Integration of Electronic Document Management Systems and Electronic Records Management Systems Framework and Best Practices

AIIM TR ##-200 Technical Report for Information and Image Management Integration of Electronic Document Management Systems and Electronic Records Management Systems Framework and Best Practices Prepared by AIIM International [Month] 200 Abstract: [insert abstract]

Contents 1 Purpose...1 2 Scope...1 3 References...1 4 Acronyms and Definitions...1 5 Background...2 6 Issues and Challenges...3 7 The Business Case for EDMS / ERMS...5 7.1 The Needs of the Community...5 7.2 System Highlights...6 7.3 The Case for Integration of EDMS/ERMS...7 7.4 Either / Or...7 7.5 Current Management of Information and Records...8 7.6 The Vision for Information and Records Management...10 8 Reference Model...11 8.1 High Level Reference Model...11 8.2 Comparison of DM and RM Elements...13 9 Implementation Models...15 9.1 Model 1: Integration of Stand-alone Systems...15 9.2 Model 2: A DMS with Built-in Records Management Capability...16 9.3 Model 3: Use of e-records Engines...17 10 EDM/ERM Functional Best Practices...17 11 Metadata...20 Figures Figure 1: High level reference model...12 Tables Table 1: DM vs. EM functionality...6 Table 2: Unique and common elements of DM and RM...13 Table 3: Functional requirements cross reference...18 2003 AIIM International i

Foreword While functional requirements exist for electronic document management (EDM) systems and for electronic records management (ERM) systems, what did not exist were functional requirements for integrated EDM/ERM systems. Perceiving a growing need for such functional requirements, a group of individuals petitioned the AIIM International Standards Board to establish a standards committee on integrated EDM/ERM. The AIIM Standards Board approved the proposal and the committee held its initial meeting on May 23, 2002. Known as the Integrated EDM/ERM Committee, the group early noted the length of time and laborious processes involved in developing a full-fledged standard with the detailed specifications such as those found for ERM in: DoD 5015.2-STD, Design Criteria Standard for Electronic Records Management Software Applications, 1997 (and later), The U.K. Public Records Office's 1999 Functional Requirements for Electronic Records Management Systems, MoReq, or the European Commission's Model Requirements for the Management of Electronic Records, March 2001, and ISO 15489, or the International Organization for Standardization's International Standard: Information and Documentation Records Management, September 2001. The group decided to focus first on producing a short-term product (within six to nine months) that would set forth a framework and best practices for integrating EDM and ERM systems. They chose to concentrate on EDM systems rather than the full panoply of information management and knowledge management systems in order to simplify their short-term work and because a large percentage of the records that an ERM system deals with originate in EDM systems. They also reached the consensus that delivery of a short-term product would stimulate valuable discussion and contributions from other interested parties in the U.S. national and international communities. Such discussion might lead to a more rigorous ANSI/AIIM standard and eventually to an international standard. This technical report is the initial product of the AIIM Integrated EDM/ERM Committee operating under its revised project scope. Content should be managed as records or documents. Sections 1-7 of the report provide general information on EDMS and ERMS that would be of interest to all readers. Sections 8-12 provide more technical information of interest to system analysts, implementers, and developers. Suggestions for improvement of this technical report are welcome. They should be sent to Chairman, Standards Board, Association for Information and Image Management, 1100 Wayne Ave., Suite 1100, Silver Spring, MD, 20910. This document was developed under the auspices of the Standards Board which approved it as an AIIM technical report. The Standards Board had the following members at the time it processed and approved this technical report: to be added Name of representative Organization represented This technical report was prepared by the Subcommittee,, which had the following members: to be added Name of representative Organization represented ii 2003 AIIM International

2003 AIIM International iii

AIIM TR -2003 Integration of Electronic Document Management Systems and Electronic Records Management Systems Framework and Best Practices 1 Purpose The purpose of this technical report is to produce a framework and best practices for an integrated Electronic Document Management System / Electronic Records Management System (EDMS/ERMS) that will assist in the acquisition, implementation, and development of an integrated EDMS/ERMS system. 2 Scope The focus of the report is on the integration practices and approaches for electronic document management and electronic records management applications and the identification of their unique and common system requirements. 3 References [no normative references currently cited in text; informative references included in bibliography annex] 4 Acronyms and Definitions [list of minimum suggested terms to be included] aggregation content COTS commercial-off-the-shelf data mining data warehousing destruction schedule see disposal schedule disposal schedule DM document management document EDMS electronic document management system ERMS electronic records management system enterprise level 2003 AIIM International 1

IM information management information integration IT information technology lifecycle metadata record retention schedule RM records management asset management workflow 5 Background In 1996, the National Archives of Australia issued the Australian Standards AS 4390-1996, "Records Management." In 1997, the U.S. Department of Defense issued DoD 5015.2-STD. In 1999, the U.K. Public Records Office issued Functional Requirements for Electronic Records Management Systems. In March 2001, the European Commission published its "Model Requirements for the Management of Electronic Records," known as MoReq. AS 4390-1996 substantially became the basis for the international standard on records management, ISO 15489, promulgated by the International Organization for Standardization (ISO) in 2001. Thus, a variety of national standards endeavors pertaining to electronic records management in the late 1990s culminated in an international standard in 2001. The combined effect of this standards activity galvanized the field of electronic records management. Private firms accelerated development of commercial off-the-shelf (COTS) software products that complied with the standards. Large government agencies began to acquire and deploy ERM systems. As larger enterprises moved to acquire ERM systems, they awoke to the imperative of incorporating ERM capability into their basic business strategies and IT architectural infrastructures. Today's typical largescale enterprise whether government, business, or non-profit organization, and whether large or comparatively small has already invested significant resources in a variety of information management (IM) resources such as: Document management systems, including word processing, spreadsheet, and correspondence management systems E-mail management systems Database management systems Forms management systems Internet Web site content management systems 2 2003 AIIM International

Imaging systems Workflow systems Case file management systems Customer relations management systems In introducing ERM systems into the IT architecture, enterprises understandably do not wish to lose investments in their existing systems. Having accepted the need for ERM capability, the logical question they ask is: How will a new ERM system integrate with the enterprise's existing information management (IM) systems? Excellent though they undeniably are, the ERM standards cited above do not address this question. Moreover, as enterprises examined the COTS market offerings in ERM systems and asked questions about integration with other IM systems, they frequently received vendor assurances that the vendor ERM products also include, for example, EDM functionality. When enterprises examined the products closely, they discover that vendors meant different things by EDM functionality. Some ERM vendors incorporated robust EDM capability and others relatively thin EDM capability. The movement toward standardization in the EDM field has been somewhat slower than in the ERM field, perhaps because EDM serves so many diverse business needs. 6 Issues and Challenges The AIIM Standards Committee on Integrated Electronic Document Management (EDM) and Electronic Records Management (ERM) systems faces numerous challenges as it seeks to develop integrated functional requirements: 6.1 EDM and ERM Standards Widely known, accredited, and generally accepted standards exist for ERM. In the U.S., the Department of Defense (DoD) 5015.2-STD, Design Criteria Standard for Electronic Records Management Software Applications has become the Federal government-wide standard for ERM systems. Other nations have also developed ERM standards, and the International Organization for Standardization has promulgated ISO 15489 as a standard for records management programs. However, no widely known, accredited, and generally accepted standards exist for EDM systems. The available literature yields several quasistandards or suggested approaches to standards for EDM systems, but these efforts do not carry the sanctions of either national or international accrediting authorities. Further, the efforts are descriptive rather than normative in nature. The existence of ERM standards allowed the committee to know with some certitude what is meant by an ERM system. However, there is no such certitude with regard to what is meant by an EDM system. Thus, while the Integrated EDM/ERM Committee set as its goal the development of functional requirements for the integration of EDM and ERM systems, achievement of this goal appears to require achievement of an intermediate goal, namely, the creation and acceptance of a standard for EDM systems. Given this uncertainty, the committee proceeded by surveying the literature and developing an analytic description of an EDM system. Available sources have been used to generalize about an EDM standard and its components and terminology. 6.2 EDM, ERM, and the Industry 2003 AIIM International 3

ERM systems are sold in an environment of objective product certification, whereas EDM systems are sold in an environment of caveat emptor. Committee members believe it would be of service to make prospective purchasers aware of the full range of EDM functions so that purchasers could make more informed choices. An organization that purchases an ERM system can be reasonably sure of the ERM functionality it is acquiring, provided that ERM system is duly certified against DoD 5015.2-STD. Purchasers who desire EDM functionality beyond the ERM system frequently receive assurances from vendors that the ERM system also possesses some EDM functionality. Difficulties arise because different ERM systems contain disparate EDM functionality. Some products provided thin EDM functionality while others exhibited robust EDM functionality. Without detailed examination, a prospective purchaser could not be certain what EDM functionality was in the product or whether that functionality was adequate to meet the business s needs. 6.3 Integration: The Heart of the Matter The Committee made a deliberate choice at its first meeting to focus on EDM/ERM integration. ERM systems do not create or generate records; they receive records from other content management applications, and then manage them in a secure, compliant, trustworthy way. A majority of records may flow to an ERM system from an EDM system, but records can also originate in other applications such as electronic mail systems, web content management systems, image management systems, forms management systems, case management systems, correspondence management systems, customer relations management systems, and so forth. Information content, designated as records, flows to the ERM system for management as records. In order for an ERM system to receive records from other content management applications, the ERM system must be integrated with those applications. Hence, when an enterprise expands its information technology environment to include ERM, the key technical question becomes whether and how the enterprise s existing content management systems will integrate with the new ERM system. 6.4 Vendor Approaches to EDM/ERM Integration The software industry has taken varied approaches to EDM/ERM integration. 1) Some companies have developed ERM systems to which EDM functionality has been added. 2) Some companies have developed EDM systems to which ERM functionality has been added. 3) Some companies have provided software toolkits for integrating ERM with other applications. 4) Recently, some companies have developed fully integrated EDM/ERM systems. The Committee is also aware of mergers and acquisitions occurring in the Enterprise Content Management (ECM) industry with some rapidity, and understands that it may be impossible to characterize any specific company as dedicated to one approach over another. All industry software companies have the aim of offering customers integrated EDM/ERM systems as part of the larger ECM environment. Given these challenges, and others that prospective purchasers should address, such as terminology, the Committee offers this Technical Report as an introduction into the issues that should be considered when embarking on any procurement involving either an EDM or ERM system or both. We offer this product with the caveat that this report is a living document that will evolve as it is developed, as the industry continues to change, as integration experience is gained, and as business needs are assessed. 4 2003 AIIM International

7 The Business Case for EDMS / ERMS 7.1 The Needs of the Community There are multiple entities with interest in the electronic handling of information. These entities range from the users/creators of information to the managers responsible for cost to the business partners with concerns regarding legality of transactions. Additionally, information technologists have an interest in the planning for and handling of electronic information and records managers/archivists are concerned with protecting the availability, authenticity, integrity, and validity of electronic information. Each of these interest groups has particular needs that must be taken into consideration. Creators/Users need: rapid location of current valid information, ability to re-use content, data mining with easy access to results, and publication. Managers need: minimization of costs associated with volume, maintenance, storage, migration, and legality; protection of rights and interests; maximization of functionality and re-use of information; provision for audit trails; data warehousing for content analysis using business analysis and decision tools; and publication. Business Partners need: accuracy and integrity of the record; availability of information and audit trails; protection of restricted information; secure business data exchange and communications; and ensured legality of e-commerce transactions. Information Technologists need: maximization of utility and minimization of system costs; streamlining of the number of systems managed; integration of functions with business utility systems; and user training. Records Managers need: protection of the legal validity of record material; easy location of records; proper handling of record material throughout its life cycle, especially through destruction of record material at the end of its retention period; 2003 AIIM International 5

minimization of costs; and protection of vital records. 7.2 System Highlights Current document management software provides some of the functionality required to address the needs described in 7.2.1. Electronic records management software also provides some of the functionality needed. Both types of software provide some of the same capabilities. Table 1 illustrates the comparative functionalities. What is required is a hybrid; integrating the best of each system. Table 1: DM vs. RM functionality Holdings stored: End User may: Document Management Files such as word processing documents, spreadsheets, multimedia materials, databases, and the like. Create new files that may or may not be records. Save files with limited metadata related to business function. Retrieve stored files. Change files. Change copies of original records, and save them designated as new records. Delete files. Records Management The same files if and only if they have been designated as records. Accept only those files declared to be records and place them in proper file plan location, associated with retention/disposition schedule. Save files with Enterprise level metadata including Enterprise File Plan categorization and Retention/Disposal schedule. Retrieve copies of records but not the original records themselves. Not change records or permit anyone except authorized records managers to change them. Accept changed copies designated as new records and place them in proper file plan location, associated with retention / disposition schedule. Not delete records. Records may only be deleted in accordance with their retention schedules or by an authorized records manager. 6 2003 AIIM International

7.3 The Case for Integration of EDMS/ERMS A successful integrated EDMS/ERMS program will facilitate accessible, timely, accurate information that meets the needs of the user. Effective management of electronic information and records is key to delivering on the mission and protecting the rights and interests of any organization. Records ensure that an enterprise can: Conduct its business in an orderly, efficient, and accountable manner Deliver services consistently and equitably Document its policies, decisions, and outcomes to stakeholders and regulators Meet its legislative and regulatory requirements, including audits Protect itself in litigation Function in a financially and ethically accountable manner Protect corporate interests as well as the rights of employees, clients, and other stakeholders Provide continuity of operations in an emergency or disaster Maintain its corporate and institutional memory 7.4 Either / Or ISO 15489-1 defines a document as recorded information or objects, which can be treated as a unit and a record as information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business. Therefore, all records are documentary material but not all documentary material is record. For the purposes of this report, both are referred to as information. Document management systems uniquely identify each individual document and version; providing the ability to view, capture, maintain, and edit electronic documents. Document management systems do not effectively handle inactive business information that must be maintained for legal and historical purposes. Records management systems manage the organization s records from cradle to grave with no functionality provided to manage non-record documents. Many of the management tasks of each system are identical but neither system completely satisfies the user needs identified above. While electronic document management systems effectively provide the ability to reuse electronic information, the electronic document management systems do not ensure that the electronic version is the record version. An organization can encounter problems when it tries to: Retrieve the current, correct version or rendition of electronic documents or records. Electronic directories overflow with multiple versions of the same text. The opening and closing of an electronic document can result in a new save date on the directory, thereby giving the impression that the document (although an old version) is the most recent corporate presentation. Link all versions or renditions of an electronic document to correctly identify and produce a complete record. Properly locate and destroy the complete electronic record, along with all convenience copies, at the time of disposition. The merging of the requirements of the electronic document management system with the requirements of an electronic records management system would provide for both the reuse of 2003 AIIM International 7

electronic information, and ensure the integrity of the electronic record. An integrated electronic document/electronic records system would facilitate: The integration of electronic information management concepts and practices with comprehensive information management policies, processes, and objectives to insure the integrity of official information in all media, Employment of information management technology to support interoperability, timely and effective decision-making, and improved services to users, Provision of tools for organizations to provide consistent, responsible, accurate, and timely responses to user inquiries, Standardize business processes and introduce accountability, Compliance with statutory and regulatory requirements and protect and support organizations in litigation. 7.5 Current Management of Information and Records In every organization, there is a system lifecycle for the creation, maintenance and use, and preservation/destruction of information. Historically, in the hard copy environment, organizations dealt with record copies at the end of the active life of the information. This was effective. The user filed documents and transferred those documents to the records manager at the end of the active life of the information. The records manager sorted the information, identified the record material, and ensured that records were appropriately retained and destroyed according to legal and historical requirements. In the electronic environment, records are created but not identified as records. Consequently, the integrity of the record, including the appropriate meta-data about the date of creation and identification of appropriate records series, and the associated safeguards to ensure the integrity of the record are not in place. This places the organization at risk, when the records are required as evidence of the work done and decisions made. 7.5.1 Information creation Information can be created by several different methods. These include automatic report generation, paper forms, electronic forms, and electronic documents. It is also important to note that electronic information creation also includes the creation of meta-data about that information, including information about the author, categorization in a corporate subject hierarchy, security classification, etc. Whether or not information is categorized as a record, it has meta-data associated with it. Correspondence is another form of information and refers to the inbound and outbound communication between organizations and users. Any correspondence with an outside source, or any official business conducted internally using electronic means (or paper) is a record and must be treated in the same way that information is treated, i.e. categorized, stored, archived, etc. While organizations are currently producing all forms of electronic media and hard copy, that information is not categorized into subject hierarchies. Records Officers maintain subject hierarchies that organize business information, but information creators and managers do not use these subject hierarchies. If any categorization is given to information, it is usually related to the individual work unit, or to a specific project. Depending upon the organization, incoming correspondence may be photocopied and distributed for handling, or scanned and distributed via a correspondence management workflow system. Not all of the correspondence management systems in use are interoperable or user friendly. Consequently, staff is reluctant to routinely check the system for incoming assignments, resulting in delayed handling of correspondence. 8 2003 AIIM International

7.5.2 Review cycle The review cycle in the information management process allows managers the ability to edit and approve information before it is reaches its intended audience. Review roles are dependent on the type of information. For example, correspondence from the corporate head may require several edits and reviews while an internal memo may require only the sign-off of a supervisor, or no review at all. Reviews also allow the information categorization and meta-data to be modified by an information expert in the particular discipline. Review processes are inconsistent across organizations. For example, some organizations have controls in place that require the electronic signature of an authorized supervisor prior to release of official information. Electronic information is published without the same scrutiny and clearance processes afforded to hard-copy publications, even though information may make its way to the organization s Web sites, which are a highly visible presentation of official information. 7.5.3 Publish Publishing is the final rendition of information. This final version can be published in many different ways according to the intended audience. Published information can be: Printed and filed/mailed/faxed Sent via e-mail to an individual or a distribution list Posted on a Web site Stored on a PC or server Entered in to a database (a completed form) Once information is published electronically, it can be made available to others, either by being stored on a server or located by searching with a search engine. Publishing is widely disparate across organizations. No central information repository exists in or between organizational units therefore each unit is responsible for determining policy and procedure around version control, storage medium, adherence to business rules, etc. Lack of a central repository for information or a centralized catalog providing data about the information that exists potentially means the existence of multiple versions of the same form or document and no opportunity for re-use. Formats for final published information are not standardized, whether that means being published to the Web by a content management system or simply stored on a PC or server or database. 7.5.4 Maintenance Organizations file information in hard copy, closing out files at the end of each business year, and in some cases retiring files with legal retention requirements to records retention facilities. Records storage patterns have shown a decided decline over the past few years. Electronic information maintained on servers and storage devices requires regular back-ups, migrations, and validations. Official information in electronic format requires accurate system migration logs to support an organization s claim to the integrity and validity of the data in the event of legal challenge. Most importantly, the information systems must continue to produce authentic information over time. 7.5.5 Preservation/Destruction Information management systems are not yet designed for long-term preservation of records. Information technology budgets do not incorporate costs of data migration for retention of record material in 2003 AIIM International 9

accordance with disposition authority. Destruction of records is inconsistently handled and controls are not in place for the destruction of convenience copies. Generally, information on e-mail servers is kept for a fixed period of time (30 or 60 days) and destroyed without regard to information value or legal requirements. 7.5.6 Search Searches for a file on a file server using the filename may return unexpected or useless results. Drafts remain in the same directories with final official copies and file names are not consistently applied. E-mail systems are set up by work unit, but generally do not have subject matter directories. Further a response to a legal query for the electronic version of documents pertinent to litigation results in either a lengthy search and culling of the electronic media; or entire backup tapes are produced, indiscriminately providing non-record material, such as drafts and informal e-mail correspondence, in addition to the required documents. The lack of meta-data associated with documents ultimately causes searches to be ineffective. 7.6 The Vision for Information and Records Management The system lifecycle for the creation, maintenance and use, and preservation/destruction of information will continue to be paramount. Electronic information management will play an even greater role. Systems will sort the information, identify the record material, and ensure that records are appropriately retained and destroyed according to legal and historical requirements. Consequently, the integrity of the record, including the appropriate meta-data about the date of creation and identification of appropriate records series, and the associated safeguards to ensure the integrity of the record are in place. This protects the organization when the records are required as evidence of the work done and decisions made. 7.6.1 Information creation Upon creation of information, the point at which an author saves a document or sends e-mail, the system will automatically append meta-data about that information, including information about the author, categorization in a corporate subject hierarchy, security classification, etc. Based upon the metadata, the information will be stored in the appropriate electronic file directory of the organization, putting in identifiers for appropriate access controls and the handling of the information at the end of its active business life. The metadata will facilitate information search and retrieval, allowing users to make effective use of current, correct official information, preclude the need for convenience copies, and facilitate consistent responses to user queries. 7.6.2 Review cycle The review cycle incorporated into workflow shall allow managers to edit and approve information before it reaches its intended audience. Managers will determine the level of review required and any access restrictions for the various types of information produced by their organizations. Metadata appended to created information will reflect those required levels of review and access controls. Employees will notify supervisors of information requiring review via email, providing a link to the document in the organization s repository. Once approved for release, the supervisor s authorization will be electronically appended to the metadata about the information. 7.6.3 Publish Electronic publishing will become the normal method of providing official information. Upon publication, information will be made available to others by being stored on a server or located by searching with a search engine. Central information repositories will exist in organizational units; therefore, each unit shall be responsible for determining policy and procedure around version control, storage medium, adherence to business rules, etc. Formats for final published information will be standardized. E-mail shall contain links to documents in the organization s repositories, eliminating the need for attachments to e-mail, 10 2003 AIIM International

reducing the server load, and ensuring that controlled information will only be accessed by authorized users. 7.6.4 Maintenance There shall be common information technology systems for the retention of electronic information. The selected systems shall assure the integrity, accessibility, authenticity, and validity of official information. The selected systems shall reduce the frequency of migrations of electronic information, helping to minimize costs and to maintain the integrity of the information. 7.6.5 Preservation/Destruction All published information will be housed in common repositories and be subject to uniform retention and disposition policies. The selected information systems shall minimize the frequency of migrations of electronic information. Convenience copies shall have appropriate meta-tags to ensure location and appropriate destruction at the end of the authorized retention period. This will help to control costs and to help maintain the integrity of the information. 7.6.6 Search Employees shall have access to current, correct official information, precluding the need for additional copies of the same information in multiple locations, and ensuring consistent responses to user queries. Search tools shall provide the opportunity for iterative searches, automatically providing subcategories of documents to further narrow the search results. Official information shall have metadata to facilitate information search and retrieval. The metadata shall also identify any restrictions upon access, based upon topic and required prerelease reviews. Information with access controls will not be presented in response to a query, unless the user has authorized access. 8 Reference Model 8.1 High Level Reference Model 2003 AIIM International 11

Content Creation & Capture Content authoring, editing, review & approval, structuring & formatting, Capture, linking, translation, format transformation Metadata Management Metadata attributes definition, Metadata reference sources, Metadata repository, Metadata harmonization Metadata import & export Content Organization Content selection, description, classification, indexing, summarization Content Aggregation Content integration, disaggregation, distribution, subscription, syndication Collection Browse & Categorization Asset Management Rights management Appraisal, Auditing Retention & Dispositioning Destruction Repository Mgmt. User Management User Profiles Institutional Roles Directory Schema User Assets User Affiliations Content Management Content publishing, Registration, versioning, copying, storage, Search Simple search, Parametric Search Search Within, Multilingual Search Thesaurus Search System Administration & Configuration System Workflow & Application Mgmt. Figure 1: High level reference model 12 2003 AIIM International

8.2 Comparison of DM and RM Elements Table 2: Unique and common elements of DM and RM Item DM Unique Common RM Unique 1 Content Creation and Capture 1.1 Capture Content 1.2 Transform Content (Renditions) 1.3 Create Content 1.4 Review Content 1.5 Edit Content 1.6 Link Content 1.7 Version Content 1.8 Translate Content (Language) 1.9 Format Content 1.10 Extract (redaction) 1.11 Record Declaration 2 Content Management 2.1 Register Content 2.2 Store Content 2.3 Distribute Content 2.4 Manage Content Repository 2.5 Publish Content Dissemination 2.6 Establish Audit Trails 2.7 Create Retention and Disposition Schedules 2.8 Define Filing Schema 2.9 Apply Filing Schema 3 Metadata Management 3.1 DM Unique Define Metadata Schema (common) 3.2 Define Metadata Structure 3.4 Build Metadata Repository 3.5 Create Metadata Import/Export Programs RM Unique 4 Content Organization 4.1 Select Content 4.2 Catalog Content 4.3 Classify Content (file) 4.5 Index Content 4.6 Abstract Content/Summarization 4.7 Electronic records Check-Out/Check-In Paper records 2003 AIIM International 13

Item DM Unique Common RM Unique 5 Content Aggregation 5.1 Create Content Subscriptions (access controls) 5.2 Syndicate Content 5.3 Combine/Aggregate Content 5.4 Disaggregate Content 6 Asset Management 6.1 Manage Content Rights 6.2 Content Transfer & Export 6.3 Schedule and Appraisal 6.4 Dispose of Content 6.5 Destroy Content 7 Use Management 7.1 Define Content Security Classes 7.2 Define Use Transactions 7.3 Define Use Parameters 7.4 Develop User Documentation 7.5 Develop User Training 8 User Management 8.1 Define User Profiles 8.2 Define Roles and Privileges 8.3 Create Role-Profile Directory 9 Search and Browse 9.1 Define Search Architecture 9.2 Define Search Index Parameters 9.3 Design Search Interface and Results 9.4 Define Query Algorithms 9.5 Develop Browse Structures 10 System Administration & Configuration 10.1 System Backup and Recovery 10.2 System Storage Management 10.3 Monitor System Performance 10.4 DBMS Functionality 11 Workflow Management 11.1 Transaction Logging 11.2 Manage Document Template/Forms 11.3 12 Management Reporting 14 2003 AIIM International

Item DM Unique Common RM Unique 12.1 Define Standard Reports 12.2 Define Custom Reports 12.3 Define Report Formats & Types 12.4 Audit Content 9 Implementation Models 9.1 Model 1: Integration of Stand-alone Systems 9.1.1 Description Model 1 is commonly referred to as best of breed. It is the integration of a stand-alone DMS with a stand alone RMS. Both are separate applications, usually developed by different vendors. The acquiring organization selects the document management systems that best satisfies its requirements and the best records management system that also best satisfies its requirements. The two are integrated together, either by the DMS vendor, the RMS vendor, or by a third-party integrator. E-mails are typically declared and classified as records directly into the RMS. Attachments can either be declared and classified as records directly into the RMS or saved as documents (work in progress) in the DMS. Depending on the integration, documents saved or created in the DMS can be classified without being declared. This is typically accomplished by linking the DMS document to a RMS folder. At this point, the document inherits the RMS attributes of the folder that typically include security, classification, and retention. Physical documents are typically declared and classified directly into the RMS. Electronic documents that are produced by other office automation tools such as workflow, imaging systems, fax, etc. can either be saved as works in progress in the DMS or saved as records in the RMS as required. 9.1.2 Advantages The organization enjoys the full benefit derived from the selected state-of-the-art document management systems. Typically included are powerful collaboration tools; advanced search and retrieval tools; and document check-in/check-out features. (Author comment: expand) The organization enjoys the full benefit derived from the selected state-of-the-art records management systems. Typically included are powerful file plan management tools; automated retention scheduling tools; disposition processing; bar-code labeling and scanning; box, folder, and records management; search and retrieval tools; warehouse space management tools, and records center activities and billing tools. (Author comment: expand) Organizations with an existing DMS need only to acquire a RMS and vice-versa. 9.1.3 Disadvantages (varies depending on tightness of the integration) Life Cycle Management The life cycle of documents is typically divided and managed by the two systems. The life cycle and audit information of non-records are captured and managed in the DMS. That life cycle ends at the point of record declaration. The life cycle of records managed in the RMS begin at the 2003 AIIM International 15

point of record declaration. Both systems employ audit logs to capture the activities associated with their documents. Dual Databases Both products typically employ their own database management systems to store the data necessary for each system independently of the other. The DMS database management system is typically created to store user and group account, document and folder metadata, and other related information. The RMS database management system is typically created to store user and group account information; the organizational file plan; retention schedules; box, folder, and record metadata; and other related information. Tightly integrated solutions share the same database resource. Dual Repositories Both products typically use their own electronic document repository. Typically electronic documents that are non-records are stored in a repository wholly under the control of the DMS, while records are stored in a separate repository that is wholly under the control of the RMS. Dual Search and Retrieval Tools Both products typically provide their own search and retrieval tools. Depending on the tightness of the integration, the search tools provided by one product may be configured to search the data managed by the other product. In some installations, a third-party portal is used to search and retrieve data stored in both systems. Support Issues Responsibilities for support, maintenance, and timing of upgrades maybe divided among multiple vendors. 9.2 Model 2: A DMS with Built-in Records Management Capability 9.2.1 Description Author comment: I am not aware of a model where an RMS has built-in DMS functionality. In this model, a full-featured document management system includes the tools required to perform electronic records management functions. The handling of e-mails may vary among the products. IN some cases, emails are required to be captured in the DMS before they can be declared and classified are records. In others, email may be immediately declared and classified as records directly into the RMS component via the email system. Attachments are typically saved first as documents in the DMS and are declared and classified as records later. Physical documents are typically first profiled as placeholders in the DMS wand are then declared and classified as records later. Electronic documents that are produced by other office automation tools such as workflow, imaging systems, fax, etc. are typically first saved as documents in the DMS. 9.2.2 Advantages Deployment of Model 2 typically requires a single database, a single document repository, and a single user interface for search and retrieval. Complete cradle-to grave Life Cycle Management via a single application. Responsibilities for support, maintenance, and timing of upgrades rest with the responsible vendor. 16 2003 AIIM International

9.2.3 Disadvantages Limited records management functionality pertaining to records center operations and warehouse space management. Records that are produced by other electronic applications typically go through a two-step process to be declared, classified, and managed as records. 9.3 Model 3: Use of e-records Engines 9.3.1 Description Author comment: I do not know how to best characterize Model 3, the employment of e-records engines. To the best of my knowledge there are two differing vendor solutions. One solution (Vendor A) enables Microsoft s Outlook email system to function as a records management system. Vendor A s product functions as stand-alone records management solution but only in conjunction with Outlook. In this regard, this type of RMS differs from the type of RMS described in Model 1, thus it is described here. However, the records enabled Outlook can be integrated with a DMS, thus it fits into the product pairing characterized by Model 1. The second solution (Vendor B) is used to e-records enable existing enterprise business applications. However, it is also listed as stand-alone RMS product on the JITC Web site. Again, it is a different type of RMS that can be integrated with a DMS. In both solutions, the e-records engine provides the tools required to manage the organization file plan, retention schedule, and disposition processing. The e-records interface is typically provided to records staff and administrators. The end-user interface is typically provided by the records enabled business application. 9.3.2 Advantages [to be added] 9.3.3 Disadvantages [to be added] 10 EDM/ERM Functional Best Practices A combined EDM/ERM best practice will effectively meet the needs of this community. Combining functionality incorporating best practices from both EDM/ERM systems will produce a radical change in the way business is conducted: Creators/Users will be able to: find current, correct information that was not previously accessible, and new working relationships will be forged through the discovery of tacit knowledge. Service to users will also improve dramatically as information becomes more accessible, timely, and accurate. Managers will see: improved productivity time that is focused on higher-level analytical work, rather than on information search, sort, and retrieve activities. 2003 AIIM International 17

Business Partners interactions with organizations will improve. A vast amount of information will be easily accessible and organized for public consumption. The quality of information will greatly increase because of enforced reviews, systemized business processes, and greater accountability. Business Partners will gain timely access to the appropriate level of information. Information Technologists will see: maximized utility of operating costs. Records Managers will see: validity of the records; rapid location of records; proper handling of record material throughout its life cycle; thorough destruction of record material at the end of its retention period; minimized costs; and protection of vital records. Table 3: Functional requirements cross reference System Requirements Specific Functions EDM Functions 1. Content Creation and Capture ERM Functions 1.1 Capture Content 1.2 Transform Content (Renditions) 1.3 Create Content 1.4 Review Content 1.5 Edit Content 1.6 Link Content 1.7 Version Content 1.8 Translate Content (Language) 1.9 Format Content 1.10 Extract (redaction) 1.11 Record Declaration 2. Content Management 3. Metadata Management 4. Content Organization 2.1 Register Content 2.2 Store Content 2.3 Distribute Content 2.4 Management Content Repository 2.5 Publish Content Dissemination 2.6 Establish Audit Trails 2.7 Create Retention and Disposition Schedules 2.8 Define Filing Schema 2.9 Apply Filing Schema 3.1 Define Metadata Schema (common) DM Unique & RM Unique 3.2 Define Metadata Structure 3.3 3.4 Build Metadata Repository 3.5 Create Metadata Import/Export Programs 4.1 Select Content 4.2 Catalog Content 4.3 Classify Content (file) 4.4 4.5 Index Content 4.6 Abstract Content/Summarization 18 2003 AIIM International

System Requirements Specific Functions EDM Functions 4.7 Check-Out/Check-In DM Unique Electronic Records RM Unique Paper Records ERM Functions 5. Content Aggregation 6. Asset Management 7. Use Management 8. User Management 9. Search and Browse 10. System Administration & Configuration 11. Workflow Management 12. Management Reporting 5.1 Create Content Subscriptions (access controls) 5.2 Syndicate Content 5.3 Combine/Aggregate Content 5.4 Disaggregate Content 6.1 Management Content Rights 6.2 Content Transfer & Export 6.3 Schedule and Appraisal 6.4 Dispose of Content 6.5 Destroy of Content 7.1 Define Content Security Classes 7.2 Define Use Transactions 7.3 Define Use Parameters 7.4 Develop User Documentation 7.5 Develop User Training 8.1 Define User Profiles 8.2 Define Roles and Privileges 8.3 Create Role-Profile Directory 9.1 Define Search Architecture 9.2 Define Search Index Parameters 9.3 Design Search Interface and Results 9.4 Define Query Algorithms 9.5 Develop Browse Structures 10.1 System Backup and Recovery 10.2 System Storage Management 10.3 Monitor System Performance 10.4 DBMS Functionality 11.1 Transaction Logging 11.2 Document Template/Forms Maintenance 11.3 12.1 Define Standard Reports 12.2 Define Custom Reports 12.3 Define Report Formats & Types 12.4 Audit Content 2003 AIIM International 19

11 Metadata [to be added] 20 2003 AIIM International

AIIM TR -2003 Annex A Bibliography AS 4390-1996, Records Management, Australian Standard DoD 5015.2-STD, Design Criteria Standard for Electronic Records Management Software Applications <http://jitc.fhu.disa.mil recmgt/> European Commission, Model Requirements for the Management of Electronic Records (MoReq), March 2001 ISO 15489-1:2001(E), Information and Documentation Records Management U.K. Public Records Office, Functional Requirements for Electronic Records Management Systems, 1999 2003 AIIM International 21