ISO TC 171Document Management

ApplicationsBetsy Fanning

TC171 and TC171 SC2 SecretariatAIIM

Industry Overview TC171 Overview Projects Future

Agenda

The tools and technologies used to:

Capture — move content (in any form) into your repositories for reuse or retirement

Manage — move it around the enterprise to drive key applications and processes

Store — put it in a logical place for easy access Preserve — long-term archival and storage Deliver — get to the right audience on the right

device

…documents and content related to organization processes.

What is ECM?

ECM DriversWhen you consider your document and records management projects and priorities, what is the most significant business driver for your organization? (Check only ONE)

Compliance continuing to take 2nd place

during recession

2004 2005 2006 2007 2008 2009 20100%

10%

20%

30%

40%

50%

60%

Cost/EfficiencyCompliance/RiskCustomer ServiceCollaboration

N=680 Non-trade,

ECM DriversThinking about the compliance benefits of ECM and Records Management, which of the following are the TWO most important compliance drivers in your organization?

#1 Customer/supplier

litigation

#2 Financial reporting and audit

N=680 Non-trade,

Contract/customer/supplier litigation

Financial reporting/Sarbanes-Oxley

Your financial audit

Your own ISO quality programs

Industry specific regulations

Employee regulations

Health and safety regulations

Competition regulation/fair-trading

Patent protection

0% 5% 10% 15% 20% 25% 30% 35% 40% 45%

Our content chaos is getting out-of-hand and we need to control it

We are keen to maximize knowledge-sharing for our increasingly dispersed workforce

We need to improve our ability to respond to, or pursue litigation

We want to use Share Point for many things including document management

We have had compliance issues due to poor record-keeping

Our industry is coming under increasing regulation

We realize that we have no way to manage important emails

We feel that the ROI from scanned forms/invoices/mail is now well proven

It has become much more affordable due to SharePoint

0% 10% 20% 30% 40% 50% 60% 70%

ECM Drivers – new users What would you say are the two main reasons that triggered your organization's decision to plan an ECM system? (Max TWO)

60% of new ECM users cite

“content chaos” as the main reason for

adopting ECM

28% want better knowledge

sharing

“SharePoint effect” for 22%

N=110 new implementers

ECM Drivers – content typesHow are the following content types managed and archived in

your organization?

40% with documents in ECM/DM/RM

system (scanned and electronic)

15% storing emails in

ECM/DM/RM, 29% in EMM

system

N=604 Non-trade,

Scanned documents

Electronic documents

Faxes

Emails

Photo images

Active web pages

Archived web pages

Audio recordings

Video/CCTV recordings

Internal blog posts

Telephone recordings

Instant messages

External blog posts

Twitter posts

0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

In an ECM/RM system In a stand-alone management system In a well organized fileshare

ECM Drivers - ElectronicHow confident are you, that if challenged, your organization could demonstrate that your electronic information (excluding emails) is accurate, accessible, and trustworthy?

Electronic (not emails)

41% Slightly or not at all confident

N=607 Non-trade,

Very confident

Quite confident

Confident

Slightly confident

Not confident at all

0% 5% 10% 15% 20% 25% 30%

ECM Drivers - EmailsHow confident are you that emails related to documenting commitments and obligations made by you and your staff are recorded, complete, and retrievable?

Emails

56% Slightly or not at all confident

N=607 Non-trade,

Very confident

Quite confident

Confident

Slightly confident

Not confident at all

0% 5% 10% 15% 20% 25% 30% 35%

ECM Drivers - Emails Which of the following would best describe standard practice in your organization for dealing with "important" emails?

43% still relying on personal

Outlook folders

28% have access to a DM/RM/EMM

system

12% printing and filing paper

N=607 Non-trade,

File in personal Outlook folders

Capture to general purpose ECM/DM/RM system

Save individual emails to network document fileshare

Capture to dedicated email management system

Print emails and file as paper

Copy/transfer to Shared Folders in Outlook

0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 50%

PrioritiesWhat would you say are the three most important ECM issues or current projects for you right now? (Max. THREE)

#1 Implementing

RM

#2 Emails as records

#3 Multiple Repositories

#4 Getting started

#5 E-Discovery

Implementing electronic records management

Managing emails as records

Integration of multiple repositories

Getting an ECM project off the ground

E-Discovery

Enterprise search

Agreeing to a corporate taxonomy or fileplan

SharePoint deployment

Collaboration and E2.0

SharePoint governance

Long term archive

Moving to an integrated capture platform

Moving to an integrated BPM platform

Accessing content on mobile devices

Moving to an SaaS or Cloud model

None of these

0% 5% 10% 15% 20% 25% 30% 35% 40%

N=607 Non-trade,

SharePoint – AdoptionHave you implemented Microsoft SharePoint 2007 (WSS/MOSS) in your organization?

32% have 2007 in use, 21%

implementing,

13% have plans,

66% Total

Only 28% have no plans

No, and no plans; 28%

Plans in next 12-18 months; 13%

Using SharePoint 2003; 8%Using 2003 but implementing

2007; 5%

Implementing 2007 ; 16%

Windows SharePoint Services 3.0 WSS in

use; 7%

Office SharePoint Server 2007 MOSS in

use; 22%

SharePoint 2010 in use, or im-minent use; 3%

N=680 Non-trade,

SharePoint - PlansDo you have a formal plan or strategy in place describing where you will utilize your SharePoint investments and where you will utilize other ECM investments?

46% need a plan but don’t

have one

12% don’t even know where to

start

N=366 SharePoint users

Excl. 81 “Not Sure”

We have a formal plan in place and it is in production today

We have a formal roadmap of where each will be used but it is not executed

We do not have a formal plan, although we see the need for one

We do not have a formal plan, nor a starting point to develop one

0% 10% 20% 30% 40% 50%

SharePoint - PlansWhich of the following would you use to best describe your current or planned use of SharePoint in your organization with regard to your existing ECM, DM and RM suites?

28% in parallel or competition

12 % portalling &

8% linked to RM

Only 11% say “SP is our ECM

suite

N=442 SharePoint users

Works in competition

Works in parallel

Fills in some functions

Acts as a portal to our existing suites

Sits on top of our DM/RM repository

SharePoint is our ECM suite

None of these

0% 5% 10% 15% 20% 25% 30% 35%

Multiple RepositoriesThinking about your plans in the next 2 years to provide employees with a single point of access to content repositories across your organization, which of the following is the best description of the approach you plan to take or have taken?

36% green-field ECM

32% using portals (22%

with SharePoint)

5% relying on Enterprise

Search

20% no plans

N=633 Non-trade,

Migrate content to a centralized ECM system

Provide a single-sign-on portal using SharePoint

Provide a single-sign-on portal using an alternative provider

Provide a single-sign-on portal using Open Source

Use only a dedicated Enterprise Search engine

Not planning to link up repositories

We do not have any significant repositories to link up

0% 5% 10% 15% 20% 25% 30% 35% 40%

Standardization of quality control and integrity maintenance in the field of document management. Documents may be managed in micrographic or electronic form.

This includes: processes involving capture, indexing, storage, retrieval, distribution and

communication, presentation, migration, exchange, preservation and disposal; input/output quality of documents (micrographic or electronic); implementation, inspection and quality control procedures for storage, use and

preservation of documents (micrographic or electronic), including supportive metadata;

applications involving workflow (process management) in an enterprise and on the Internet;

maintenance of quality and integrity during information exchange between systems;

procedures and processes supporting legal admissibility and/or integrity and security;

management of related audit trail information.

Scope

Promote the recognition of the legal admissibility of information on recorded media

Standardize terminology Create criteria for assessing the integrity of captured

documents and quality of storage media Develop uniform test methods Encourage systems compatibility and document file

portability

TC171 Objectives

TC171

SC1Quality

SC2Application Issues

SC3General Issues

Leadership

TC171 Organizational Structure

PDFTraditional Document

Mgt.Administration

SC2

Electronic ImagingWG2

32000WG8

PDF/AWG5

PDF/UAWG9

MetadataWG6

QualityWG1

PDF/EWG7

SC2, Application Issues

Germany Japan Russian Federation South Africa Spain Switzerland Ukraine United Kingdom United States

Australia Austria Belgium Bulgaria Canada China Cuba Czech Republic France

TC171 Membership

Observing Countries: 25

JTC1, Information Technology JTC1/SC23, Optical disk cartridges JTC1/SC28, Office equipment JTC1/SC29, Coded representation of picture, audio, and

multimedia TC6, Paper, board and pulps TC10, Technical drawings TC10/SC1, Technical drawings – General principles TC42, Photography TC46, Information and documentation TC46/SC9, Identification and description TC46/SC11, Archives/records management TC215, Health informatics TC184/SC4, Industrial automation systems

TC171 Liaisons

Gerard Cathaly-Pretou, TC171 Chairman Alan Shipman, SC1 Chairman Robert Breslawski, SC2 Chairman Andrew Pibworth, SC3 Chairman Betsy Fanning, TC171 and SC2 Secretary Bernd Borchert, SC1 and SC3 Secretary

TC171 Leadership

Robert Breslawski, SC2 WG1 Convenor William Neale, SC2 WG2 Convenor Stephen Levenson, SC2 WG5 Convenor Robert Breslawski, SC2 WG6 Convenor Dennis Newman, SC2 WG7 Convenor Nora Calvillo, SC2 WG8 Convenor Dennis Newman, SC2 WG9 Convenor Virginia Jones, SC3 WG1 Convenor

Working Group Leadership

Increase the rate of success and reduce risk in implementations

Increase acceptance by users and management Protect technology and product development

investments Reduce procurement and manufacturing costs Reduce compliance costs and risks Improve quality Facilitate the expansion of the industry Facilitate long-term storage of electronic documents

Benefits

ISO/DIS 12651-1, Electronic document management – Vocabulary – Part 1: Electronic document imaging

ISO/CD 12651-2, Electronic document management – Vocabulary – Part 2: Workflow

ISO/CD 14641-1, Electronic archiving – Specifications concerning the design and the operation of an information system for electronic records preservation – Part 1

ISO/DTR 14105, Document management – Change management associated with EDMS technologies

Active Projects

PDF/A, ISO 19005 (Parts 1, 2 and 3)◦ Archiving electronic documents

PDF/E (Engineering), ISO 24517-1◦ For engineering, architectural, and GIS documents

PDF/E (Engineering), ISO/NWP 24517-2◦ Archive engineering, architectural, and GIS documents

PDF/UA (Universal Access), ISO/CD 14289-1◦ Intended to address Section 508 concerns

PDF Healthcare◦ Exchange of electronic health records (CDA and CCR)

PDF, ISO 32000-1 (ISO/CD 32000-2) PRC, Product Representation Compact (ISO/CD 14739-1)

PDF Standards

ISO 3334 – Micrographics – ISO resolution test chart No. 2 – Description and use

ISO 8126 – Micrographics – Duplicating film, silver, diazo and vesicular – Visual density – Specifications and measurements

ISO 8514 – Micrographics – Alphanumeric computer output microforms – Quality Control (2 parts)

ISO 10594 – Micrographics – Rotary camera systems – Test target for checking performance

ISO 12653 – Electronic imaging – Test target for the black and white scanning of office documents (2 parts)

Test Charts

ISO 11928 – Micrographics – Quality control of graphic COM recorders (2 parts)

ISO/TR 12031 – Micrographics – Inspection of silver-gelatin microforms for evidence of deterioration

ISO 14648 – Micrographics – Quality control of COM recorders that generate images using a single internal display system (2 parts)

Quality Control

ISO 10196 – Micrographics – Recommendations for the creation of original documents

ISO 10244 – Document management – Business process baselining and analysis

ISO 10255 – Document management applications – Optical disk storage technology, management and standards

ISO 11506 – Document management applications – Archiving electronic data – Computer output microfilm (COM/computer output laser disc (COLD)

Imaging

ISO 12029 – Document management – Machine-readable paper forms – Optimal design for user friendliness and electronic document management systems (EDMS)

ISO/TR 12033 – Document management – Electronic imaging – Guidance for selection of document image compression methods

ISO 22938 – Document management – Electronic content/document management (CDM) data interchange format

ISO/TR 22957 – Document management – Analysis, selection and implementation of electronic document management systems (EDMS)

ISO 23868 – Document management – Monitoring and verification of information stored on 130mm optical media

Imaging

ISO 6196 (10 parts) – Micrographics - Vocabulary ISO/TR 12036 – Micrographics – Expungement, deletion,

correction, or amendment of records on microforms ISO/TR 12037 – Electronic imaging – Recommendations for the

expungement of information recorded on write-once optical media

ISO/TR 12654 – Electronic imaging – Recommendations for the management of electronic recording systems for the recording of documents that may be used as evidence, on WORM optical disk

ISO/TR 15801 – Document management – Information stored electronically – Recommendations for trustworthiness and reliability

ISO/TR 18492 – Long-term preservation of electronic document-based information

Terminology/Legal Issues

Open SourceWhich of the following potential benefits would most lead you to investigate an Open Source ECM product? (Max. TWO):

74% have an open mind on Open Source

Cost and simplicity are

biggest drivers

N=607 Non-trade,

Would not consider Open Source

Lower ongoing support costs

Lower initial cost

Simplicity/ease of use

Customization capability

Reduced vendor-lock in

Community additions in vertical applications

Bad experience with previous systems/vendors

0% 5% 10% 15% 20% 25% 30% 35% 40%

Open Source Do you have plans to implement an Open Source ECM system or portal?

6% using Open Source ECM

5% using other Open Source

WCM or portal

9% have plans in next year or

two

N=607 Non-trade,

Already have Open Source ECM system in use

Already have Open Source information access portal in use

Already have Open Source Web Content Management in use

Plans in next 12 months

Plans in next 2 years

0% 1% 2% 3% 4% 5% 6% 7%

CloudDo you have plans to use a "Cloud" solution or Cloud storage for your document and records management? (Cloud = off-premise, on an un-specified server)

43/55% would consider a Gov.

Cloud or Corporate Cloud

20/28% would consider a

branded cloud anywhere/in

national locale

Few have any immediate

plansN=585 Non-trade.

Normalised for Not Applicable

Local (identifiable) outsource

Government organized cloud

Corporate cloud

Google/MS/Amazon/etc cloud within defined national locale

Google/MS/Amazon/etc cloud stored anywhere

Google apps/docs to replace MS-Office

0% 20% 40% 60% 80% 100%

Using now Plan in next 18 months Possibly Wouldn't use

Enterprise 2.0In your view, how critical is Enterprise 2.0/external social media to your organization’s overall business goals and success?

Enterprise 2.0 (internal)

29% “Imperative” or

“Significant”

External 2.0 (social media)

21%

N=643 Non-trade,

Imperative

Significant

Average

Minimal

Not at all

0% 5% 10% 15% 20% 25% 30% 35%

External 2.0Enterprise 2.0

Enterprise 2.0Which THREE of the following would you say are the key drivers for use of external Social Media in your organizational unit?

Marketing

Customer Feedback

Staff Research

N=575 Non-trade,

As a marketing tool to publicize products, events, etc, (eg. through Twitter and Facebook)

Improved communications for customers to feed back to the business (eg, Forums)

As a knowledge resource for staff to research or seek answers (TripAdvisor/ Facebook/ LinkedIn/ Twitter)

Opportunity for staff to participate in forums with solutions to FAQs, product features, etc.

Job recruitment/candidate research (eg, LinkedIn)

Source/research of individual contacts or unusual opportunities for sales team (eg, LinkedIn)

Listening in on social media for favorable/unfavorable comment (eg, Twitter storms)

Channel/partner/membership network communications (eg, private forums)

Profile generating tool for your key managers, authors and/or knowledge experts (eg. via Blogs)

None of these

0% 5% 10%15%20%25%30%35%40%45%

Enterprise 2.0Which THREE of the following would you say are the key drivers for internal Social Media/collaboration/Enterprise 2.0 in your organizational unit?

Knowledge Sharing

Team Collaboration

Project Coordination

N=575 Non-trade,

Better use of shared knowledge

Increase collaboration within and between teams

Better project management and coordination

Better communication between management and staff

Brokering - bringing together people and expertise

Reduce travel and meetings costs

Self-service facilities for staff and new recruits

Better cohesion and social inclusion between staff

Better sharing of competitor updates, product problems, etc.

None of these

0% 10% 20% 30% 40% 50% 60%

Social networking will make a dramatic change to business life in the next few years

It is easier to locate “knowledge” on the Web than it is to find it on our internal systems

I expect to use the same type of networking tools with my business colleagues as I do with my friends and family

Email will become less and less important for internal communication

Twitter is an important rapid-feedback tool for business use, not a time-waster

Social networking only works if you expose personal details but I am prepared to take that risk

0% 20% 40% 60% 80% 100%120%140%160%180%

Series1 Strongly disagree Disagree Neither agree nor disagree Agree Strongly agree

Enterprise 2.0How do you feel about the following statements?

N=575 Non-trade,

39

Understanding Markets in Transition

40

Understanding Markets in TransitionAIIM Task Force

For more information -- http://www.aiim.org/futurehistory

41

The Evolution of Technology Markets

Image source = http://www.directimpactnow.com/

42

You Say You Want a RevolutionConsumer Technologies and the Enterprise

Enterprise ITOn Hold

Consumer ITOn Fire

Source = AIIM and TCG Advisors

43

Command and control

Systems of Engagement Emerge

Systems of Record Systems of Engagement

Transaction-oriented

Document-centric

User learns system

Security is key issue

Interaction-oriented

User-centric

System learns user

Privacy is key issue

Collaborative

Source = AIIM and TCG Advisors

44

Command and control

Systems of Engagement Emerge

ECM Social Business Systems

Transaction-oriented

Document-centric

User learns system

Security is key issue

Interaction-oriented

User-centric

System learns user

Privacy is key issue

Collaborative

Source = AIIM and TCG Advisors

Issues for users raised by emergence of SOE

45

◦ Does this mean the end of a focus on Systems of Record?

◦ What does CONTROL mean in the world of Systems of Engagement?

◦ What kinds of use cases will help make Systems of Engagement meaningful?

Betsy FanningPh: +1.301.755.2682Skype: betsy.fanningEmail: bfanning@aiim.org Twitter: bfanningLinkedIn: www.linkedin.com/in/betsyfanning

Questions/Contact