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Priscilla Emery - Principal, Information Management
IQ Business Group
October 29, 2014
Introduction to Enterprise Content
Management (ECM)
Agenda
• What is ECM?
• Component technologies
• Component practices
• Why consider implementing ECM?
• Examples: Good and Bad
• Implications for Court Clerks and Comptrollers
The Big Picture
What is ECM?
• The technologies, tools, and methods used to capture,
manage, store, preserve, and deliver “content” or
“information” across an enterprise or organization
• At the most basic level, ECM tools and strategies allow the
management of an organization’s unstructured
information, wherever that information exists.
• Unstructured information means letters, e-mails, reports,
etc., as opposed to databases or accounting systems,
which contain “structured” information.
Source: AIIM
COMPONENT
TECHNOLOGIES
Typical ECM Toolbox
Web Content Management
Document Management
Imaging
Capture Technologies
Scanning
Forms Processing & Recognition
Business Process Management / Workflow
Business Intelligence and Analytics
Storage Management
Records Management
The Garage Metaphor
Car Tools
Garden Tools
Power and
Hand Tools Paint Supplies
It’s In There
The Challenge is to
Pick the Right Set of
Tools or Tool For the
Right Job
Capture
• It's not just about scanning and imaging
• It is all about input
• It's how you capture all kinds of content
• Scanners
• Web content, Sites, Wikis, Blogs
• Electronic Docs - Microsoft Word, Excel, et.al., PDF/A
• Barcodes, QR codes - scanners, readers, mobile devices
• Photos- scanners, cameras/SD cards, mobile
• Geographic Information - Maps
• Paper / Microfilm / Microfiche
Making / Keeping Documents Searchable
• Sometimes an Image is Not Enough
• Recognition Technologies
• Optical Character Recognition (OCR)
• Intelligent Character Recognition (ICR)
• Optical Mark Recognition (OMR)
• Magnetic Ink Character Recognition (MICR)
• Sometimes An Image Is All You Get
• Photos
Electronic Forms
• Structured approach to capturing data
• Should be device independent
Source: Avoka
Metadata Capture
• Quality metadata capture is extremely important further
down the line
• Data about the data
• Who, what, when, where, and how of an electronic
document
• Author, date created, last accessed, alteration dates,
etc.
• Availability of metadata depends on the properties of the
file type (i.e. MS Office, E-mail, WordPerfect, graphic files,
Web addresses, etc.)
Classification
• Random placement is NOT a good idea
• Taxonomy is the science of classification according to a
pre-determined system, with the resulting catalog used to
provide a conceptual framework for discussion, analysis,
or information retrieval.
• In the vernacular, organizing documents, web pages, and
other content into logical groupings based on their
contents.
• This leads to indexing
Store
• All this information has to go somewhere
• Combination of software and hardware
Lots of Storage HW Options Available
• Storage Area Network (SAN): High speed network, connecting
computer systems and storage resources
• Network Attached Storage (NAS): Hard disk storage directly attached
to a network rather than through a computer
• Magneto-Optical (MO):Recording data using a combo of magnetic and
optical techniques to change the polarity of a magnetic field in the
recording medium. Data is erasable
• DVD / CD-ROM / Optical Disc
• Tape
• Magnetic Storage
• Redundant Array of Independent Disks (RAID): Storing the same data
on multiple hard disks for improved performance and fault tolerance
Document Repositories
• Library Services
• Version Control: Means of tracking document author(s)
and tracking multiple versions of a single document
• Check in / Check out: Ensures that only one person can
work on a document at any time
• Search / Retrieval
• Audit Trail: a log of who changed what and when –
supports accountability
Manage
• Document Management System is a software platform that
controls and organizes documents throughout an
enterprise.
• It incorporates document and content capture, workflow,
document repositories, output systems, and information
retrieval systems.
• Mostly all electronic records management systems require
a document management platform but not all document
management systems support the management of
records.
RM is Inextricably Linked with DM
Retention & Disposition
Physical and Electronic
Classification
Hold Management
Circulation
Workflow
Project /Team Collaboration
Notifications
Discussions
Event Auditing
Version Control
Storage/Repository
Access Control
Search & Retrieval
Security
Records Management Document Management
Classification and Organization
An Important First Step
• Essential component for Document Management
• Classification according to a pre-determined system
• Resulting catalog used to provide a conceptual
framework for analysis and information retrieval
• May need to rationalize different internal classification
schemes
Encouraging Collaboration While
Avoiding Chaos • Classification plays a key role in making DM
implementation successful.
• Still want to encourage users to work on the same content
within the same environment.
• Prevents document loss during the production of
information
Web Content Management
• Technology that supports the content creation, review,
approval, and publishing of web-based content combining
it with styles and templates.
• Supports the publishing workflow model using standard
document management techniques and web-based
architectures.
Workflow
• Should not be confused with Business Process
Management, which is a business practice.
• Automation of business processes, in whole or in part,
where documents (usually electronic), information, or
tasks are passed from one participant to another for
action, according to a set of rules.
Digital Asset Management (DAM)
• Allows an enterprise to digitize, log, store, manage, track
and distribute high volumes of rich media through multiple
channels, such as video, audio and images.
• Principally used by media outlets, e.g. TV networks,
publishing houses, magazines, etc.
• Can be used by other industries but typically gets
confused with document management systems.
Preserve • Long-term, error-free storage of digital information, with means for
retrieval and interpretation, for the entire time span the information is
required for.
• Long-term is defined as "long enough to be concerned with the
impacts of changing technologies, including support for new media
and data formats, or with a changing user community.
• Digital preservation is seen as the set of processes and activities that
ensure continued access to information and all kinds of records,
scientific and cultural heritage existing in digital formats.
• This includes the preservation of materials resulting from digital
reformatting, but particularly information that is born-digital and has no
analog counterpart.
Speed of Digital Obsolescence is
Increasing
• When a software or decoding technology is abandoned,
or a hardware device is no longer in production, records
created with such technologies are at great risk of loss,
simply because they are no longer accessible
• Are you Still Using Word 3.0?
• Do you have Digital Records that were created with
Word 3.0?
Tools Are Limited • Microfilm.
• PDF/A
• WORM
• Paper???
• Need to have a strategy for migrating electronic assets to newer digital
storage as it ages
Deliver
• Presentation format and delivery mechanisms can vary
greatly by application and audience
• COLD/ERM.
• Enterprise Search
• Compression Technologies
COMPONENT PRACTICES
Outsourcing
• Can be done for all or for certain parts of the ECM
application
• Using the cloud is becoming more practical than before
but still need to consider issues of data sovereignty and
security.
Business Process Management
(BPM) • A systematic approach to improving an organization’s
business processes.
• BPM activities seek to make business processes more
effective, more efficient, and more capable of adapting to
an ever-changing environment
• A business process is a set of coordinated tasks and
activities, conducted by both people and equipment that
will lead to accomplishing a specific organizational goal.
BPM is not…
• The automation of manual tasks
• Re-engineering the Enterprise
• Change Management
• Six Sigma
• A management methodology
• Workflow or BPM technology
But the techniques and tools can be used to
support any of these …. if you want them to.
Principles of BPM
• Organize around outcomes not tasks
• Correct and improve processes before (potentially)
automating them.
• Establish processes and assign ownership
• Standardize processes across the enterprise
• Enable continuous change
• Improve existing processes, rather than build radically
new or “perfect” processes.
What is a Business Process?
• A business process is a set of coordinated tasks
and activities, conducted by both people and
equipment that will lead to accomplishing a
specific organizational goal.
• Documents and records exist to support business
processes – not the other way around.
Business Process Lifecycle
Continuous Improvement
Model
Automate
Change
Manage
Optimize
Source: Rashid M. Khan
Start
ECM - What Is It Good For? • Improved efficiency
• Reduced cost
• Satisfy statutory and regulatory compliance requirements
• Tracking work activities associated with accessing info
• Improved financial performance
• Competitive differentiation – enhanced revenue
• Typical Business Applications
• Accounting
• Customer Service
• Insurance Adjudication
• Pharmaceutical Research Regulatory Compliance
• Land Records Archives
• Court Records Archives???
Benefits of Using ECM to Manage
Electronic Records • Improved Business Processing
• Can drive down cost
• Can drive up revenue
• Can reduce time to market or respond to customer
• Reduced cost to maintain a physical archive
• Staff costs: Filing Room, Mailing Room, others
• Floor Space
• Reduce Call-backs – reduced telephone costs
• Disposal or recycling of furniture and/or storage boxes.
• Consumables
• Situation: The County saw its population increase nearly 50%—from nearly 500,000 in 2000 to 725,000 by 2007—straining the county’s infrastructure. Needed to improve efficiency and customer service. Needed to reduce paper and microfilm records volume.
• Solution: Installed Laserfiche for three reasons:
Scalability and extensibility Laserfiche Toolkit, for integrating Laserfiche with existing and planned software applications Records Management Edition (RME), in order to manage retention for electronic documents.
• Benefits: 300 hours of staff time saved annually in the Auditor’s accounts payable office. Reduction in volume of file folders and labels formerly used to place each paper copy of a check and the backup into a separate folder on Auditor departmental shelving. 10 days (per payment) saved by eliminating paper payment processing in the Tax Assessor/ Collector’s Office 400 records storage boxes eliminated in the Tax Assessor’s Office.
Collin County, Texas, Dallas-Fort Worth
Court-related Installations
• Kern County Superior Court – California – Laserfiche
• Convert Microfiche to Imaging
• Over 300 users County wide
• Eliminated 40,000 records from records room
• Better information sharing county-wide. Scan once – share among
many
• Florida 13th Judicial District – Florida – Xerox Docushare
• Integration with SharePoint as Portal
• 3,000 hours of filing time saved and 48,000 copies reduced in about a
year
• Scan to e-mail, scan to FAX, etc.
• Saves time processing court orders
• Better security and disaster recovery features to preserve record
What Can Derail a Project?
• Underestimating process and organizational
issues
• Project derailed by internal politics
• Lack of knowledge or training among internal
staff
• Uneven usage due to poor procedures and lack
of enforcement
Underestimating Process and
Organizational Issues • Change is Inevitable – But Not
Without a Fight
• What’s In it For the Employee or
Department
• The KISS principle still applies
• Get perspective not just from
supervisors but with the troops in
the trenches
Project Derailed by Internal Politics
• Controlling information is power to some people
• Recognize that political issues within
organizations do exist
• Don’t try to be “above all that” and ignore them.
Lack of Knowledge or Training
• Everyone Says They Want It But:
• No one wants to pay for it
• No one wants to take time from their busy day
to do it
• Create processes that demand minimal change
to current business routine
• Create Employee accountability – link training to
objectives.
Smart Employees Hate Stupid
Procedures
• Don’t create arcane and impossibly
complicated procedures
• Enforcement should be consistently applied
when needed
• Make systems non-invasive
Change Management & Training
• Very few people enjoy change.
• Ease of use makes compliance more likely.
• Employee training is critical – Routinely – Not
just once.
• Employee accountability – link to objectives.
Also incorporate internal checks and balances
for oversight.
• Continually market program
Implications For Court Clerks and
Controllers
• Are your paper-based processes suited to migration to
ECM?
• Will BPM practices need to be applied to utilize ECM
effectively?
• Will implementation outcomes be measurable?
• Are you doing work now that can isn’t measured but could
be reduced (or eliminated) through the use of ECM
technologies?
• ECM is not a fad - it is a fact and can provide increased
productivity and cost savings for the right applications.
Any Questions?
