From ISO to Implementation A framework for ECM Implementation

From ISO to Implementation A framework for ECM

Implementation

George BroadbentDirector Enterprise Solutions, Entium Technology Partners

Education Code: TR1-1315

Learning Objectives

Upon completion of this session, participants will be able to:– Identify the ISO standards that have a direct and

measurable impact on their ECM program implementation

– Map their overall ECM system implementation and develop an implementation plan for their organization

Learning Objectives

Upon completion of this session, participants will be able to:– Discuss with corporate management how their RM

program interconnects with ECM and substantiate their analysis

– Analyze their existing environment and determine where additional information needs to be gathered or where processes need to be improved for their RM/ECM projects

Session Outline

• Definitions – ISO and ECM

• ISO Standards – Who is ISO?

• ECM Implementation

• ISO Standards that Affect Implementation

Enterprise Content Management

• ECM Includes: – Electronic Content Management – Electronic Records Management– Imaging– Business Process Management– Web Content Management

• Used for Managing Unstructured Data

Enterprise Content Management

Graphics, Video, & Audio

Reports

Photos and Blueprints

Web Content

Documents and Records

Enterprise Applications

eMails

Faxes

Forms

Desktop Applications

Overview of ISO

• ISO - International Organization for Standardization: – Is an international standard-setting body

composed of representatives from various national standards organizations.

– Founded on 23 February 1947, the organization promulgates world-wide industrial and commercial standards.

(source Wikipedia)(source Wikipedia)

Overview of ISO

• Governing body that provides the ability for institutions and individuals to contribute their expertise to a particular topic.

• Standards are developed as ISO XXXXX

(source Wikipedia)(source Wikipedia)

The organization adopted “ISO” based on the Greek word “ἴσος” (isos), which means “equal.”

ISO Standards Used

• ISO 23081 – Information and Documentation -- Records

management processes -- Metadata for records

• ISO 15489 – The Standard for Records Management

• ISO 15836– The Dublin Core metadata element set that deals

with cross-domain information resource description

• ISO 19005-1– For long-term preservation of electronic documents

ISO Standards Used, Cont’d.

• ISO 14721– The OAIS (Open Archival Information System)

standard, which presents models describing digital preservation features and functions

• ISO/TR 18492:2005 – Provides practical methodological guidance for the

long-term preservation and retrieval of authentic electronic document-based information

ISO Standards Used, Cont’d.

• IEC 82045– Technical standard for Document management,

industry-specific versions

• ISO 9001– ISO 9000 requires that records be kept of critical

operations. Record keeping is the fourth tier of required documentation in ISO 9000, following the Quality Policy Manual, Procedures, and Work Instructions

Benefits of Using a Framework

• Establishes policies and operational procedures

• Furnishes program documentation• Prepares for business continuity• Defines roles and responsibilities• Demonstrates compliance

Framework Components

Putting it Together

Enterprise Classification

Corporate Standards Polices and Procedures

Regulatory

Research

Classification PlanRetention Schedules

Records Management

Program

Strategic Records Improvement

Program

Information Security Program

Holistic Framework for Information Security

Software Requirements

Software Selection

Document Type Classification

Taxonomy and Metadata Hierarchy

Technical Architecture

ECM Program and Software Installation

Business Process Management

Records Management Program


Strategic Records Improvement Program


Enterprise ClassificationCorporate Standards Polices and

Procedures

Regulatory Research

Classification Plan

Retention Schedules


• Establishment of a Records Management Program:– Critical if you know that you are or

will be doing records management in the near future

– Records Management will shape your implementation

– Needs tremendous consideration before implementation

Enterprise Classificati

on

Corporate Standards

Polices and Procedures

Regulatory Research

Classification Plan

Retention

Schedules


Strategic Records

Improvement Program


Holistic Framework for

Information Security


Softwar

e Selectio

n

Document Type

Classification


Technical Architectur

e

ECM Program

and Software

Installation

Business Process

Management

Strategic Records Program

• The program consists of:– People– Policies – Standards and Practices– Technology Infrastructure

• The program oversees records management at all levels within the organization


on

Corporate Standards


Regulatory Research

Classification Plan

Retention

Schedules


Strategic Records

Improvement Program





Softwar

e Selectio

n

Document Type

Classification



e

ECM Program

and Software

Installation

Business Process

Management

Corporate Policies and Procedures

• Corporate Policies standardize an approach to solving complex issues across the enterprise

• Includes:– E-mail Policy– Instant Messaging Policy– Code of Business Conduct– Corporate Privacy Principles– Information Security Policies


on

Corporate Standards


Regulatory Research

Classification Plan

Retention

Schedules


Strategic Records

Improvement Program





Softwar

e Selectio

n

Document Type

Classification



e

ECM Program

and Software

Installation

Business Process

Management

Classification Plan

• An Analysis of Corporate documents (Paper or Electronic)

• Organized by Themes

• Two to Three Levels Deep


on

Corporate Standards


Regulatory Research

Classification Plan

Retention

Schedules


Strategic Records

Improvement Program





Softwar

e Selectio

n

Document Type

Classification



e

ECM Program

and Software

Installation

Business Process

Management

Retention Schedule

• Builds on the Classification Plan

• Meta Data Assigned:– Relevant Regulations– Retention Period (e.g., 3 yrs)


on

Corporate Standards


Regulatory Research

Classification Plan

Retention

Schedules


Strategic Records

Improvement Program





Softwar

e Selectio

n

Document Type

Classification



e

ECM Program

and Software

Installation

Business Process

Management

Regulatory Research

• United States Code (USC)

• Code of Federal Regulations (CFR)

• State Statutes

• State Administrative Codes

• Title Organization and Nomenclature

• Federal Register and Case Law

• International and Global Considerations

Regulatory Research

ISO 15489 – Regulatory Research

• The regulatory environment consists of:– Statute and case laws, and regulations– sector-specific– specific to records, archives, access,

privacy, evidence, electronic commerce, data protection and information

– Mandatory standards of practice– Voluntary codes of best practice

Regulatory Research

Bring RM and RR Together

• Match up the research with the record series

• Top 10 citations by length of retention period

• Determination of retention periods:– Official Retention Period vs. Working Copy

• Authorization & Endorsement (Sign-off):– Legal Counsel, Tax– Audit, IT

ISO 15489 – Records Management

• This part of ISO 15489:– Covers the management of records, in

all formats or media, created or received

Source: ISO 15489

ISO 15489

• Provides guidance on – determining the responsibilities of organizations for

records and records policies, procedures, systems and processes

– records management in support of a quality process framework to comply with ISO 9001 and ISO 14001

– the design and implementation of a records system• Does not include the management of archival records

within archival institutions

ISO 15489 – Records Management

• Implementation strategies for compliant records systems may include:– Designing and Documenting records systems– Training records practitioners and other personnel– Converting records to new records systems,

formats and controls– Setting standards and measuring compliance and

performance against them– Determining retention periods and making

decisions about records which have continuing value, in keeping with the regulatory environment

ISO 15489

ISO 23081 Meta Data For Records

• How meta data is used in the context of ISO 15489

• Records Management Meta Data is used to:– Identify– Authenticate– Contextualize records– And the people, processes and systems

that• Create, Manage, Maintain and use them

and the policies that govern them

ISO 23081


• Key Sections of the Standards:

– Section 5 - Purposes of Records Management Metadata

• Assessment of meta data to be collected

– Section 6 - Roles and Responsibilities• Identify who has specific responsibility for

collection of meta data information

ISO 23081


– Section 7 - Records Management Metadata in Relation to Other Metadata Areas• Defines the types of meta data to be

collected• E-business • Preservation• Resource description and discovery• Rights management

– Section 8 - Management of Metadata• Where and when should meta data be

captured and applied

ISO 23081


• Section 9 - Meta Data Components – Metadata about the record itself– Metadata about the business rules or

policies and mandates– Metadata about agents– Metadata about business activities or

processes– Metadata about records management

processes– Metadata about the metadata record

ISO 23081

ISO 15836 – Dublin Core

• Meta Data Standards

• Cross Domain Information Resource Descriptions

• Consists of 15 Elements (tags)

ISO 15836

LanguageLanguageRelationRelationCoverageCoverageRightsRights

TypeTypeFormatFormatIdentifierIdentifierSourceSource

DescriptionDescriptionPublisherPublisherContributorContributorDateDate

TitleTitleCreatorCreatorSubjectSubject

Security Program




• Establishes the policies for how information is accessed

• Used in the taxonomy and classification plans to determine who can see what

• Governs the accessibility of information

• Should be a dialog – not a one way conversation


on

Corporate Standards


Regulatory Research

Classification Plan

Retention

Schedules


Strategic Records

Improvement Program





Softwar

e Selectio

n

Document Type

Classification



e

ECM Program

and Software

Installation

Business Process

Management

ISO 17799 – Information Security

• Conduct Risk Assessments• Establish a Security Policy• Compile an Asset Inventory• Define Accountability• Address Physical Security• Document Operating Procedures• Determine Access Controls• Coordinate Business Continuity• Demonstrate Compliance

ISO 17799

ISO 18492:2005 Long-Term Preservation

• Ensures the long term preservation of electronic documents

• Archival and Retrieval Strategy

ISO 18492:2005

ISO 18492:2005 Long-Term Preservation

• Key Sections: – Section 5 - Long-Term Preservation

• Objectives of your long term archival strategy

– Section 6 - Elements of a Long-Term Preservation Strategy

• Addresses Media renewal, Metadata and migration of electronic documents

– Section 7 - Developing a Long-Term Preservation Strategy

• Development of a preservation policy, quality control, security and monitoring

ISO 18492:2005

IS Holistic Corporate Framework

• A Balance Between the Need for Information to be:– Free and Secure– Available (Short Term and

Long)


on

Corporate Standards


Regulatory Research

Classification Plan

Retention

Schedules


Strategic Records

Improvement Program





Softwar

e Selectio

n

Document Type

Classification



e

ECM Program

and Software

Installation

Business Process

Management



Software Selection


• Outline everything related to Data Management and Records Management– Version Control– Workflow (simple and advanced)– Classification– Records Management– System Requirements– Office Integration (MS Office, Lotus)– Imaging– Reporting– Company Background


on

Corporate Standards


Regulatory Research

Classification Plan

Retention

Schedules


Strategic Records

Improvement Program





Softwar

e Selectio

n

Document Type

Classification



e

ECM Program

and Software

Installation

Business Process

Management


• Feature Comparison• Weighting of Requirements• Results in Scores for Each

Category

RMS/DMS Business and Hummingbird Open Text Humbird LivlinkFunctional Requirements Rank Enterprise 2004 Raw

ScoreLivelink RM Raw

ScoreFactor Score Score

3.03.01 Does this RMS/DMS system provide for

management of physical objects (PaperReports, Drawings, Microfilm, Other)?

High RM handles records of any physical or electronic media type. Additionally you can create, categorize, manage and find records from content authoring and e-mail tools,Web browsers, and mobile devices

8 Yes, Livelink Records Management provides the ability to profile and manage any physical record type including paper, reports, drawings, microfilm, boxes, folders, CDs, books, etc. Additional descriptive metadata may be added to further identify and index physical record holdings.physical objects are managed in Livelink records management. Physical Objects are created and managed in the same manner as any object (document) in Livelink.

8

3 24 24

RECORDS AND DOCUMENT MANAGEMENT FUNCTIONALITY

Software Selection

• Establish Your Wish List of Requirements

• Poll Departments for their Requirement

• Develop A Committee– Must have buy in at all levels

• Requirements Matrix– Weight Your Choices– Score and Compare– Final Selection Driven By Metrics


on

Corporate Standards


Regulatory Research

Classification Plan

Retention

Schedules


Strategic Records

Improvement Program





Softwar

e Selectio

n

Document Type

Classification



e

ECM Program

and Software

Installation

Business Process

Management

ISO 14721 – Open Archival Information Systems

• What is it?– Open – reference model is an

open model– Archival – defines the

preservation of information– Information Systems – hardware/

software– Reference Model

• Abstract representation of entities and their relationships

ISO 14721

ECM Implementation



Technical ArchitectureECM Program and Software

Installation

IEC 82045 – Technical Standard For Document Management

• Technical Product Standard

• Standards for Document Management:– Standard Principals– Meta Data Elements– Information Reference Model– Industry Specific Standards (i.e.

construction)

IEC 82045

ISO 9001 – Quality Management Standard

• Continuous Process Improvement:– Best used with workflows in an ECM

environment

• Map Your Processes First

• Review it

• Change the Process (Streamline)

• Build Your Workflow (Last!)

ISO 9001

ISO 19005-1 – Electronic File Format Long Term Preservation

• Document Management Standard:– Long term preservation of information

• Defines the PDF/A File Format

• Framework for the Context and History of a Document

ISO 19005-1


• Document Types:– Drive Profiles (Livelink ECM –

eDOCS)– Determine if Meta Data is Applied

or Captured• Applied Meta Data is Inherited• Captured is obtained at creation

(profile form)

– Have a strong influence on your Taxonomy Structure


on

Corporate Standards


Regulatory Research

Classification Plan

Retention

Schedules


Strategic Records

Improvement Program





Softwar

e Selectio

n

Document Type

Classification



e

ECM Program

and Software

Installation

Business Process

Management

Taxonomy and Meta Data

• Taxonomy is a Hierarchical Collection– Structure (i.e. folders)– Documents

• Contains Meta Data About the Subject and Document


on

Corporate Standards


Regulatory Research

Classification Plan

Retention

Schedules


Strategic Records

Improvement Program





Softwar

e Selectio

n

Document Type

Classification



e

ECM Program

and Software

Installation

Business Process

Management



on

Corporate Standards


Regulatory Research

Classification Plan

Retention

Schedules


Strategic Records

Improvement Program





Softwar

e Selectio

n

Document Type

Classification



e

ECM Program

and Software

Installation

Business Process

Management

ECM Program Implementation

• Confluence of:– Records Management– Security– Taxonomy and File Classification

• Change Management

• User Training– General and Specific


on

Corporate Standards


Regulatory Research

Classification Plan

Retention

Schedules


Strategic Records

Improvement Program





Softwar

e Selectio

n

Document Type

Classification



e

ECM Program

and Software

Installation

Business Process

Management



Business Process Improvement

• Process Mapping– Stakeholder Interviews– Information Sources– Security Issues

• Review it• Map it• Refine it• Build it


on

Corporate Standards


Regulatory Research

Classification Plan

Retention

Schedules


Strategic Records

Improvement Program





Softwar

e Selectio

n

Document Type

Classification



e

ECM Program

and Software

Installation

Business Process

Management

Recap

Enterprise Classification

Corporate Standards Polices and Procedures

Regulatory

Research

Classification PlanRetention Schedules

Records Management

Program

Strategic Records Improvement

Program




Software Selection




ECM Program and Software Installation


From ISO to Implementation From ISO to Implementation A framework for ECM A framework for ECM

ImplementationImplementation

George [email protected]

Education Code: TR1-1315

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