Document management -- Analysis, selection and implementation of electronic document management systems (EDMS)

ISO/TR 22957:2009 presents a recommended set of procedures and activities that are advisable when performing analysis, selection and implementation of project phases associated with electronic document management systems technologies. ISO/TR 22957:2009 provides user-level information outlining specific recommended activities to be completed throughout the various project phases typically performed when implementing these technologies. It outlines the steps and activities, together with compliance with relevant industry standards and guidelines that need to be examined and “certified” to ensure relevant technologies have been analysed, designed, implemented and managed, ensuring document/record validity when used in a business or government environment. ISO/TR 22957:2009 provides both user- and technical-level information and guidance detailing specific recommended activities and project tasks/phases recognized throughout the EDMS industry as being the EDMS industry best practice related to analysing business processes, evaluating appropriate/relevant technologies and ensuring complete technology implementation where required by the organization.

Gestion de documents -- Analyse, choix et mise en oeuvre de systèmes de gestion de documents électroniques (EDMS)

General Information

Status
Replaced
Publication Date
02-Dec-2009
Withdrawal Date
02-Dec-2009
Current Stage
6060 - International Standard published
Start Date
13-Nov-2009
Completion Date
03-Dec-2009
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TECHNICAL ISO/TR
REPORT 22957
First edition
2009-12-15
Document management — Analysis,
selection and implementation of
electronic document management
systems (EDMS)
Gestion de documents — Analyse, choix et mise en œuvre de
systèmes de gestion de documents électroniques (EDMS)
Reference number
ISO/TR 22957:2009(E)
ISO 2009
---------------------- Page: 1 ----------------------
ISO/TR 22957:2009(E)
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ii © ISO 2009 – All rights reserved
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ISO/TR 22957:2009(E)
Contents Page

Foreword ............................................................................................................................................................iv

1 Scope......................................................................................................................................................1

2 Normative references............................................................................................................................1

3 Terms, definitions and abbreviated terms..........................................................................................1

3.1 Terms and definitions ...........................................................................................................................1

3.2 Abbreviated terms.................................................................................................................................1

4 Electronic document management technologies ..............................................................................3

4.1 General ...................................................................................................................................................3

4.2 Database services .................................................................................................................................4

4.3 EDMS application services...................................................................................................................4

4.4 Core technologies and application specific modules .......................................................................4

4.5 Document imaging technologies.........................................................................................................4

4.6 Document or library services technologies .......................................................................................5

4.7 Workflow technologies .........................................................................................................................6

4.8 ERM technologies .................................................................................................................................7

4.9 Forms processing .................................................................................................................................8

4.10 Optical and intelligent character recognition.....................................................................................8

4.11 Records management applications.....................................................................................................8

5 EDMS guidelines and standards..........................................................................................................9

5.1 General considerations.........................................................................................................................9

5.2 Trusted EDMS technologies.................................................................................................................9

5.3 Industry guidelines..............................................................................................................................10

5.4 Document imaging ..............................................................................................................................14

5.5 Document/library services .................................................................................................................18

5.6 Workflow ..............................................................................................................................................19

5.7 COLD/ERM ...........................................................................................................................................23

6 Best practices associated with EDMS project phases/activities ...................................................23

6.1 General .................................................................................................................................................23

6.2 Process/procedure baselining ...........................................................................................................23

6.3 Anticipated processes/procedures ...................................................................................................26

6.4 Technology requirements definition .................................................................................................26

6.5 Document classification and indexing model ..................................................................................26

6.6 Business objectives and requirements.............................................................................................27

6.7 Technology evaluation guidelines.....................................................................................................29

6.8 Forms review and design considerations.........................................................................................30

6.9 Legacy data/document conversion methodology considerations.................................................31

6.10 Procurement document preparation .................................................................................................32

6.11 Solution/product evaluation guidelines............................................................................................32

6.12 Project planning and execution .........................................................................................................34

6.13 System, unit testing, and project monitoring...................................................................................34

6.14 Acceptance testing criteria ................................................................................................................35

6.15 Rollout planning ..................................................................................................................................36

6.16 Business practices documentation...................................................................................................36

6.17 EDMS project activities best practices .............................................................................................36

Annex A (informative) Guidelines and standards..........................................................................................37

Annex B (informative) Summary listing of industry best practices associated with EDMS Project

phases/activities..................................................................................................................................40

Bibliography......................................................................................................................................................41

© ISO 2009 – All rights reserved iii
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ISO/TR 22957:2009(E)
Foreword

ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies

(ISO member bodies). The work of preparing International Standards is normally carried out through ISO

technical committees. Each member body interested in a subject for which a technical committee has been

established has the right to be represented on that committee. International organizations, governmental and

non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the

International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.

International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.

The main task of technical committees is to prepare International Standards. Draft International Standards

adopted by the technical committees are circulated to the member bodies for voting. Publication as an

International Standard requires approval by at least 75 % of the member bodies casting a vote.

In exceptional circumstances, when a technical committee has collected data of a different kind from that

which is normally published as an International Standard (“state of the art”, for example), it may decide by a

simple majority vote of its participating members to publish a Technical Report. A Technical Report is entirely

informative in nature and does not have to be reviewed until the data it provides are considered to be no

longer valid or useful.

Attention is drawn to the possibility that some of the elements of this document may be the subject of patent

rights. ISO shall not be held responsible for identifying any or all such patent rights.

ISO/TR 22957 was prepared by Technical Committee ISO/TC 171, Document management applications,

Subcommittee SC 2, Application issues.
iv © ISO 2009 – All rights reserved
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ISO/TR 22957:2009(E)
Introduction

This Technical Report provides detailed information associated with the analysis, selection and

implementation procedures associated with electronic document management systems (EDMS). The

development of this Technical Report is a result of organizational requests to receive vendor-neutral industry

information associated with technology standards, technical reports, guidelines and best practices related to

project activities.

Terms and acronyms associated with various aspects of EDMS technologies commonly change over time, as

technology developers and vendors update product lines and solutions to address customer requirements. In

most cases, the new terms and acronyms reflect updates and changes to how these technologies are used,

incorporating additional levels of functionality, and they are very rarely a result of an entirely new core

technology. This is important to note, as the core EDMS technologies are constantly maturing and solution

providers are not only identifying new approaches to addressing organizational issues and requirements, but

also expanding the use of these technologies into areas previously unconsidered.

For purposes of discussion, the terms “document management” and “content management” can be

considered to be synonymous. As the electronic content management industry (previously referred to as the

document management industry) has matured over the years, the ability to store electronic information has

greatly expanded from hard copy document scanning into digital images in the early 1980s, to the

management of any digital or electronic document that today is referred to as electronically stored information.

It is important to note that as the various technologies associated with storing and managing electronically

stored information continue to mature and change, terms and acronyms will continue to change and, at times,

be used to denote something different than previously used in the past. As such, organizations are constantly

challenged to keep pace with how an updated technology is currently being referenced, especially when the

same core technology is referenced differently between vendors, and at times various groups of suppliers.

The first section of this Technical Report provides detailed information describing each of these technologies,

and how they operate and inter-operate.

The second section of this Technical Report provides detailed information associated with currently available

industry standards and technical reports.

The third section of this Technical Report provides detailed information related to industry best practices

associated with all the customary project phases for EDMS technology analysis, selection and implementation.

These project activities are considered to be industry best practices. It has been demonstrated over the past

10 years that organizations following all the recommended steps and activities have a much greater level of

project success while greatly decreasing, and in most cases, eliminating unnecessary technologies, user

licenses, etc. This is very important, especially with most organizations carefully examining all expenditures

related to technology procurements.

This Technical Report provides detailed guidance to organizations considering the use of any of those

technologies that comprise EDMS (document imaging, document/library services, routing//workflow, records

management applications, forms management, enterprise report management, etc.). A complete records

management programme is critical to any organization and is integral to any complete and thorough

management plan associated with electronic information, regardless of whether it is internally referred to as a

“document”, “record”, “audio”, “video”, etc., by the organization.

All relevant project steps, tasks and activities contained within this Technical Report, together with compliance

with relevant industry standards and guidelines, should be examined and “certified” by the technical

implementation team as being in compliance with these industry best practices, thereby ensuring, especially

for organizations that are required by government codes and/or regulations, that industry best practices,

guidelines, and/or standards established by ANSI, AIIM, and/or ISO are followed.
© ISO 2009 – All rights reserved v
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ISO/TR 22957:2009(E)

The term “electronic document management” used throughout this Technical Report is intended as an “all-

encompassing” term referring to inputting technologies [scanning, indexing, optical character recognition

(OCR), forms, digital creation, etc.], management technologies (document services, workflow and other work

management tools) and storage (primarily non-alterable or write-once read-many) technologies. This

Technical Report provides information to users related to what technical reports, guidelines and standards

have been developed for technologies commonly available in document management systems.

Over the years, the industry has utilized various terms and acronyms to describe these core technologies,

including, but not limited to,
⎯ technology utilization,
⎯ eCommerce,
⎯ content management,
⎯ B2B,
⎯ P2G,
⎯ G2G,
⎯ knowledge management,
⎯ EDMS,
⎯ ECM,
⎯ ERMS,
⎯ EDRMS,
⎯ EC3M,
⎯ WCM,
⎯ BPM,
⎯ etc.

It is important for organizations to recognize that technology vendors commonly develop new terms and

acronyms to present updated product technology and new uses for existing technologies. While these

applications and/or products typically provide additional level of functionality, they are still based on at least

one of the following core EDMS technologies, including
⎯ document/library services,
⎯ document imaging,
⎯ forms management,
⎯ routing/workflow, and
⎯ ERM.

Additionally, it is important for organizations to recognize that many acronyms have different meanings,

depending on which industry and/or organization is using those terms. For example, the acronym BPM is used

to describe business process management, which is a process undertaken by the organization, is also used to

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ISO/TR 22957:2009(E)

reference business process modelling, and is currently being used by some vendors and vendor-specific

organizations to redefine workflow. The use of this term is a good example of how vendors re-use terms

commonly utilized by the industry for other purposes. Throughout this Technical Report and specifically in the

document subclauses describing various implementation process and activities, the business reviews how

processes function and how the organization manages these business processes. From that perspective, the

entire lifecycle of any EDMS project can be referred to as business process management. This is not to

indicate that there can be only one definition for any term, but it is necessary for organizations to consider

carefully the context in which the vendors/suppliers are using these redefined terms to ensure the

desired/anticipated technology is implemented.

Another example is the use of ERM, which is used to describe electronic report management, but is also used

by records managers to describe electronic record management. This Technical Report provides information

related to those terms and acronyms recognized by the document management industry that best describe

the underlying technologies, enabling readers to have a foundation from which they can determine what is

required by the organization, regardless of the product name or acronym used by various vendors.

This Technical Report is not intended to be an all-inclusive paper on electronic document or content

management and does not attempt to influence any single technology or provide legal guidance or legal

opinions. While there are storage technologies other than optical/magnetic currently available (i.e. microfilm,

microfiche and hybrid storage systems) that are not included in this Technical Report, it is advisable to review

those technologies if they are determined to be appropriate by the end-user organization.

© ISO 2009 – All rights reserved vii
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TECHNICAL REPORT ISO/TR 22957:2009(E)
Document management — Analysis, selection and
implementation of electronic document management systems
(EDMS)
1 Scope

This Technical Report presents a recommended set of procedures and activities that are advisable when

performing analysis, selection and implementation of project phases associated with electronic document

management systems technologies. This Technical Report provides user-level information outlining specific

recommended activities to be completed throughout the various project phases typically performed when

implementing these technologies. It outlines the steps and activities, together with compliance with relevant

industry standards and guidelines that need to be examined and “certified” to ensure relevant technologies

have been analysed, designed, implemented and managed, ensuring document/record validity when used in a

business or government environment.

This Technical Report provides both user- and technical-level information and guidance detailing specific

recommended activities and project tasks/phases recognized throughout the EDMS industry as being the

EDMS industry best practice related to analysing business processes, evaluating appropriate/relevant

technologies and ensuring complete technology implementation where required by the organization.

2 Normative references

The following referenced documents are indispensable for the application of this document. For dated

references, only the edition cited applies. For undated references, the latest edition of the referenced

document (including any amendments) applies.
ISO 12651:1999, Electronic imaging — Vocabulary

ISO 15489-1, Information and documentation — Records management — Part 1: General

ISO/TR 15489-2, Information and documentation — Records management — Part 2: Guidelines

3 Terms, definitions and abbreviated terms
3.1 Terms and definitions

For the purposes of this document, the terms and definitions given in ISO 12651, ISO 15489-1 and

ISO/TR 15489-2 apply.
3.2 Abbreviated terms
API application programming interface
ASAP asynchronous service access protocol
B2B business-to-business
BPM business process management
© ISO 2009 – All rights reserved 1
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ISO/TR 22957:2009(E)
BPR business process re-engineering
COLD computer output to laser disk
COM computer output microfilm
COTS commercially available off the shelf
CSF critical success factors
CWAD common workflow audit data
DMA Document Management Alliance
1) 2)
ECM enterprise content management or electronic content management
EC3M enterprise content, collaboration and communications management
EDMS electronic document management systems
EDRMS electronic document records management systems
ERM enterprise report management
ERMS electronic records management systems
G2G government-to-government
ICR intelligent character recognition
IDL interface design language
IT information technology
OCR optical character recognition
ODBC open database connectivity
ODMA Open Document Management API
OLE object linking and embedding
OMG object management group
OMR optical mark reader
P2G public-to-government
RFP request for proposal
RMA records management applications
SOAP simple object access protocol
WAPI workflow application programming interfaces
WCM web content management
WfMC Workflow Management Coalition

1) Enterprise content management is defined in ISO 12651-1 as a set of tools and methods that allows an organization

to obtain, organize, store and deliver information crucial to its operation. It can be broken down into five major components

consisting of capture, manage, store, preserve and deliver content.

2) Electronic content management is the same as EDMS in that it focuses on the technology aspects of the overall

environment.

3) Although there is a difference between enterprise content management, electronic content management and

electronic document management systems, in this Technical Report the acronyms EDMS and ECM are used

synonymously from the perspective that both require the use of core technologies, together with policies, procedures and

methodologies to successfully design, implement and manage electronically stored information.

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ISO/TR 22957:2009(E)
4 Electronic document management technologies
4.1 General

Even in today's world, many organizations still function almost entirely in a “paper-driven” environment. This

environment is a direct result of the need to maintain information on all aspects of the organization and can be

seen throughout many organizations. When considering EDMS technologies, organizations should consider

implementing the necessary foundational components and then add other functionalities as required.

Electronic document management systems (EDMS) has become an all-encompassing term, referring to the

integration of various underlying technologies including
⎯ document imaging (used to convert hard copy documents into digital format),

⎯ document/library services (used to manage digitally born documents) (most EDMS systems allow users

to use this technology to also manage scanned documents, if desired),

⎯ workflow (used to route, track, and otherwise manage electronic documents and work activities),

⎯ enterprise report management (ERM) (used to store electronic formatted reports),

⎯ forms management (used to incorporate interactive forms and manage related forms data),

⎯ optical character recognition (OCR)/intelligent character recognition (ICR) technologies,

⎯ various applications (also considered add-ons) such as records management applications, legacy system

integration tools, etc.

Electronic document management systems provide users with greater access to digital information from a

common user interface, through the utilization of industry standard Internet browser technology. One of the

primary reasons users prefer this level of technology is the distributed functionality and extent of digital

information availability that can be accessed almost immediately after implementation.

The structure of EDMS technologies can be viewed as a set of building blocks as noted below in Figure 1. The

lowest level is the operating system.

Database services and storage device drivers are installed onto the server as the second layer. The selection

of the database to be used is typically at the discretion of the organization, but has become standardized

through the use of open database connectivity (ODBC) tools which have resulted in the database components

to be considered a “commodity item”, rather than a specialized tool.
Records
Document Document/ Routing/ Forms
management
imaging library services workflow processing
application(s)
Base application services
Database devices Storage device drivers
Operating system
Figure 1 — EDMS technology building blocks

The third layer includes the base ECM application components and services provided by the service provider.

This layer typically includes the solution configuration tools, application programming interfaces, and

application components that integrate the core applications components with the database services and

provide the components integrating the storage environment with the overall solution.

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ISO/TR 22957:2009(E)

The fourth layer incorporates the various core technologies of EDMS. Each of these core technologies (with

the exception of the operating system layer) are further described in 4.2 to 4.11.

4.2 Database services

There has been a significant shift from developing custom technology solutions at the database level to

configuring or implementing commercially available software over the past 10 years. As the EDMS industry

and associated technologies matured, end-user organizations were able to shift from a “development” model

to a “configuration” model for the base technological components.

This is an important consideration for any organization evaluating EDMS technologies from the perspective

that almost all of today's EDMS solutions have moved away from the need to have specialized database

administrators towards actually discouraging organizations from changing and/or modifying the EDMS

database table structures and configuration, which in many cases now result in the solution provider

withdrawing solution support. While years ago it was important for the organization to hire dedicated EDMS

database administrators, this is no longer the case. Over the past 5 years, the industry has noticed that almost

all EDMS solutions (with the exception of highly specialized solutions) have effectively standardized on the

most commonly used database platforms, enabling the solution providers to offer standardized support,

thereby significantly reducing the organizational cost associated with hiring database specialists solely or

primarily dedicated to managing the EDMS solutions.
4.3 EDMS application services

The next layer in the “building block” is considered to be the EDMS server application. Early in the

development and maturity cycle of EDMS technologies, end-user organizations were required to provide

database administration and resources. During the late 1980s and early 1990s, the EDMS technologies had

not matured to the level approaching the commercially available off the shelf (COTS). While the EDMS

technologies were maturing, end-user organizations were required to maintain the database together with the

application.

Current versions of enterprise EDMS solutions have shifted the database administrative functions back to the

vendor with the end-user organization responsible for daily application maintenance and periodic server

maintenance. Most enterprise EDMS solution providers provide their products with technical support including

system installation, initial configuration, application updates/patches, etc. This major shift from requiring

significant technical resources at the end-user level to vendor-supported solutions has resulted in an

extensive amount of vertical market penetration. This has been achieved through the use of the standard

technology components configured to address specific environments and business needs.

4.4 Core technologies and application-specific modules
There are various core technologies and application-
...

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