1、ANSI/AIIM/ARMA TR48-2006REVISED FRAMEWORK FORINTEGRATION OF ELECTRONICDOCUMENT MANAGEMENTSYSTEMS AND ELECTRONICRECORDS MANAGEMENTSYSTEMS.November 6, 2006TECHNICALREPORTANSI/AIIM/ARMA TR48-2006ANSI/AIIM/ARMA TR48-2006 Copyright 2006 by AIIM International 1100 Wayne Avenue, Suite 1100 Silver Spring, M
2、D 20910-5603 USA Telephone: 301.587.8202 Fax: 301.597.2711 E-mail: aiimaiim.org Website: http:/www.aiim.org ISBN # 0-89258-414-9 No part of the publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any meanselectronic, mechanical, photocopying, recording, or o
3、therwisewithout prior written permission of the publisher. Printed in the United States of America. ANSI / AIIM / ARMA TR 48-2006 TECHNICAL REPORT REVISED FRAMEWORK FOR INTEGRATION OF EDMS AND ERMS ANSI / AIIM / ARMA TR 48-2006 Technical Report for Information and Image Management Revised Framework
4、for Integration of Electronic Document Management Systems and Electronic Records Management Systems An ANSI Technical Report prepared by AIIM and ARMA International November 6, 2006 Abstract: This technical report provides a revised framework for the integration of Electronic Document Management Sys
5、tems (EDMS) and Electronic Records Management Systems (ERMS). This report deals with what is required for EDMS and ERMS to integrate and interoperate. Revisions consist principally of changes to the parts of Sections 7 and 9 pertaining to metadata. 2006 AIIM International ii ANSI / AIIM / ARMA TR 48
6、-2006 TECHNICAL REPORT REVISED FRAMEWORK FOR NTEGRATION OF I EDMS AND ERMS Contents Foreword.iii 1 Scope .1 2 Purpose and Audience.3 3 References 3 4 Acronyms and Definitions.4 5 Overview of Electronic Document Management and Electronic Records Management Systems6 5.1 Electronic Document Management
7、Systems (EDMS) .6 5.1.1 Typical EDMS Functions.6 5.1.2 Examples of EDMS.7 5.2 Standards for EDMS 7 5.2.1 Open Document Management API (Application Program Interface)7 5.2.2 Web-based Distributed Authoring and Versioning7 5.2.3 Requirements for Document Management Services Across the Global Business
8、Enterprise8 5.2.4 Dublin Core Metadata Initiative.8 5.2.5 Workflow Management Coalition 8 5.3 Electronic Records Management Systems (ERMS) 8 5.3.1 Typical ERMS Functions.9 5.3.2 Examples of ERMS.9 5.4 Standards and Guidelines for ERMS .9 5.4.1 International Standard: Information and Documentation Re
9、cords Management (ISO 15489) .9 5.4.2 U.S. Department of Defense Standard: Design Criteria Standard for Electronic Records Management Applications (DoD 5015.2-STD) .10 5.4.3 United Kingdom National Archives .10 5.4.4 Model Requirements for the Management of Electronic Records (MoReq).10 6 The Busine
10、ss Case for Integrated EDMS/ERMS .10 6.1 Introduction 10 6.2 Relation to Enterprise Architecture and Systems 11 6.3 Vital Records and Continuity of Operations.12 6.4 Implementation Considerations .12 6.4.1 Openness and Scalability .12 6.4.2 Ease of Use.12 6.4.3 Pilot Programs and Business Process Re
11、engineering .12 7 Integrated EDMS and ERMS Review and Framework13 7.1 Framework for the Integration of EDMS and ERMS13 7.2 An Integrated EDMS/ERMS Reference Model 13 7.3 Overview of Metadata 15 7.3.1 The Meaning and Purpose of Metadata15 7.3.2 Approaches to Integrated EDMS/ERMS Metadata.15 8 Integra
12、ted EDMS/ERMS Reference Model Functionality.18 8.1 Content Creation and Capture .18 8.2 Content Management.19 8.3 Records and Asset Management.20 2006 AIIM i ANSI / AIIM / ARMA TR 48-2006 TECHNICAL REPORT REVISED FRAMEWORK FOR INTEGRATION OF EDMS AND ERMS 8.4 Content Organization .21 8.5 Content Use
13、 Management .22 8.6 Metadata Management 22 8.7 Publishing, Aggregation, and Syndication .24 8.8 User Management24 8.9 Search and Browse25 8.10 System Configuration.26 8.11 System Administration .26 8.12 Workflow Management 27 8.13 Management Reporting28 9 Integrated EDMS/ERMS Reference Model Metadat
14、a28 9.1 EDMS/ERMS Similarities and Differences.28 9.2 Metadata for the Integrated EDMS/ERMS Reference Model 29 10 Integrated EDMS/ERMS Implementation Approaches.34 10.1 Approach 1: Integration of Stand-Alone EDMS and ERMS.34 10.2 Approach 2: Integrated EDMS/ERMS36 10.3 Approach 3: Integrating ERMS i
15、nto an EDMS Repository/Server.37 11 Conclusion 38 Annex A Bibliography.39 Annex B Summary Comparison of EDMS and ERMS Activities 41 Figures Figure 1: ECM Components2 Figure 2: An Integrated EDMS/ERMS Reference Model14 Figure 3: Model 1: One-to-One Metadata Mapping 16 Figure 4: Model 2: Central Metad
16、ata Mapping17 Figure 5: Model 3: Unified Metadata Integration.18 Figure 6: Approach 1: Integration of Stand-Alone EDMS-ERMS .34 Figure 7: Approach 2: Integrated EDMS/ERMS .36 Figure 8: Approach 3: Integrating ERMS into an EDMS Repository/Server.37 Tables Table 1: Content Creation and Capture Compone
17、nt Details 19 Table 2: Content Management Component Details19 Table 3: Records and Asset Management Component Details20 Table 4: Content Organization Component Details 21 Table 5: Content Use Management Component Details 22 Table 6: Metadata Management Component Details .23 Table 7: Publishing, Aggr
18、egation, and Syndication Component Details 24 Table 8: User Management Component Details.24 Table 9: Search and Browse Component Details.25 Table 10: System Configuration Component Details26 Table 11: System Administration Component Details 26 Table 12: Workflow Management Component Details .27 Tabl
19、e 13: Management Reporting Component Details.28 Table 14: Metadata Elements and Authoritative Sources for Components of the Reference Model .30 ii 2006 AIIM ANSI / AIIM / ARMA TR 48-2006 TECHNICAL REPORT REVISED FRAMEWORK FOR NTEGRATION OF I EDMS AND ERMS Foreword Origins of the Committee and Shapin
20、g of the Report The AIIM/ARMA Standards Committee on Integration of Electronic Document Management Systems (EDMS) and Electronic Records Management Systems (ERMS) Functional Requirementsknown more commonly as Integrated EDMS/ERMS Functional Requirements or simply Integrated EDMS/ERMScame into existe
21、nce in 2002. At that time, interested parties in government, industry, and academia recognized the need to bridge the gap between EDMS and ERMS in a generalized manner. Functional requirements exist for electronic document management systems and for electronic records management systems. What had no
22、t existed were functional requirements for integrated EDMS/ERMS. Perceiving a growing need for such functional requirements, the interested parties petitioned the AIIM International Standards Board to establish a standards committee on functional requirements for integrated EDMS/ERMS. The AIIM Stand
23、ards Board approved the proposal and the committee held its initial meeting on May 23, 2002. The initial objective of the Committee was to produce a single set of integrated EDMS/ERMS functional requirements, those that must be shared in common between the two types of systems as well as those that
24、are unique to each kind of system. Early discussions resulted in a consensus that attempting to produce a full-fledged standard for integrated EDMS/ERMS functional requirements was too ambitious a goal as a Committee starting point. Hence, the Committee revised its scope to produce a short-term AIIM
25、 framework publication reflecting the current state of thinking in the field about how best to integrate EDMS/ERMS before moving on to the longer-term initial goal of producing a standard. Also, the Committee chose to concentrate on EDMS rather than the full panoply of information management and kno
26、wledge management systems. The choice was motivated by a consensus that this course would simplify the short-term work and by the conviction that a large percentage of the records that an ERMS deals with originate in EDMS. The Committee also agreed to deliver a short-term product that would stimulat
27、e valuable discussion and contributions from other interested parties in the U.S. national and the international communities. Such discussion might lead to a more rigorous ANSI/AIIM standard and eventually to an international standard. The TR48-2004 technical report was the initial product of the AI
28、IM/ARMA Integrated EDMS/ERMS Committee operating under its revised project scope. After the publication of TR48-2004, the Committee undertook further work on the metadata necessary for EDMS/ERMS integration. TR48-2006 incorporates the further work, which resulted in substantial changes to Section 7.
29、3, Overview of Metadata, and Section 9, Metadata. Industry Background The historical development of the EDMS/ERMS field over the past decade shows that software vendors have had differing approaches to incorporating ERMS into EDMS and other enterprise applications. Some companies developed paper bas
30、ed RM systems to which ERMS functionality was added. Some companies developed EDMS systems to which ERMS functionality was added. Some companies provided ERMS software and toolkits for integrating ERMS with other applications. Some companies have recently developed fully integrated EDMS/ERMS by migr
31、ating EDMS or ERMS code into their original application. Some companies are now offering an ERMS model in which ERMS functionality is partially embedded in enterprise applications, while reserving some ERMS functionality for a metadata server. Some companies are now offering ERMS and EDMS as compone
32、nts of larger Enterprise Content Management systems that include other information content management applications. Some software vendors that initially provided ERMS functionality and toolkits now offer sophisticated integration options that combine the functionality of both ERMS and EDMS. Over tim
33、e some EDMS 2006 AIIM iii ANSI / AIIM / ARMA TR 48-2006 TECHNICAL REPORT REVISED FRAMEWORK FOR INTEGRATION OF EDMS AND ERMS software vendors have purchased or developed ERMS software to actually create this level of integration between their two products. Another approach for ERMS integration incorp
34、orated some records management functionality into native applications while separating some records administration activities into a separate metadata server. Some vendors now offer ERMS and EDMS as components of Enterprise Content Management systems. The above generalizations only loosely describe
35、how companies move from one category to another over time as the field rapidly evolves. Mergers and acquisitions occurring in the industry further blur the lines, making it virtually impossible to characterize any specific company as dedicated to one approach over another. Yet it is not too much to
36、say that all industry software companies offering solutions to records management business processes are moving towards enabling customers to enjoy integrated EDMS/ERMS. Integration is moving towards a shared or federated repository approach and breaking down some of the traditional differences in f
37、unctionality between ERMS and EDMS products. The shared/federated repository approach allows organizations to build a content management framework within a secure collaborative environment by leaving electronic records for longer term retention in the applications in which the records were created.
38、This approach increases the potential value of the information held in the shared/federated repository by making it available for deployment in multiple enterprise applications. This report is a living document that will evolve as others comment on its contents, as the industry continues to change,
39、as integration experience is gained, and as business needs are assessed. Suggestions for improvement of this technical report are welcome. They should be sent to Chairman, Standards Board, Association for Information and Image Management, 1100 Wayne Ave., Suite 1100, Silver Spring, MD, 20910. This d
40、ocument was developed under the auspices of the Standards Board which approved it as an AIIM technical report. The Standards Board had the following members at the time it processed and approved this technical report: Name of representative Organization represented Linda Koontz, Chair U.S. Governmen
41、t Accountability Office Leslie Banach IBM Corporation Betsy Fanning AIIM International Chuck Fay FileNet Bruce Holroyd Eastman Kodak Company Virginia Jones Newport News Department of Public Utilities Bill Manago MDY Advanced Technologies Robert Breslawski U.S. TAG to ISO TC 171 Dan Schneider Melonie
42、 Warfel Adobe Systems Incorporated iv 2006 AIIM ANSI / AIIM / ARMA TR 48-2006 TECHNICAL REPORT REVISED FRAMEWORK FOR NTEGRATION OF I EDMS AND ERMS This technical report was prepared by the Integrated EDMS/ERMS Functional Requirements Committee, which had the following members: Name of representative
43、 Organization represented J. Timothy Sprehe, Chair Sprehe Information Management Associates Michael Adler The Adler Group Bruce Ambacher National Archives and Records Administration Owen Ambur XML Community of Practice Deborah Armentrout National Archives and Records Administration Denise Bedford Wo
44、rld Bank John Breeden Virginia Department of Transportation Carol Brock U.S. Government Accountability Office Tom Dale Dale and Associates Corporation Paul Fontaine Federal Aviation Administration, U.S. Department of Transportation Patricia Franks ARMA International Jack Frost Information Manufactur
45、ing Corporation Elizabeth L. Fugitt Federal Bureau of Investigation, U.S. Department of Justice Retta Graham-Hall Office of The Undersecretary of Defense for Personnel Readiness Margi Layman Snohomish County, Washington Alan Linden The Linden Group Bill Manago CA MDY Cheryl McKinnon Hummingbird Glad
46、ys Myatt U.S. Department of Treasury William E. Neale IBM Frank Nemeth EDS Carolyn Offutt U.S. Environmental Protection Agency John Phillips Information Technology Decisions Marshall Pimenta Westbrook Technologies Yvonne Pollard U.S. Mint, Dept. of Treasury Mary Rawlings-Milton Millican and may be l
47、arge, medium, or small in size. Enterprise Content Management ECM The technologies, tools, and methods used to capture, manage, store, preserve, and deliver content across an enterprise. information Data and documents that have been given value through analysis, interpretation, or compilation in a m
48、eaningful form. (ANSI/AIIM TR2-1998) 4 2006 AIIM ANSI / AIIM / ARMA TR 48-2006 TECHNICAL REPORT REVISED FRAMEWORK FOR NTEGRATION OF I EDMS AND ERMS information technology IT The application of methods and scientific knowledge for the collection of information. IT is commonly associated with the use
49、of electronic principles and devices for the development and implementation of electronic systems. 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 information. International Organization for Standardization ISO International agency for standardization in all fields, except electrical and electronic engineering. life cycle The course of developmental changes through which i
