0Place

non-medicaldocumentation in

“To Be Filed”bin

(Benefit CallCenter)

DS1“To Be

Filed” bin

17.0File

non-medicaldocumentation in

personnel fi le(Susan and

Alexis)

Filednon-medical

documentation

S3

File Room:Lektriever

CompletedFMLA

18.0Remove

employeeinformation from

FMLA Log(Benefit Call

Center)

Removedemployee information

S22

FMLA Login Excel

Medicaldocumentation

Non-medicaldocumentation

Placednon-medical

documentation

Placednon-medical

documentationPlaced

InsurancePremium

RecoveryAuthorization

Form forFMLA Open

File

PlacedCertification of

Health CareProvider Form

for FMLA Open File

Employeename and

unitnumber

Updateddoctors

information(extended

leave)

Employeename and

ID#

1768 forFMLA-related

Leave ofAbsence

Denial Letter

9.0E-mailPayroll

(Benefit CallCenter)

S8

PayrollE-mail

Insurance PremiumRecovery

AuthorizationForm

Certificationof

Health CareProvider Form

TimeTrackingReport

4.1Create

FMLA file(Benefit Call

Center)

Created FMLA fi le

10.1Request

doctor’s note(Benefit Call

Center)Later returndate

Requestfor note

S9

Doctor

Doctor’snote

14

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

S7

SupervisorE-mail or phone callregarding FMLA

S1

Employee

E-mail or phone call

or personal contact

regarding FMLA

1.0Determine

FMLA eligibil ity(Benefit Call

Center)

DS2 SEMA4

Employeeinformation

DailyTime

TrackingReport

Determinedineligiblefor FMLA

2.0Complete Denial

Letter(Benefit Call

Center)

Blank Denial Letter

3.0Send e-mail toemployee withattached Denial

Letter; CCSupervisor(Benefit Call

Center)

CompletedDenial Letter

Determinedeligible

for FMLA

4.0Send e-mail withattached FMLAdocuments for

Supervisor to give toemployee

(Benefit CallCenter)

Sent e-mailwith attached

FMLA documents

1768 -EmployeeActionsSection

S7

Supervisor

S1

Employee

Sent e-mailwith

attachedDenial Letter

ForwardedFMLA documents

Completed Memosent by e-mail

5.0Print

SupervisorMemo

(Benefit CallCenter)

Printed Supervisor Memo

7.0Date-stamp

forms(Kathy, Susan,

Alexis)

8.0Place forms in

Benefit Call Centermailbox

(Kathy, Susan,Alexis)

PlacedCertification

ofHealth Care

Provider Formfor BCC

DS5Benefit Call

Centermailbox

9.1Put forms in

FMLA Open File(Benefit Call

Center)

Mailed orfaxed

Certification ofHealth Care

Provider Form

SignedInsurance Premium

RecoveryAuthorization

Form sent by mail

Date-stampedInsurance Premium

RecoveryAuthorization

Form

Date-stampedCertification

ofHealth Care

Provider FormPlaced

Insurance PremiumRecovery

AuthorizationForm for BCC

PlacedInsurance Premium

RecoveryAuthorizationForm for BCC

PlacedCertification

ofHealth Care

Provider Formfor BCC

PlacedCertification

ofHealth Care

Provider Formfor FMLA Open File

S22

FileNET

10.0Review FMLAOpen File forleave activity(Benefit Call

Center)

DS6FMLA

Open File

Leaveactivity

information

Sufficient

balances

Lowbalance

s

11.0Remind

Supervisor by e-mail to send 1768

(Benefit CallCenter

RemindedSuperviso

r

S7

Supervisor

Sent1768

12.0Review

for completion(Benefit Call

Center)

Call aboutincomplete

1768

Complete1768

13.0Enter leave of

absence inSEMA4

(Benefit CallCenter)

Entered1768

DS2 SEMA4

Leave ofabsence

information

14.0Put 1768 inFMLA Open

File(Benefit Call

Center)

1768 inFMLAOpenFile

6.0Record

employee nameand unit number

in FMLA Log(Benefit Call

Center)

Mid-morningand mid-afternoon

mail deliveries

S24

Denial Letterin Word

15.0Pull medical

documentationfrom FMLAOpen File

(Benefit CallCenter)

Notificationof

employee’sreturn date

Employeereturns to

work

Employeeexhausts

FMLAhours

DS6 FileNET

Medicaldocumentation

S23

FileNET

16.0Place

non-medicaldocumentation in

“To Be Filed”bin

(Benefit CallCenter)

DS1 FileNET

17.0File

non-medicaldocumentation in

personnel fi le(Susan and

Alexis)

Filednon-medical

documentation

S3

FileNET

CompletedFMLA

18.0Remove

employeeinformation from

FMLA Log(Benefit Call

Center)

Removedemployee information

S22

FileNET

Medicaldocumentation

Non-medicaldocumentation

Placednon-medical

documentation

Placednon-medical

documentation

PlacedInsurancePremium

RecoveryAuthorization

Form forFMLA Open

File

Employeename and

unitnumber

Updateddoctors

information(extended

leave)

Employeename and

ID#

1768 forFMLA-related

Leave ofAbsence

Denial Letter

9.0E-mailPayroll

(Benefit CallCenter)

S8

PayrollE-mail

Insurance PremiumRecovery

AuthorizationForm

Certificationof

Health CareProvider Form

TimeTrackingReport

4.1Create

FMLA file(Benefit Call

Center)

Created FMLA fi le

10.1Request

doctor’s note(Benefit Call

Center)Later returndate

Requestfor note

S9

Doctor

Doctor’snote

DS6 FileNET

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

– www.aiim.org ARMA

– www.arma.org The Sedona Guidelines

– www.thesedonaconference.org ISO

– www.iso.org ANSI

– www.ansi.org The Minnesota State Archives

– http://www.mnhs.org/preserve/records/index.html