5015.2 and Document Management Regulations

The Relevancy of Document Management Standards and ECM for

SMI

DoD 5015.2

What is 5015.2 and how does it fit into document management?

What, if any, benefit would SMI get with DoD 5015.2 compliance or certification?

Down the Rabbit Hole

How can one make sense of the different types of document management solutions (ECM, ERM, DM, RM, IC, BPM, EDM)?

What type of document management solution is DocMan considered?

How do regulations affect SMI?

Presentation Goals

Establish a common language for document management

Understand current compliance atmosphere for corporate and government agencies

Address SMI’s place in compliance for document management regulations

Document Management Systems

Multiple integrated systems

Multiple documents with advanced data management

Specific records for Admin/ Accounting

Start of the “Paperless Office”

Document Management Emerging Components as Identified by AIIM™

Top Regulatory Influences for Document Management

Freedom of Information Laws US Patriot Act Check 21 Sarbanes-Oxley Act E-Discovery SAS 70 National Archives and Records Administration

(NARA) ISO 15489 Records Management DoD 5015.2

SMI Considerations

Closely-Held Corporation Vendor of government services SAS 70 foundation CMMI start

Putting it TogetherRegulation Applicability What Could be done for ComplianceFreedom of Information Laws

Slightly applicable. More for government agencies SMI just needs to continue with “sustainable formats” to allow compatibility with state agencies

US Patriot Act Most likely not applicable. More for public financial and insurance companies

N/A

Check 21 YES for Payment Processing Assumption that is already covered

SOX Possibly applicable for ECM or in general, due to government contracts. Always applicable during litigation. In the general document management world, SOX and e-Discovery are prime influences.

SAS 70 may already cover. CMMI with an accounting focus may be another course of action.

e-Discovery rules YES for ECM and could be for any record. Many public companies use this as their motivating factor for a full ECM product.

For a start: Develop automatic email retention policies

SAS 70 YES. We actively use this to provide transparency and builds trust with its customers by having controls and operations independently verified by an unbiased third party…. Probably will cover for SOX?

N/A

ISO 15489 Possibly applicable for document management, due to requirements of state agencies.In the federal government doc mgmt world, 15498 and 5015.2 are prime influences.

For a start: Develop standardized processes covering wide areas of document management such as document lifecycle stages of creation, use, and deposition.

5015.2 Possibly applicable for document management, due to requirements of state agencies

For a start: Define what would be considered a record and develop standardized procedures around:1.Sustainable document formats 2.Data archive 3.Document Imaging4.Audit Trail5.Scheduling of data (temp/perm)6.Transfer media/medium7.Lifecycle

Questions Re-Addressed

What is 5015.2 and how does it fit into document management?

How are regulations applicable to SMI?

ECM DocMan

Does DocMan need to pursue DoD 5015.2 compliance or certification?

References

AIIM: ECM at Workhttp://www.aiim.org/viewpdfa.asp?ID=29914 AIIM Executive Forum Program Agenda

http://www.eventuring.org/eShip/appmanager/eVenturing/eVenturingDesktop?_nfpb=true&_pageLabel=eShip_articleDetail&_nfls=false&id=Entrepreneurship/Resource/Resource_521.htm

Botts, William. Managing Sarbanes-Oxley Compliancehttp://www.eventuring.org/eShip/appmanager/eVenturing/eVenturingDesktop?_nfpb=true&_pageLabel=eShip_articleDetail&_nfls=false&id=Entrepreneurship/Resource/Resource_521.htm

The Globe. A Step Forward or Backward?http://www.lawexchange.org/uploaded/globe/GLOBE06_SPRING.pdf Kumming, Kate. Evolution and requirements of ISO 15489

http://www.archives.govt.nz/continuum/documents/forum/2002-10-03/katec-03-10.pdf Fisher, Sharon. New e-discovery rules go into effect in December. http://

www.computerworld.com/action/article.do?command=viewArticleBasic&articleId=9001219&pageNumber=3 AIIM Webinar. Electronic Freedom of Information Act for Federal Agencies. http://

www.aiim.org/viewpdfa.asp?ID=28753 NARA’s Strategic Directins for Federal Records Management.

http://www.archives.gov/records-mgmt/initiatives/strategic-directions.html