1 edms 101 speaker: monica crocker, dhs edms coordinator overview of current project(s) objective of...
TRANSCRIPT
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.
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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”
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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.
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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
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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
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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)
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Technologies IncludedPage 1 of 2 (see Attachment B)
Forms Processing Archival Document Storage Electronic Report Management Printing Solutions Storage & Retrieval Security Trimming Knowledge Management
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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
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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
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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
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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!