Document management -- Change management for successful electronic document management system (EDMS) implementation

ISO/TR 14105:2011 defines the cognitive, physical, organizational, and human factors as they apply to usability criteria for electronic document management systems (EDMS) development, selection and implementation. ISO/TR 14105:2011 provides a framework for understanding the basic issues and concepts of organizational and human factors associated with implementing EDMS technologies. It describes the principles of human factors and ergonomics in their application to usability criteria for the planning and implementation of EDMS technologies, to environmental and implementation issues, and to training for long-term productivity benefits.

Applications en gestion des documents -- Changement de gestion associé aux technologies du système de gestion électronique des documents (SGED)

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Status
Published
Publication Date
06-Jun-2011
Current Stage
6060 - International Standard published
Start Date
23-May-2011
Completion Date
07-Jun-2011
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TECHNICAL ISO/TR
REPORT 14105
Second edition
2011-06-15
Document management — Change
management for successful electronic
document management system (EDMS)
implementation
Applications en gestion des documents — Changement de gestion
associé aux technologies du système de gestion électronique des
documents (SGED)
Reference number
ISO/TR 14105:2011(E)
ISO 2011
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ISO/TR 14105:2011(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2011

All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means,

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Published in Switzerland
ii © ISO 2011 – All rights reserved
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ISO/TR 14105:2011(E)
Contents Page

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

Introduction.........................................................................................................................................................v

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

2 Terms and definitions ...........................................................................................................................1

3 Recommendations for EDMS implementation success ....................................................................2

3.1 General ...................................................................................................................................................2

3.2 Participation and integration................................................................................................................3

3.3 Strategic planning: organizational change strategy..........................................................................4

3.4 Organizational assessment..................................................................................................................5

3.5 Change management program ............................................................................................................7

3.6 Use of consultants ................................................................................................................................9

3.7 Time management ...............................................................................................................................10

3.8 Backfile conversion.............................................................................................................................10

3.9 Project objectives and goals..............................................................................................................10

4 Usability and ergonomic interfaces...................................................................................................11

4.1 General .................................................................................................................................................11

4.2 End-user analysis and usability.........................................................................................................11

4.3 Ergonomic criteria for selection of EDMS systems.........................................................................11

4.4 Software usability check-list ..............................................................................................................13

5 Workplace ergonomics.......................................................................................................................15

6 Use of change management for EDMS success ..............................................................................15

Bibliography......................................................................................................................................................16

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ISO/TR 14105:2011(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 14105 was prepared by Technical Committee ISO/TC 171, Document management applications,

Subcommittee SC 2, Applications issues.

This second edition cancels and replaces the first edition (ISO/TR 14105:2001), which has been technically

revised.
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ISO/TR 14105:2011(E)
Introduction

Electronic document management systems (EDMS) have unequivocally contributed to the ability of

organizations to automate portions, and at times all aspects, of a business process. These technologies are

successful when organizations consider that a significant amount of change will occur and that end-users,

information technology, management, records managers, and archivists are all affected. Planning and/or

implementing these technologies without recognizing the amount of change management typically results in

systems being implemented that do not meet the organization's needs, requirements, or expectations. It is

commonly recognized that without adequate planning and execution of change management, the introduction

and implementation of these technologies can actually place extra burden on the end-users and organizations,

at times contributing to project failures.

EDMS technologies are tools that assist the organization to improve processes where appropriate. It is critical

that the organization has the ability to separate non-technology-based change from technology-based change.

Planning change management, beginning with the initial project phases, results in the organization

understanding what needs to change, why, and what the desired result is, without adversely impacting the

end-users or the organization. Change always results in some impact; the key to change management when

implementing EDMS technologies is to minimize the adverse impacts and ensure that the organization has

ample time to implement the desired change in order to achieve the desired results after the technology is

implemented.

This Technical Report systematically identifies and reviews the ergonomic and organizational issues and

considerations associated with the selection, implementation, and work practice criteria for EDMS systems.

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TECHNICAL REPORT ISO/TR 14105:2011(E)
Document management — Change management for successful
electronic document management system (EDMS)
implementation
1 Scope

This Technical Report defines the cognitive, physical, organizational, and human factors as they apply to

usability criteria for electronic document management systems (EDMS) development, selection and

implementation.

This Technical Report provides a framework for understanding the basic issues and concepts of

organizational and human factors associated with implementing EDMS technologies. It describes the

principles of human factors and ergonomics in their application to usability criteria for the planning and

implementation of EDMS technologies, to environmental and implementation issues, and to training for

long-term productivity benefits.
2 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
2.1
culture
pattern of beliefs and expectations shared by the organization's members

NOTE An organization's culture defines the way in which individuals and groups within the organization behave, as

encouraged by the organization's values and beliefs.
2.2
ergonomics
human factors

applied science that studies, designs and adapts equipment, work and the environment to meet human

capabilities and limitations and to enhance safety and comfort
2.3
EDMS
electronic document management systems

computer-based applications dealing with the management of documents throughout the document life cycle

[IEC 82045-1]

NOTE There is a difference between enterprise content management (ECM), and electronic document management

systems. For purposes of discussion within this Technical Report, the acronyms EDMS and ECM are often used

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

methodologies to successfully design, implement, and manage electronically stored information. Also, both can include the

use of records management applications that are sometimes referred to as either electronic records management (ERM)

or electronic document/records management (EDRMS). These acronyms constantly change within the document and

records management industry, therefore it is advisable to consider the technology being deployed and not only the

current/updated acronym(s) being used by the product suppliers.
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ISO/TR 14105:2011(E)
2.4
ECM
enterprise content management

set of tools and methods allowing an organization to obtain, organize, store and deliver information crucial to

its operation
NOTE 1 ECM can be broken down into five major components:
a) capture;
b) manage;
c) store;
d) preserve;
e) deliver.
NOTE 2 Adapted from ISO 12651-1.
2.5
operations
business process used to carry out the objectives of an organization
2.6
readiness
willingness of employees to adapt to changes in their jobs and work environment
2.7
repetitive strain injury

class of medical condition of the joints caused by repetitive motion, which is often rapid, forceful, and/or

extreme

EXAMPLE Repetitive strain injuries include tendonitis and carpal tunnel syndrome.

3 Recommendations for EDMS implementation success
3.1 General

Understanding that the issues described in this Technical Report exist and occur is not enough.

Implementation success depends on how these issues associated with planning and implementing these

technologies are anticipated, planned for, and creatively addressed. Unfortunately, too many line managers

and technical project managers have tried to avoid the issues, only to experience disappointing results. The

best way to resolve these issues and control the fate of an installation is to augment project plans with

activities designed to focus on the human and organizational aspects of EDMS. This can be done by

establishing a foundation of user participation that will be the methodology underlying strategic planning,

organization assessment, and change management activities. To see how these activities fit into the project

plan, see Table 1.
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ISO/TR 14105:2011(E)
Table 1 — Success through project management
Phase 1: Phase 2: Phase 3: Phase 4:
Planning Design and preparation Implementation Evaluation

High-level process baseline Anticipated process design System installation Post-implementation

review

Detailed process baseline Application development Pilot system Continuous improvement

Functional/technical requirements Orientation/communication System tuning Fine-tune operations

Process analysis Development of reward and Reorganization External audit trial
recognition
Conduct organization assessment Change management activities Training
Identify technology-based and Validation meetings Validation meetings
non-technology-based change
requirements
Develop change management Work/job redesign
plan
3.2 Participation and integration

3.2.1 The key to success in implementing EDMS lies in integrating the key elements mentioned:

⎯ technology;
⎯ readiness;
⎯ operations;
⎯ culture.

The best way to accomplish this integration is through the active participation and involvement of users.

3.2.2 One of the most commonly noted issues that may contribute to the failure of EDMS projects is that

participants feel their views are only given nominal value and that many of the major decisions are already

made and the process is being conducted to legitimize the outcome wanted by management. It is essential

that people feel their views are considered and either adopted or that a reasonable and valid reason be given

why their proposals cannot be applied.

3.2.3 Participation of all levels of employees in the implementation process is an underlying theme of the

following recommendations. At a minimum, key users (also referred to as “champion users”) should be

identified throughout the organization. These “champion users” are typically senior or lead users who can

provide input and feedback via a bidirectional communication model enabling the EDMS team and the users

throughout the organization to be involved in all appropriate aspects of the analysis, design, and

implementation project phases. The benefits of employee participation are increased motivation, higher

productivity, and improved quality. In one study in which resistance to work changes was lower in groups that

participated in making those changes, researchers identified the following two key points.

a) Participation is a necessary but not sufficient means of reducing resistance.

b) Participation is “a feeling on the part of people, not just the mechanical act of taking part in discussions”.

3.2.4 Organizations that have left the “champion users” out of the planning, problem solving, analysis, and

redesign or that have only marginally involved employees through random conversations and presentations

have been unable to tie together the four key elements:
a) technology;
b) readiness;
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ISO/TR 14105:2011(E)
c) operations;
d) culture.

3.2.5 One of the best ways to ensure participation is through a “design team”. Selected by senior

management, this team should comprise representative individuals from all levels and all key job functions as

well as members of the technical project staff. The goal of this group is to jointly design the new work

processes and jobs to best utilize the EDMS and human resources. The formation of this team will alleviate

many of the “us-versus-them” problems that arise when the technical staff, records management team, or

end-user representatives work separately from the other portions of the business unit in designing a system.

This design team should begin its work with a one-day or two-day training session that reviews the following

topics:
⎯ team charter, roles, and responsibilities;
⎯ project objectives and goals;
⎯ change parameters established by senior management;

⎯ methodology for work redesign that looks at both the social aspects of work and the technical aspects of

work;

⎯ problem-solving techniques such as brainstorming, flow charting, using cause-and-effect diagrams, and

the like;
⎯ development of effective teams;
⎯ effective team behaviours;
⎯ use new technologies as support of the project.

3.2.6 The design team should continue to meet on a regular basis to accomplish the following tasks.

a) User analysis: identify users, determine the extent to which their needs are being met, and identify

actions that can be taken to increase user satisfaction.

b) Technical analysis: document how work flows, where problems occur, and where these problems are

first discovered. Also, determine how EDMS can impact the current business processes and the

associated variances that will be affected.

c) Business process redesign: according to information already gathered, rethink new approaches to the

business process designs.

d) System design: according to information already gathered, finalize system specifications.

e) Organization design: according to the new business processes and system capabilities, determine

structural changes that need to be made in the organization, if any.

f) Implementation plan: identify the steps and resources required to move from the current organization to

the selected EDMS technology(ies).
3.3 Strategic planning: organizational change strategy

The most important contribution senior executives can make early in the project life cycle is to participate in a

strategic planning session. The purpose of this session is to clearly articulate desired project goals and

objectives and the desired organizational change. Most organizations develop a “technology strategy” of

which EDMS is a part. Usually this is tied to a “business strategy”. The third component of this “strategic

triangle” is the “organizational change strategy”. In many cases, this third critical strategy is non-existent.

Failure to articulate an organizational change strategy can lead to failure to manage the human and

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ISO/TR 14105:2011(E)

organizational impact of EDMS. Trying to manage the human and organizational issues without a coherent

strategy will result in an unfocused and ineffective change management effort.

The strategic planning session should focus on answering the following questions:

⎯ What aspects of our culture are effective?

⎯ What aspects of our culture are ineffective with regard to EDMS implementation?

⎯ In what ways will EDMS impact our employees and key external organizations?
⎯ What structural changes in the organization are likely to result from EDMS?

⎯ How much change do we want in this organization? When examining the continuum of control versus

commitment, where are we now with regard to management style? Where do we want to be?

⎯ What technology based change is appropriate for the organization?

⎯ How should the project be phased to allow adequate time for change management and organizational

acceptance of the selected technologies?

⎯ Do we simply want to automate existing processes or do we want to fundamentally change workflows?

The outcome of these meetings should be clearly stated objectives for change management and a set of

guidelines for change that can be used by implementation teams. For example, are there any processes or

procedures that cannot be changed due to regulatory requirements? Can certain positions be eliminated;

alternatively, should all job titles remain in the organization? Can resources be redirected?

3.4 Organizational assessment
3.4.1 Data gathering models

While the development of an organizational change strategy will provide the foundation for a change

management process, it is equally important to have a clear and accurate understanding of the specific issues

that are important in each organization. No two organizations will have exactly the same reaction to EDMS.

Therefore, another critical recommendation is to conduct an organizational assessment. Many organizations

make the mistake of developing a change management program based on perceived, rather than known,

concerns. This approach may have little impact and great cost.

An organizational assessment should obtain thorough qualitative and quantitative data about “readiness,

operations, and culture”. The data gathered through an assessment will then be used to develop a targeted

change management program. The organization should carefully consider the culture and organizational

structure and utilize one or more of the following data gathering models:
⎯ high-level and detailed process baselining;
⎯ questionnaires;
⎯ interviews;
⎯ focus groups.
3.4.2 High-level and detailed process baselining

The creation of a high-level process baseline will enable the organization to identify those key areas of the

business that need to be further examined along with identifying key users who are most knowledgeable

about the detailed aspects of the process(es). The detailed process baselining enables the organization to

gather information related to how the business is currently being conducted and also enables the key users to

provide input and feedback on those areas that could be changed, updated, etc. This greatly improves the

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overall communication model throughout the organization as this process requires end-user participation and

input. One-on-one discussions throughout the discovery process improves the level of detail gathered and

typically results in the identification of end-user “work-arounds”, issues reducing the effectiveness of the

organization, and those areas that end-users recognize as needing to be updated or changed.

3.4.3 Questionnaires
A written questionnaire can be designed to gather data on many of the key areas.

A written questionnaire is particularly useful in large organizations where it is impractical to interview all

employees. This tool offers one way to give each employee an opportunity to voice opinions and provide input

to the implementation of the EDMS system. It is also useful in large organizations because differences

between subgroups can be identified, and appropriate change management strategies can be developed

accordingly.
3.4.4 Interviews

Since not all questions can be answered in questionnaire format, individual interviews are another valuable

source of information. Individual interviews are particularly useful in providing employees with a forum for

offering their suggestions for a smooth transition. When selecting employees to be interviewed, care should

be taken to ensure a representative sample of employees for each work unit and at each level of the

organization.
A written questionnaire can be used to help:
⎯ users before meetings to prepare for process related interviews;

⎯ users begin collecting information and materials that will be needed by the design team;

⎯ interviewers better organize meetings and establish meeting expectations.
3.4.5 Focus groups

Focus groups provide an excellent source of data regarding “operations”, an area that does not lend itself

easily to the questionnaire format. A sample of employees representing all key functions in a transaction (for

example, mail clerk, claims administrator, claims adjuster, supervisor, and the like) can effectively review the

process to determine the key problems, the ways in which EDMS can help solve problems, and which

problems need solutions other than EDMS. Focus groups provide an additional source of data for the

facilitator, i.e. they provide an opportunity to see the organization in action, which can yield additional data

about such cultural issues as teamwork, communications, and management practices. The following

questions are particularly amenable to the focus group format:
⎯ How might people resist organizational change?
⎯ How will people respond to new technologies?
⎯ How effective are current company training and evaluation methods?
⎯ How will new organizations change the daily life of employees?
⎯ What are the most difficult tasks performed today?
⎯ Where are you losing time in your job?

⎯ How important is the ability to retrieve information from document/record archives?

⎯ What are the tasks or activities that require communication with external organizations?

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3.5 Change management program
3.5.1 General

Once the data have been gathered and analysed, a targeted change management program can be created. It

is the follow-through on carrying out the change management program that will be most critical to the success

of the implementation process.

The change management program should look for additional opportunities to involve key users or “champion

users” in all aspects of the EDMS project. This can be done by establishing “user involvement teams”. The

teams would be created to develop strategies for managing the key issues that were identified through the

organizational assessment. For example, separate teams might look at issues such as communications,

training, and policies and procedures. Since many of the team members may not have had opportunities to

help shape their organizations, the teams, such as the “design team”, will need some initial training in team

building, problem solving, and meeting management.

While each organization will develop a change management program that is unique to its own situation, three

broad areas that every organization will need to address are
⎯ communication,
⎯ training, and
⎯ job design.
Some general guidelines are given for these areas in 3.5.2, 3.5.3, and 3.5.4.
3.5.2 Communication

In most organizations, communication is not as good as it should be. While this is not usually detrimental to

the business, lack of communication at critical times of change can lead to failure of the change effort. The

following are suggestions about communicating during times of transition.

a) Fully describe the problem previously identified by the end-users and management acknowledging the

input from users that were interviewed and participated in the process baselining activity.

b) Identify the following:
1) What information is difficult to find?
2) What challenges do the users encounter with the current process?
3) Who will benefit from technology based change?
4) What types of non-technology based change is desired/required?
5) What will actually change?
6) What secondary changes will occur?
7) What will be changing for the organization as a whole?

c) Compensate for losses. For example, in EDMS environments, many employees feel a loss of

socialization with their peers or feel that the use of these technologies will increase management

oversight and force users to “account for their time”. While this may be an objective, how this is presented

to the end-users will greatly affect their interest and willingness to participate in any type of change.

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d) Communicate as much as possible. It is always better to over-communicate the project goals, objectives,

and status, rather than under-communicating the plan and what is scheduled to occur at what point of the

project.

e) Emphasize and demonstrate the active and direct support of all levels of the management team.

Some successful EDMS installations have relied on monthly or quarterly meetings, newsletters, electronic

mail updates, website communication pages, hot lines, and suggestion boxes. People in each organization will

need to determine what will work in their environment.
3.5.3 Education and training

3.5.3.1 A fundamental key to success is education. Education reduces fear, and the reduction in fear

increases acceptability of new technologies. Every person potentially affected by the change associated with

the move from current to new technologies should be involved in this education program. If a given operator is

only “a spoke on the wheel”, let them understand how they support the structure and strength of that wheel.

The focus of this program should reinforce the fact that EDMS systems are tools that enable the organization

to operate more efficiently and effectively.

3.5.3.2 Four mistakes are common reported during/after EDMS installations as follows.

a) Application training is inadequate. Employees are expected to learn everything they will need to know in

one session. Lack of follow-up training and lack of on-site support are other problems that employees in

EDMS installations frequently mention.

b) Application training is performed as a presentation and not “hands-on”. The lack of “hands-on” training

with the actual application being implemented along with sample data/documents similar and/or related to

the actual process result
...

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