Integrating EDMS Functions & RM Principles.

This article explores the integration of electronic document management system functions with records management principles and the convergence of these business practices and technologies. An enterprise model for integrated document and records management is presented, building a context for unified information management solutions.

Electronic document management systems (EDMS) offer solutions for mission-critical and administrative document control. These systems organize and manage collections of information -- in the form of electronic documents -- providing access within workgroups and across the organization. Electronic document control, however, is just one component of the solution. In many cases, electronic documents are official records that must be managed and controlled according to formal records management (RM) principles.

EDMS Functions: Business Solutions for Document Control

Electronic document management systems provide automated approaches for controlling document-based information. These systems provide several core functions including the creation or capture of electronic documents, optional workflow tools, storage sub-systems, communications tools, search and retrieval capabilities, and output sub-systems. Beyond these core functions, the component technologies and applications of document management technologies vary widely.

Each document technology has specific features and benefits, and each is designed to solve different types of document management problems. Applications range from simple document scanning and retrieval systems to sophisticated applications tightly integrated with enterprise information systems. These applications may employ traditional EDMS technologies such as document imaging, workflow, computer output to laser disk (COLD), and document management library services. They may also employ technologies for content searching, intra/Internet access and publishing, as well as collaborative work management.

No matter how varied the application of document technologies, the business benefits are the same:

* Improved decision making by getting the right document-based information to the right person at the right time

* Improved control and security providing audit trails of document activities ensuring their use as reliable information resources

* Improved information access with content and index searching tools to ensure document-based information availability

To deliver these benefits, EDMS solutions are based on the concept of a document repository. This term relates to the use of a database management system to store and access information associated with the documents captured or created by the EDMS. The database contains index information or profile information describing the stored electronic documents.

"Indexing documents" is a term generally associated with document imaging and COLD applications. These document technologies require manual or automated data entry indexing tasks to capture document types, numbers, dates, or other critical descriptive information. "Profiling documents" is a term often used with document management library services applications. This category of applications focuses on the electronically generated, unstructured information in the organization. Unstructured information includes documents generated by PCs using, for example, word processing, spreadsheets, presentations, and CAD, as well as electronic documents created by line-of-business applications. Document management applications provide valuable document-control activities such as check in/out of the repository, security, audit trails, and version/revision control. Profile data may include information such as author, date, version, originating application, and hierarchical structures (such as folders and files).

The term "metadata," or data describing stored information, captures the combined essence of indexing or profiling attributes. Metadata values provide descriptive information used for searching and retrieval of electronic documents stored in the repository. The document metadata may also automatically associate electronic documents with electronic file folders, workflow tasks, or other activities in the work process.

EDMS solutions are continually evolving and maturing. According to a paper published by AIIM International in 1998, the major trends in the industry include:

* Integration of document technology solutions into application suites

* Expanded use of Web tools with browser interfaces to the repository through the intra/ Internet

* Scalable solutions using messaging infrastructures and Web approaches for enterprise document management

Implementation of EDMS solutions requires consideration of the following questions:

* Which documents should be stored in the repository?

* What metadata should be assigned to them?

* How long should documents be kept in the repository?

* What media should be used to store them?

* What actions should be taken once they are removed from the repository?

RM Principles: Organization Practices and Policies for Records Control

The answers to the previous questions exist in the foundational elements or principles of a comprehensive records and information management program. The nature and scope of records management and the level of sophistication of records management programs vary from organization to organization. Historically, the core tasks of records management include the classification of records, storage in a logical fashion, management and tracking of location, retrieval to support business needs, and destruction or archiving when legally required (Doculabs [July] 1998).

Records management principles dictate the best practices and policies for records control -- both paper and electronic. These practices offer significant benefits to the organization. They help to

* Manage risks associated with information by ensuring the organization is in a legally defensible position

* Reduce the cost of information by controlling record volumes and selecting appropriate storage approaches

* Improve the efficiency of recordkeeping including the accountability and protection of vital records and data

* Ensure access to recorded information when and where it is needed

The document life cycle is a model for defining records control activities in each phase of a document's life -- creation and capture, use and processing, storage and retrieval, output and distribution, retention and disposition. With paper records, active and inactive storage locations and the transfer of records between locations must be tracked. Paper records management practices and policies focus on files, folders, boxes, and storage media. Retention and disposition depend on the assignment of a record to a records series ensuring proper controls at the end of a paper record's life.

In the electronic record environment, records management practices and policies must address the business processes, information users, media, and technologies associated with electronic records. This includes traditional electronic document formats as well as new formats such as electronic mail, multi-media information formats, and Web content. Retention and disposition depend on the assignment of metadata to electronic documents. This metadata can ensure proper controls throughout an electronic record's life.

A retention schedule is the primary tool for managing the control and disposition of records. Retention schedules based on retention policy address the selection, classification, and required disposition of records. This includes vital records protection and archival strategies for media and migration. The retention schedule should address paper and electronic records including the electronic document metadata.

The distinction between documents and records affects the selection of best practices and technologies for applying programmatic records management and control functions.

Documents

* Documents are created in conjunction with the daily tasks of the organization.

* They are created to record and convey information.

* They will contain characteristics of creation (date, author, content, revisions, annotations, signatures, certifications, etc.) and use (origination point, location, distribution, revisions, annotations) that can be captured in document metadata.

* They may have transitory, collaborative, or referential value to the organization.

Records

* Records are created and retained to meet operational and legal requirements by accurately recording a business event.

* To have a record, documents are first created and then protected or preserved for future reference or evidence (although not all records are documents per se).

* Preservation requires determining who is responsible for maintaining the document, where the document is located, and how long it must be retained.

* Retention requires the assignment of individual documents to document classes or series and should be based on corporate records management policies.

Records management must also address protecting the reliability and trustworthiness of records. This practice depends upon the procedures used to create documents that are preserved as records. Records management may need to reach every desktop -- where electronic documents are created -- to protect the structure, content, and context of these records from alteration or corruption (Skaggs 1999). This need may entail development of new organizational models and requires consideration of the following questions:

* What documents are records and require formal records management control?

* How should records be captured and managed?

* What indexing or classification scheme is consistent with retention requirements?

* How should users be involved with classification and retrieval?

* What tools do users need to ensure acceptance and participation?

* What methods of preservation and/ or destruction should be used to ensure consistent business practices?

Strategic Convergence: Approaching a Common Goal

Many organizations have implemented records management systems (RMS) to address these questions. RMS refers to the full complement of hardware and software to implement automated records management controls. Most of these systems have matured beyond records center and space management to include features for electronic records control. The element vital to the success of RMS is the controlled storage, retrieval, and disposition of documents -- again, paper and electronic -- via a record repository. The repository stores record-specific metadata in a relational database and should be designed to apply retention and disposition rules uniformly.

It is apparent from the comparison of EDMS and RMS solutions that they are approaching a common goal: full life-cycle management of documents. The convergence of EDMS solutions with records management principles underscores the following common elements:

* Documents and records are key organization assets and can be used to improve business performance.

* Systems used to manage documents and records should become part of the organization's information technology infrastructure.

* Document and record repositories represent significant information stores for supporting operational and strategic initiatives of the organization.

EDMS solutions generally lack the capabilities for record control that are necessary to implement formal records management principles. The historical EDMS view of retention -- if addressed at all -- is limited to simple metadata fields without an integrated methodology for record selection, record review/approval, record disposition (archive or destroy), and process certification. The convergence of EDMS functions with records management principles underscores the fact that not all documents are records of the organization and therefore may not need to be controlled as official records. It also highlights the distinction between end-user-focused EDMS solutions and organization-or enterprise-focused RMS solutions. Additionally, the convergence brings to the surface other issues, such as the design of defensible digital documents and records management solutions, and the protection of document authenticity (implying that the document has not been altered or manipulated).

Table 1 provides a framework for evaluating the difference between EDMS and RMS solutions.

Table 1 Comparison of EDMS & RMS Solutions

                 EDMS SOLUTIONS              RMS SOLUTIONS

Description      Electronic document         Recordkeeping for
                 capture/creation and        electronic documents
                 document management         that qualify as
                 (including workflow         records based on
                 and document control        business policies
                 functions) for desktop,     and rules. Record
                 line-of-business and        keeping to include
                 enterprise applications.    records management
                                             and records
                                             preservation.

Focus            Create, capture, store,     Preserve structure,
                 and retrieve documents      content, and context
                 to support business         of records to
                 processes                   support business
                                             policies

Responsibility   Document author or          Records management
                 originator in a             as an organizational
                 departmental function       function

Approach         LAN/Web-based filing        Corporate filing
                 systems using centralized   system ensuring
                 and decentralized           protection against
                 document repositories       alteration and
                                             revision via a
                                             shared record
                                             repository

To succeed as full-document lifecycle management tools, EDMS and RMS solutions must complement each other. At the core, this seems intuitive. The electronic document is the foundation of EDMS solutions. The document is also the foundation of records management practices. Beyond this, however, the convergence causes significant confusion. Even though they are both document-centric information management tools, they vary in terms of

* Repository approaches: centralized vs. decentralized and end-user controlled vs. enterprise controlled

* Profile and metadata approaches: end-user indexing vs. records personnel indexing; centralized database vs. distributed database

* Document searching approaches: document indexes vs. profiles and content vs. context

EDMS and RMS solutions also vary in terms of media and location management approaches. System design decisions regarding access requirements, storage sub-systems, retention management, and document preservation may differ based on the type of solution implemented.

Solution Approaches: Technology Solutions for Real Business Problems

The number of solution approaches and vendors in the marketplace can be overwhelming. For the purposes of this article, a subset of solutions that offer integrated EDMS/RMS capabilities was selected to highlight distinctions between technology approaches. This subset represents the vendors and solutions that have been tested and certified by the Joint Interoperability Test Command (JITC) as of May 1999, for compliance with the DoD 5015.2-STD RMA Design Criteria Standard (http:// jitc-emh.army.mil/recmgmt/).

1. RMS solutions that include document management functions: Solutions: TRIM Records Management Software Version 4.2 by TOWER Software Corp. (http://www.ustrim.com), ForeMost Versions 6.3 and 7.0 by Provenance Systems Inc. (http://www.provsys.com), and RIMS Studio Version 7.1 by PSSoftware Solutions Ltd. (http://www.pssoft.com)

These systems maintain a centralized records repository and categorize records according to a hierarchical file plan. The file plan is consistent across paper and electronic records and supports the assignment of disposition instructions. Paper management features are part of the core product offerings. Each of these applications includes document management functions to allow non-EDMS users to store electronic documents in the electronic records repository. Electronic documents are assigned a file code from the file plan. The records repository is managed according to formal records management principles and brings electronic documents -- including e-mail -- under the control of its business rules and processes.

2. Integrated RMS/EDMS solutions: Solutions: DMX Version 1.1 by Eastman Software with Dynsolutions (http://www.eastmansoftware.com), CS-CIMS Version 2.5 by DynSolutions (http://www.dyn solutions.com), Panagon Integrated Document Management (IDM) Version 4.2 by FileNET (http://www.filenet.com), DOCS Open Version 3.7.2 by PC DOCS, Inc. (http://www.pcdocs.com), and e. POWER Version 1.5 by Universal Systems, Inc. (http://www.usiva.com)

These systems represent the integration of document management repositories with records management repositories. In these product pairings, the RMS solution integrated is ForeMost from Provenance Systems. Both PSSoftware and TOWER Software also offer tools for integrating with stand-alone EDMS solutions. Table 2 depicts the EDMS/RMS integrated system relationship.

[TABULAR 2 DATA NOT REPRODUCIBLE IN ASCII]

The interface between the two systems is intended to be seamless to end users. A key element in the integration of EDMS/RMS solutions is the declaration process, which invokes controls for electronic documents to be managed as electronic records. There are two approaches used to establish this link:

* Transfer documents to the RMS. Filing a record in this approach refers to the transfer of the EDMS document profile to the RMS system for management and control until the end of the document life cycle. The EDMS metadata automatically populate the RMS profile, including assignment of the file plan (if possible). The process moves the electronic document to the RMS repository. Users have the option to leave a reference in the EDMS, but the document is deleted (unrecoverable) and is only accessible from the RMS. (DMX/ForeMost and CS-CIMS/ForeMost use this approach.)

* Synchronize documents in the EDMS/RMS. Filing a record in this approach refers to classifying a document by assigning a file plan code and then synchronizing the systems. The EDMS metadata automatically populate (assign index values without intervention) the RMS profile including assignment of the file plan (if possible). The process then restricts access to the original document in the EDMS to ensure no changes or modifications are made. The electronic documents, even after declaration as records, remain in the EDMS repository. (FileNET/ForeMost, PC DOCS/ ForeMost, and e.POWER use this approach.)

The EDMS and RMS search/ retrieval tools support access to the repositories. Electronic documents filed or declared as records are managed via formal records management controls and procedures. In many cases, these systems include other electronic document formats such as e-mail.

3. EDMS solutions that include record control functions: Solution: RecordsManager, Version 1.1 by IBM (http://edms.solutions.ibm.com)

This system and other solutions in this category incorporate records management practices in the core EDMS application. IBM's Documentum EDMS 98 platform integrates a full suite of electronic record control functions. This solution addresses the full life-cycle management of electronic documents, from the creation process under user control to the assignment of documents as electronic records under corporate control, to eventual disposition. This approach is designed to erase the EDMS/RMS distinction and provide all of the necessary functions for managing all organizational records -- paper and electronic.

Enterprise Model: From Point Solutions to an Enterprise Infrastructure

EDMS and RMS solutions are usually deployed as point solutions within specific departments or work-groups. These solutions, however, focus on shared information resources -- documents and records -- and should be shared systems across multiple departments. Success of these initiatives must focus on an integrated approach at the enterprise level. A common enterprise strategy for document and records management should address classification and indexing (metadata models), repository design, life cycle management, and integration with the information technology infrastructure.

Organizations must develop an integrated document and records management work plan to address these issues. A sample enterprise model for an integrated work plan is presented in Figure 3.

[Figure 3 ILLUSTRATION OMITTED]

What to Expect in the Future

Looking to the future of EDMS and RMS solutions, the following represent planned enhancements to current solutions (Doculabs [July] 1998):

* Integrated EDMS/RMS suite -- access to document management and records control functions through an integrated product interface

* Transparent infrastructure -- access to repositories transparent to end users based on information access requirements integrating seamlessly with current applications

Additional technology tools are being developed to enhance integrated EDMS/RMS system integrity and performance. The incorporation of intelligent agents, which are system queries carefully designed to monitor system activities, will play a significant role. Agent approaches may be used to facilitate the document-to-record declaration process and the automatic assignment of record profiles (including file plans). These tools recognize that end users should not require specialized records management knowledge. Records management should be a natural component of a business process. Agent technologies and other tools such as artificial intelligence will help simplify interfaces and reduce manual interaction with EDMS and RMS solutions.

The importance of records and document management in the organizational context of unified information management is receiving a great deal of attention in the marketplace. Initiatives such as knowledge management and the design of corporate portals focus attention on the value and use of document and records management repositories. Corporate portals are based on an organized hierarchy of information categories found within an organization, and capture information content and context. These solutions deliver personalized, integrated views of information across relevant information resources -- including document and record repositories -- offering organizations significant strategic benefits (Plumtree Software 1999).

Conclusion

In practice, integrating EDMS solutions with records management principles can be very complex. Albert Einstein once said, "Everything should be as simple as possible, but no simpler." This concept should guide the initiative: simplicity in design, implementation, and use of the tools. The keys to success are (1) focusing on the core functions and benefits of integrated EDMS/RMS solutions and (2) building enterprise models that support unified information management.

BIBLIOGRAPHY

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--. "ERM102: Enterprise Information Management." July 1998. See the Internet at http://www.chips.navy.mil/chips/archives/98_jul/c_ews5.htm.

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Plumtree Software. "Introduction to the Corporate Portal." March 1999. Also see http://www.plumtree.com/corpportal.html on the Internet.

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Strong, Karen. "Enterprise Document Management: Fact or Fiction." AIIM White Paper (1997). Also see http://www.aiim.org/publications/infoshop/info_isr. htm on the Internet.

--. Vol. 1 of the Clarity DMI Video Consulting Series: "Successful Document Management: A Structured Approach." 1997. Also see http://www.claritydmi.com/prodinfo.htm on the Internet.

Karen V. Strong, MIT, LIT, is the president of Clarity Inc. and the Clarity Document Management Institute, a consulting and education firm based in Austin, Texas. Strong has 16 years' experience in document and information management, and holds a master of business administration degree from the University of Chicago. She co-authored an article for The Information Management Journal on the integration of records management, document management, and knowledge management, which was published in January 1999. The author may be reached at [e-mail].