Priscilla Emery - Principal, Information Management IQ Business Group October 29, 2014

1. Introduction to Enterprise Content Management (ECM) • Priscilla Emery - Principal, Information Management • IQ Business Group • October 29, 2014

2. What is ECM? Component technologies Component practices Why consider implementing ECM? Examples: Good and Bad Implications for Court Clerks and Comptrollers Agenda

3. The Big Picture

4. 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

5. COMPONENT TECHNOLOGIES

6. 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

7. The Garage Metaphor Car Tools Garden Tools It’s In There Power and Hand Tools Paint Supplies

8. The Challenge is to Pick the Right Set of Tools or Tool For the Right Job

9. 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

10. 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

11. Electronic Forms • Structured approach to capturing data • Should be device independent Source: Avoka

12. 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.)

13. 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

14. Store • All this information has to go somewhere • Combination of software and hardware

15. 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

16. 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

17. 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.

18. RM is Inextricably Linked with DM Records Management Document Management Event Auditing Version Control Storage/Repository Access Control Search & Retrieval Security

19. 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

20. 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

21. 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.

22. 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.

23. 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.

24. 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.

25. 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?

26. Tools Are Limited • Microfilm. • PDF/A • WORM • Paper??? • Need to have a strategy for migrating electronic assets to newer digital storage as it ages

27. Deliver • Presentation format and delivery mechanisms can vary greatly by application and audience • COLD/ERM. • Enterprise Search • Compression Technologies

28. COMPONENT PRACTICES

29. 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.

30. 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.

31. 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.

32. 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.

33. 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.

34. Business Process Lifecycle Start Source: Rashid M. Khan

35. 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???

36. 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

37. Collin County, Texas, Dallas-Fort Worth • 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.

38. 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

39. 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

40. 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

41. 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.

42. 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.

43. Smart Employees Hate Stupid Procedures • Don’t create arcane and impossibly complicated procedures • Enforcement should be consistently applied when needed • Make systems non-invasive

44. 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

45. 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.

46. Any Questions?

47. Priscilla Emery E-Mail: pemery@iqbginc.com pemery@ecmscope.com www.iqbginc.com