Agenda

1. Digital Government InstituteElectronic Records Management ConferenceMarch 2004AIIM Technical Report:Framework for the Integration ofElectronic Document Management Systems andElectronic Records Management Systems

2. Agenda • Part A – High Level Reference ModelCatherine Dodge Impact Innovations • Part B – Metadata for IntegrationBill Manago MDY Advanced Technologies • Part C – Implementation Approaches Jon Barrett Hummingbird

3. Acronyms • EDMSElectronic Document Management System • ERMSElectronic Records Management System

4. Part A:High Level Reference Model Catherine Dodge Practice Director, ECM Solutions Impact Innovations Phone: (410) 872 5610 Email: catherine.dodge@impactinnovations.com Impact Innovations Group Proprietary & Confidential

5. Agenda – Reference Model • Framework for Integration of EDMS / ERMS • What is a High Level Reference Model? • Integrated EDMS / ERMS Reference Model • 13 Functional Components • Functional Component Example

6. Framework for Integration of EDMS/ERMS • Integration – the combination of several software applications such that data can be transferred from one application to others through a consistent interface so as to better coordinate tasks and merge data • Integration Framework - EDMS and ERMS systems share common functionality (High Level Integrated Reference Model) AND EDMS and ERMS systems share common metadata (Metadata for Integration)

7. EDMS Standards Open Document Management API Web-based Distributed Authoring and Versioning Black Forest Group, “Document Management Services Across the Global Business Enterprise” Dublin Core Metadata Initiative Workflow Management Coalition ERMS Standards ISO 15489 (Information and Documentation – Records Management) DoD 5015.2 (Design Criteria Standard for Electronic Records Management Applications) UK PRO (United Kingdom Public Records Office) MoReq (Model Requirements for the Management of Electronic Records) Standards Plus Other Sources…

8. What is a High Level Reference Model? • Shared map of the components of an integrated systems. Each component represents: • Key business activities (functional components) that are integral to overall business functionality • Points of integration between EDMS / ERMS • Functional or technical components that are similar or identical • Comparison of metadata elements(sharing or co-ownership)

9. Integrated EDMS/ ERMS Reference Model Disclaimer • The model is an illustrative example • The model is not definitive, exhaustive or intended to imply a chronological order • Each enterprise will have a different view of the model as presented based on their own business drivers However……

10. Integrated EDMS/ ERMS Reference Model • …the committee believes that “…a reference model that is similar or analogous to the one presented in this report is essential for integrated EDMS/ERMS systems.” • The reference model provides a “framework” for you as you look to either integrate or procure an integrated EDMS/ERMS system.

11. 1. Content Creation & Capture 2. Content Management 8. User Management 3. Records & Asset Management 9. Search & Browse 4. Content Organization 10. System Configuration Metadata 5. Manage Content Use 11. System Administration 6. Metadata Management 12. Workflow Management 7. Content Repurposing & Publishing 13. Management Reporting Integrated EDMS/ERMS Reference Model

12. Integrated Model –Functional Components • Content Capture and Capture • Content Management • Records and Asset Management • Content Organization

13. Integrated Model –Functional Components • Content Use Management • Metadata Management • Publishing, Aggregation and Syndication • User Management

14. Integrated Model –Functional Components • Search and Browse • System Configuration • System Administration • Workflow Management • Management Reporting

15. Item Activity Brief Description EDMS ERMS 1.1 Define Content Define what content consists of. X 1.2 Convert Paper Content Capture/scan paper-based information into digital format. X X 1.3 Create or Receive Content Compose document content or receive document content from elsewhere. X X (Receive only) 1.4 Capture E-Mail Import/save email messages and attachments. X X 1.5 Generate Content Automatically Invoke established devices to provide previously created/received content. X 1.6 Link Content Associate present content with other information sources. X X 1.7 Annotate Content Annotate a document, including the association of that annotation with a document. X 1.8 Edit Content Add to, delete from, or otherwise modify content. X 1.9 Translate Content (Language) Render content in a language other than the source language. X 1.10 Version Content Alter created/received content sufficiently that it is considered to be a different version. X 1.11 Transform Content (Renditions) Render content by transformation such as changing text to presentation slides. X 1.12 Format Content Changing the physical appearance/arrangement of content or computer format (e.g., RTF, ASCII, etc.) X Functional Component Example(Create and Capture Content)

16. Next Steps…. • We need your feedback! • Is this useful? • What else would be meaningful? • Develop further into Technical Models and/orTechnical Standards • Best Practices • Expand to accommodate Approaches that make sense when integrating other Enterprise Content Management (ECM) applications to ERMS such as: • Workflow / Business Process Management • Web Content Management • Collaboration • etc.

17. Records Management Integration Services Part B:Metadata for Integration Bill ManagoDirector, Records Management Best PracticesMDY Advanced Technologies, Inc.21-00 Route 208 SouthFair Lawn, NJ 07410Phone: (201) 475 4772Email: Bmanago@mdy.com

18. Definition 1 The simplest useful definition of metadata is “structured data about data”. This very general definition includes almost a limitless spectrum of possibilities ranging from human-generated textual description of a resource to machine-generated data that may be useful only to software applications. Dublin Core Metadata Initiative, 02/07/1997

19. Definition 2 Perhaps a more useful “big picture” way of thinking about metadata is as “The sum total of what one can say about any information object at any level of aggregation.” In this context, an information object may be comprised of a single item, or it may be an aggregate of many items. Dr. Ann J Gilliland Swetland in “Introduction to Metadata”

20. Definition 3 The Macquarie Dictionary defines the prefix “Meta-” as meaning ‘among’, ‘together with’, after’ or “behind”. That suggests the idea of a fellow traveler; that metadata is not fully-fledged data, but is a kind of fellow-traveler with data, supporting it from the sidelines. It describes the information resource or helps provide access to the resource. Dr. Warwick Cathro National Library of Australia, August 1997

21. Purpose • ContentIdentify the name of the work, who created it, who formatted it and other descriptive information. • ContextProvide unique identification and links to organizations, files, or databases which have more extensive descriptive metadata about the work. • StructureExplain the technical environment needed to view the work, including applications and version numbers, decompression schemes, other files that may be linked to it, etc.

22. Function of Metadata • Assist with the retrieval of records • Improve the management of records • Document transactions relating to a record • Provide contextual and descriptive information that is essential to the integrity of records • Facilitate the sharing of information • Facilitate interoperability between applications and organizations

23. Objective To define a common core set of metadata elements within an integrated document and records management system, enabling users to begin saving these common elements. The elements are directly tied (linked or encapsulated) to the digital object for better understanding of that object.

24. 1. Content Creation & Capture 2. Content Management 8. User Management 3. Records & Asset Management 9. Search & Browse 4. Content Organization 10. System Configuration Metadata 5. Manage Content Use 11. System Administration 6. Metadata Management 12. Workflow Management 7. Content Repurposing & Publishing 13. Management Reporting The Glue:Integrated EDMS/ERMS Reference Model

25. Sources • Dublin Core • DoD 5015.2 Standard • Public Record Office – UK • MoReq • MS Word • WordPerfect

26. Organization • Document/Record Description • Access Controls • Retention/Disposition Instructions • History

27. Audience Author/Creator/Originator Contributor Coverage/Scope Date Available Date Closed Date Created Date Cutoff Date Declared/Filed Date Modified Date Received/Acquired Date Published Description/Abstract Document Type Format/Application From/Sender/Originator Key Words Language Document Description

28. Location Media Type Office of Origin Originating Organization Publisher Rendition Number Version Number Relationships/Links Signed By/Signatory Source Status Subject Title To/Addressee/CC/BCC Unique Identifier User Defined Fields Vital Record Indicator Document Description (continued)

29. Access Controls • Accessibility • Rights • Security Classification Markings • Supplemental markings

30. Disposition Instructions • Disposal Actions • Disposal Instructions • Disposal Action Dates • File Code Numbers • Category Code Numbers

31. History/Audit Trail • Change History • Date Accessed • Date Copied • Date Moved • Date Reformatted • Preservation Activity • Transaction Log • Migration History

32. System Requirements • Extract metadata elements automatically from records when they are captured • Permit metadata values to be retrieved and captured from lookup tables • Allow creator of records to manually enter pertinent metadata • Support the validation of metadata entered by users or imported from other systems • Logically link metadata to records, files and classes • Allow for the modification and reconfiguration of metadata sets

33. Part C:Implementation Approaches Jon Barrett Federal Program Manager Hummingbird Phone: (703) 380 3040 Email: jon.barrett@hummingbird.com Impact Innovations Group Proprietary & Confidential

34. Agenda – Implementation Approaches • Overview • The Challenge • The Method • The Results: Approaches to Implementation • Approach 1: Integration of Stand-alone Systems • Approach 2: Integrated System • Approach 3: ERMS Server in Control • Using the Approaches to Implementation • Where to from here ?

35. Overview - Implementation Approaches • The first two sections “Functionality” and “Metadata”describe the “what”. • The Implementation Approaches section deals with the “how” • Three broad approaches are described

36. The Challenge • This was arguably the most contentious section.Why ? • The Committee had to describe approaches that were: • Useful to the reader in describing both current andfuture implementation options. • Independent of Deployment architecture. • Independent of Repository architecture. • Did not favor one vender over another. • Could describe Vendor (COTS) or Custom Built systems.

37. The Method • Do not attempt to develop a full set of Technical Models,hence general “approaches”. • Do not define Technical Standards. • Does not attempt to answer the $64,000 question “When does a document become a Record ?”.It assumes that at some stage in the information lifecyclea Document becomes a Record. • To the committee’s knowledge, all EDMS/ERMS implementationsfall into one of these three approaches. • Do not judge or rank each approach.

38. SERVER /REPOSITORY USER INTERFACE Approach 1: Integration of Stand-alone Systems • The EDMS has its own User Interface and its own Repository/Server architecture. • The ERMS has its own User Interface and its own Repository/Server architecture. • An Integration is provided between the two systems.The approach described in this technical report is independent of the specifics of how the integration is achieved, or the technical platform(s) it is implemented on, hence the integration ‘cloud’. EDMSRepository/Server ERMSRepository/Server Integration EDMSUser Interface ERMSUser Interface

39. Approach 1: Integration of Stand-alone SystemsAttributes & Factors • Documents are Copied or Moved (some approaches support either or both) from the EDMS to the ERMS. • “Best of Breed” Approach • Leverage Existing Investments in either EDMS or ERMS by adding on the “missing” component. • Typically, the systems use different Search & Retrieval tools. • Considerations must be given to product lifecycle issues such assupport, maintenance, compatibility, and ownership of the ‘integration’ software. • Example: • MDY

40. SERVER /REPOSITORY USER INTERFACE Approach 2: Integrated System • The EDMS and ERMS User Interface is integrated. • The EDMS and ERMS Repository/Server Architecture is integrated. • For commercially available applications, the solution often is supplied by a single vendor or a vendor partnership. EDMS & ERMSRepository/Server EDMS & ERMSUser Interface

41. Approach 2: Integrated SystemAttributes & Factors • Single Repository Architecture.May or may not use a single Repository. • Typically use a single Search & Retrieval tool. • The approach now taken by most of the leading Content Management vendors. • Lowers technology risk and usually lowers the overallcost of an integrated solution. • Examples: • Documentum • Hummingbird • OpenText • Tower Software Note:Vendors may support multiple approaches

42. SERVER /REPOSITORY EDMSRepository/Server ERMSRepository/Server USER INTERFACE EDMSUser Interface Approach 3: ERMS Server In Control • The EDMS has its own User Interface and its own Repository/Server architecture. • A ‘back office’ ERMS Repository/Server architecture manages (from a Records Management perspective) objects in the DM Repository/Server architecture.

43. Approach 3: ERMS Server In Control Attributes & Factors • The single ERMS may support multiple EDMS Systems • Requires multiple integration “bridges” • The Record is preserved in the original EDMS application. • Low network traffic when a ‘Document’ becomes a ‘Record’ • The ERMS keeps ‘stubs’ that ‘point’ to the EDMS. • Key implementation factor is the level of control the ERMS can have over the EDMS system(s). • Does not require end-user interaction for a ‘Document’ to become a ‘Record’ • The newest and least implemented approach

44. Using the Approaches to Implementation • A common way to describe EDMS/ERMSimplementations at a conceptual level. • Can be used to describe • Current Systems • Future Systems • Is a useful tool when discussing implementation: • With all key stakeholders: • IT • Records Management • Business Groups • Executive • As a basis for Business Process discussions • As a basis for Technical discussions • As a basis for Security Discussions

45. Where to from here ? • The committee has not decided on where to take the Approaches next.Some ideas … • Develop further into Technical Models and/orTechnical Standards • Expand to accommodate Approaches that make sense when integrating other Enterprise Content Management (ECM) applications to ERMS such as: • Workflow / Business Process Management • Web Content Management • Collaboration • etc.