5015.2 And Document Management Regulations


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  • 5015.2 And Document Management Regulations

    1. 1. 5015.2 and Document Management Regulations The Relevancy of Document Management Standards and ECM for SMI
    2. 2. DoD 5015.2 <ul><ul><li>What is 5015.2 and how does it fit into document management? </li></ul></ul><ul><ul><li>What, if any, benefit would SMI get with DoD 5015.2 compliance or certification? </li></ul></ul>
    3. 3. Down the Rabbit Hole <ul><ul><li>How can one make sense of the different types of document management solutions (ECM, ERM, DM, RM, IC, BPM, EDM)? </li></ul></ul><ul><ul><li>What type of document management solution is DocMan considered? </li></ul></ul><ul><ul><li>How do regulations affect SMI? </li></ul></ul>
    4. 4. Presentation Goals <ul><li>Establish a common language for document management </li></ul><ul><li>Understand current compliance atmosphere for corporate and government agencies </li></ul><ul><li>Address SMI’s place in compliance for document management regulations </li></ul>
    5. 5. Document Management Systems Multiple integrated systems Multiple documents with advanced data management Specific records for Admin/ Accounting Start of the “Paperless Office”
    6. 6. Document Management Emerging Components as Identified by AIIM™
    7. 7. Top Regulatory Influences for Document Management <ul><li>Freedom of Information Laws </li></ul><ul><li>US Patriot Act </li></ul><ul><li>Check 21 </li></ul><ul><li>Sarbanes-Oxley Act </li></ul><ul><li>E-Discovery </li></ul><ul><li>SAS 70 </li></ul><ul><li>National Archives and Records Administration (NARA) </li></ul><ul><ul><ul><li>ISO 15489 Records Management </li></ul></ul></ul><ul><ul><ul><li>DoD 5015.2 </li></ul></ul></ul>
    8. 8. SMI Considerations <ul><li>Closely-Held Corporation </li></ul><ul><li>Vendor of government services </li></ul><ul><li>SAS 70 foundation </li></ul><ul><li>CMMI start </li></ul>
    9. 9. Putting it Together Regulation Applicability What Could be done for Compliance Freedom of Information Laws Slightly applicable. More for government agencies SMI just needs to continue with “sustainable formats” to allow compatibility with state agencies US Patriot Act Most likely not applicable. More for public financial and insurance companies N/A Check 21 YES for Payment Processing Assumption that is already covered SOX Possibly applicable for ECM or in general, due to government contracts. Always applicable during litigation. In the general document management world, SOX and e-Discovery are prime influences. SAS 70 may already cover. CMMI with an accounting focus may be another course of action. e-Discovery rules YES for ECM and could be for any record. Many public companies use this as their motivating factor for a full ECM product. For a start: Develop automatic email retention policies SAS 70 YES. We actively use this to provide transparency and builds trust with its customers by having controls and operations independently verified by an unbiased third party…. Probably will cover for SOX? N/A ISO 15489 Possibly applicable for document management, due to requirements of state agencies. In the federal government doc mgmt world, 15498 and 5015.2 are prime influences. For a start: Develop standardized processes covering wide areas of document management such as document lifecycle stages of creation, use, and deposition. 5015.2 Possibly applicable for document management, due to requirements of state agencies <ul><li>For a start: Define what would be considered a record and develop standardized procedures around: </li></ul><ul><li>Sustainable document formats </li></ul><ul><li>Data archive </li></ul><ul><li>Document Imaging </li></ul><ul><li>Audit Trail </li></ul><ul><li>Scheduling of data (temp/perm) </li></ul><ul><li>Transfer media/medium </li></ul><ul><li>Lifecycle </li></ul>
    10. 10. Questions Re-Addressed <ul><ul><li>What is 5015.2 and how does it fit into document management? </li></ul></ul><ul><ul><li>How are regulations applicable to SMI? </li></ul></ul><ul><ul><ul><li>ECM </li></ul></ul></ul><ul><ul><ul><li>DocMan </li></ul></ul></ul><ul><ul><li>Does DocMan need to pursue DoD 5015.2 compliance or certification? </li></ul></ul>
    11. 11. References <ul><li>AIIM: ECM at Work http://www.aiim.org/viewpdfa.asp?ID=29914 </li></ul><ul><li>AIIM Executive Forum Program Agenda http://www.eventuring.org/eShip/appmanager/eVenturing/eVenturingDesktop?_nfpb=true&_pageLabel=eShip_articleDetail&_nfls=false&id=Entrepreneurship/Resource/Resource_521.htm </li></ul><ul><li>Botts, William. Managing Sarbanes-Oxley Compliance http://www.eventuring.org/eShip/appmanager/eVenturing/eVenturingDesktop?_nfpb=true&_pageLabel=eShip_articleDetail&_nfls=false&id=Entrepreneurship/Resource/Resource_521.htm </li></ul><ul><li>The Globe. A Step Forward or Backward? http://www.lawexchange.org/uploaded/globe/GLOBE06_SPRING.pdf </li></ul><ul><li>Kumming, Kate. Evolution and requirements of ISO 15489 http://www.archives.govt.nz/continuum/documents/forum/2002-10-03/katec-03-10.pdf </li></ul><ul><li>Fisher, Sharon. New e-discovery rules go into effect in December. http :// www.computerworld.com/action/article.do?command=viewArticleBasic&articleId=9001219&pageNumber=3 </li></ul><ul><li>AIIM Webinar. Electronic Freedom of Information Act for Federal Agencies. http :// www.aiim.org/viewpdfa.asp?ID=28753 </li></ul><ul><li>NARA’s Strategic Directins for Federal Records Management. http://www.archives.gov/records-mgmt/initiatives/strategic-directions.html </li></ul>