From ISO to Implementation A framework for ECM Implementation George Broadbent Director 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

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

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

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

ECM Includes:

Electronic Content Management

Electronic Records Management

Imaging

Business Process Management

Web Content Management

Used for Managing Unstructured Data

Enterprise Content Management Photos and Blueprints Web Content Documents and Records Enterprise Applications eMails Faxes Forms Desktop Applications Graphics, Video, & Audio Reports

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)

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)

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

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)

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 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 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

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

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 Plan Retention 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 Records Management Program Strategic Records Improvement Program

Records Management Program Enterprise Classification Corporate Standards Polices and Procedures Regulatory Research Classification Plan Retention Schedules

Records Management Program 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 Classification Corporate Standards Polices and Procedures Regulatory Research Classification Plan Retention 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

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

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 Enterprise Classification Corporate Standards Polices and Procedures Regulatory Research Classification Plan Retention 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

The program consists of:

People

Policies

Standards and Practices

Technology Infrastructure

The program oversees records management at all levels within the organization

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 Enterprise Classification Corporate Standards Polices and Procedures Regulatory Research Classification Plan Retention 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

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

Classification Plan An Analysis of Corporate documents (Paper or Electronic) Organized by Themes Two to Three Levels Deep Enterprise Classification Corporate Standards Polices and Procedures Regulatory Research Classification Plan Retention 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

An Analysis of Corporate documents (Paper or Electronic)

Organized by Themes

Two to Three Levels Deep

Retention Schedule Builds on the Classification Plan Meta Data Assigned: Relevant Regulations Retention Period (e.g., 3 yrs) Enterprise Classification Corporate Standards Polices and Procedures Regulatory Research Classification Plan Retention 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

Builds on the Classification Plan

Meta Data Assigned:

Relevant Regulations

Retention Period (e.g., 3 yrs)

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

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

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

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

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

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 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

This part of ISO 15489:

Covers the management of records, in all formats or media, created or received

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

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 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

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 Meta Data For Records 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

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 Meta Data For Records 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

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 Meta Data For Records 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

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 15836 – Dublin Core Meta Data Standards Cross Domain Information Resource Descriptions Consists of 15 Elements (tags) Language Relation Coverage Rights Type Format Identifier Source Description Publisher Contributor Date Title Creator Subject

Meta Data Standards

Cross Domain Information Resource Descriptions

Consists of 15 Elements (tags)

Language

Relation

Coverage

Rights

Type

Format

Identifier

Source

Description

Publisher

Contributor

Date

Title

Creator

Subject

Security Program Information Security Program Holistic Framework for Information Security

Information 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 Enterprise Classification Corporate Standards Polices and Procedures Regulatory Research Classification Plan Retention 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

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

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

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 18492:2005 Long-Term Preservation Ensures the long term preservation of electronic documents Archival and Retrieval Strategy

Ensures the long term preservation of electronic documents

Archival and Retrieval Strategy

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

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

IS Holistic Corporate Framework A Balance Between the Need for Information to be: Free and Secure Available (Short Term and Long) Enterprise Classification Corporate Standards Polices and Procedures Regulatory Research Classification Plan Retention 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

A Balance Between the Need for Information to be:

Free and Secure

Available (Short Term and Long)

Software Requirements Software Requirements Software Selection

Software Requirements 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 Enterprise Classification Corporate Standards Polices and Procedures Regulatory Research Classification Plan Retention 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

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

Software Requirements Feature Comparison Weighting of Requirements Results in Scores for Each Category

Feature Comparison

Weighting of Requirements

Results in Scores for Each Category

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 Enterprise Classification Corporate Standards Polices and Procedures Regulatory Research Classification Plan Retention 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

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

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

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

ECM Implementation Document Type Classification Taxonomy and Metadata Hierarchy Technical Architecture ECM 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)

Technical Product Standard

Standards for Document Management:

Standard Principals

Meta Data Elements

Information Reference Model

Industry Specific Standards (i.e. construction)

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!)

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 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

Document Management Standard:

Long term preservation of information

Defines the PDF/A File Format

Framework for the Context and History of a Document

Document Type Classification 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 Enterprise Classification Corporate Standards Polices and Procedures Regulatory Research Classification Plan Retention 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

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

Taxonomy and Meta Data Taxonomy is a Hierarchical Collection Structure (i.e. folders) Documents Contains Meta Data About the Subject and Document Enterprise Classification Corporate Standards Polices and Procedures Regulatory Research Classification Plan Retention 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

Taxonomy is a Hierarchical Collection

Structure (i.e. folders)

Documents

Contains Meta Data About the Subject and Document

Technical Architecture Enterprise Classification Corporate Standards Polices and Procedures Regulatory Research Classification Plan Retention 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

ECM Program Implementation Confluence of: Records Management Security Taxonomy and File Classification Change Management User Training General and Specific Enterprise Classification Corporate Standards Polices and Procedures Regulatory Research Classification Plan Retention 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

Confluence of:

Records Management

Security

Taxonomy and File Classification

Change Management

User Training

General and Specific

Business Process Management Business Process Management

Business Process Improvement Process Mapping Stakeholder Interviews Information Sources Security Issues Review it Map it Refine it Build it Enterprise Classification Corporate Standards Polices and Procedures Regulatory Research Classification Plan Retention 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

Process Mapping

Stakeholder Interviews

Information Sources

Security Issues

Review it

Map it

Refine it

Build it

Recap Enterprise Classification Corporate Standards Polices and Procedures Regulatory Research Classification Plan Retention 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

From ISO to Implementation A framework for ECM Implementation George Broadbent [email_address] Education Code: TR1-1315 Please Complete Your Session Evaluation