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From ISO to Implementation  A framework for ECM Implementation
 

From ISO to Implementation A framework for ECM Implementation

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ARMA 2008 Conference - From ISO to ECM Implementation

ARMA 2008 Conference - From ISO to ECM Implementation

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

  • 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
  • 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 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)
  • 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 .”
  • 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 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
  • 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
  • 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
  • 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
  • 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
  • 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
      • 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 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 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
  • 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
  • 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
  • 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
  • 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
  • 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 18492:2005 Long-Term Preservation
    • 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
  • 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
  • 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
  • Software Requirements
    • 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
  • 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
  • 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)
  • 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 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 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
  • 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
  • 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
  • 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
  • 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