IS YOUR DISTRICT PREPARED FOR ELECTRONIC DOCUMENT ARCHIVING & STORAGE?

IS YOUR DISTRICT PREPARED FOR ELECTRONIC DOCUMENT ARCHIVING & STORAGE? Presented by: Lee Pietrowski, Partner, Imagetec Doc Ballje, Solutions Manager, Imagetec

WHERE DO I START? • Choose a system that will fit your environment. • On-Site system -Will require servers, software, backup, IT maintains software and updates, access available within network. • SaaS (software as a service) – Cloud based system that requires no hardware, updates automatically, access from anywhere via web. (75% of IT Budgets are spent on maintaining software)

ON-SITE SYSTEM INPUT AND ACCESS With an on-site system your IT staff will have to create a portal if you would like access outside of your network via web access. Many IT departments do not like this as it is a possible security risk. If your network goes down you will not have access.

SaaS CLOUD BASED SYSTEM With a cloud based system you will have access via the web for all mobile devices without creating a portal. This is the most secure. With a cloud based system you can still access if your network or power is down. This is invaluable if a disaster were to happen.

BENEFITS OF ARCHIVING AND WORKFLOW With a structured archiving system documents can easily be found reducing valuable time looking in file cabinets. Add a workflow process to streamline the approval process. This is helpful with State Auditors and FOIA requests.

SETTING UP A DIRECTORY Your directory is going to be one of the most important steps in structuring a successful implementation. You should collaborate with all your departments on how they would like it structured.

FOLDER EXAMPLE FOR DIRECTORY Make your directory easy to use with sub-directories. You can make as many sub –directories as you wish.

INPUT DEVICES • Scanners • MFP’s (copiers)* • Electronic (e-mail or other electronic information) • Fax’s • Mobile Devices * Some MFP manufacturers can actually download your directory on the unit to scan directly into a file.

SCANNING MY OLD DOCUMENTS • HAVING A COMPANY DO IT – There are companies that will either come to your facility or pick up the documents and bring back to there facility. This is very costly and you also have to think about the security of the documents. • HIRE A PART TIME COLLEGE STUDENT – This is the most cost efficient way. Also, all your documents will not have to be scanned immediately.

SCANNING OLD DOCUMENTS Using a barcode system can help in speeding up the input of old paper documents. This can be set up to batch scan documents into a folder in a specific directory.

HOW MUCH SPACE WILL I NEED Storage space is not costly today but if you are going to implement a SaaS solution you will need to know how many Gigabits you will want to start with. You can purchase more space at anytime.

Enterprise Content Management Component Overview Don “Doc” Ballje, CDIA+ IT Solutions Engineer Imagetec, L.P. dballje@imagetec.com

ECM Components • Design • Metadata • Integration • Capture • Indexing • Storage • Retrieval • Distribution • Security • Workflow • Collaboration • Versioning • Publishing • Retention

Metadata - “Data About Other Data" • Metadata is typically stored for each document. Metadata may, for example, include the date the document was stored and the identity of the user storing it. • ECM Systems may extract metadata from the document automatically or prompt the user to add metadata. • Some ECM systems also use optical character recognition on scanned images, or perform text extraction on electronic documents. The resulting extracted text can be used to assist users in locating documents by identifying probable keywords or providing for full text search capability, or can be used on its own. Extracted text can also be stored as a component of metadata, stored with the image, or separately as a source for searching document collections.

Integration • Many ECM systems attempt to integrate document management directly into other applications so that users may retrieve existing documents directly from the document management system repository, make changes, and save the changed document back to the repository as a new version, all without leaving the application. • Such integration is commonly available for office suites and e-mail or collaboration/groupware software. Integration often uses open standards such as ODMA, LDAP, WebDAV and SOAP to allow integration with other software and compliance with internal controls.

Capture, Indexing, Storage • Capture - Imaging of paper documents using scanners or multifunction printers. Optical character recognition (OCR) software is often used, whether integrated into the hardware or as stand-alone software, converts digital images into machine readable text. • Indexing - Track electronic documents. Indexing may be as simple tracking unique document identifiers but often takes a more complex form providing classification through the documents' metadata or through word indices extracted from the documents' contents. Indexing exists mainly to support retrieval. • Storage - Store electronic documents. Storage of documents often includes management of the documents, where they are stored, for how long, migration of the documents from one storage media to another (hierarchical storage management), and eventual document destruction.

Retrieval • Retrieval in the electronic context can be quite complex. Simple retrieval of individual documents can be supported by allowing the user to specify a unique document identifier using a basic index (or a non-indexed query on a data store) to retrieve the document. • More flexible retrieval allows the user to specify partial search terms involving the document identifier and/or parts of the expected metadata. This would typically return a list of documents which match the user's search terms. • Some ECM systems provide the capability to specify a Boolean expression containing multiple keywords or example phrases expected to exist within the documents' contents. Queries of this type may be supported by previously built indices or may be performed by more time consuming searches through the documents' contents to return a list of the potentially relevant documents.

Distribution and Security • Distribution A published document for distribution must be in a format that can not be easily altered. As a common practice in law regulated industries, an original master copy of the document is rarely used other than for archiving. If a document is to be distributed electronically in a regulatory environment, the equipment tasking the job must be quality endorsed AND validated. Similarly endorsed electronic distribution carriers must also be used. This approach also applies to the systems by which the document is to be inter-exchanged. • Security Document security is vital in many document management applications. Compliance requirements for certain documents can be quite complex depending on the type of documents. Health Insurance Portability and Accountability Act (HIPAA) requirements dictate that medical documents have certain security requirements. Some ECM systems have rights management modules allowing an administrator to grant access to documents to only certain people or groups of people.

Workflow • There are different types of workflow. Usage depends on the environment and the ECM it is applied to. • Manual workflow requires a user to view the document and decide who to send it to. • Rules-based workflow allows an administrator to create a rule that dictates the flow of the document through an organization: for instance, an invoice passes through an approval process and then is routed to the accounts payable department. • Dynamic workflow allows for branches to be created in a workflow process. A simple example would be to enter an invoice amount if the amount is lower than a certain set amount so that it follows different routes through the organization.

Collaboration, Versioning, Publishing • Collaboration should be inherent to any ECM. Documents should be retrievable and modifiable by any authorized user. Access should be blocked to other users while work is being performed on a document during collaboration. • Versioning is a process by which documents are checked in or out of the document management system allowing users to retrieve previous versions of documents and to continue work on them from a selected point in time. Versioning is useful for documents that change over time and require updating, but may be require reversion to a previous copy. • Publishing a document is sometimes tedious and involves proofreading, peer or public reviewing, authorizing, printing and approving. In law regulated industries, some of the procedures have to be completed with the evidences of their corresponding signatures and the dates on which the document is signed.

PICKING A VENDOR • Integrity of the company • Local Support (valuable if they have to be on-site) • Set up – is it a webinar where you do the installation or does a solutions person come on-site. • What is the cost for a person to come on-site • Does the Representative know the education market so that they can help with ideas on the directory structure.

PICKING A VENDOR • Do they have the capability to download the directory software directly on my MFP or does it scan to a file folder which my staff have to access and then store. • How many users licenses do I have to purchase and are they concurrent. • Make sure that the system is not just a PDF search system whereas you place all documents into a folder and search by name.

PICKING A VENDOR • Find out how backups are done and how they are given to you. • Make sure that the system can grow with your needs and is not a fixed system with fixed storage. • Ask if the system has workflow capabilities. • Ask about redundancy on cloud based systems. How many vaults they have nationally.

THANK YOU Lee Pietrowski, Partner, Imagetec L.P. lpietrowski@imagetec.com Doc Ballje, Solutions Manager, Imagetec L.P. dballje@imagetec.com

IS YOUR DISTRICT PREPARED FOR ELECTRONIC DOCUMENT ARCHIVING & STORAGE?