What is Document Management?

This term is used in so many ways that confusion reigns when trying to describe what it really means. Is it a technology that is used to manage the distributed repositories of documents now dispersed throughout many organisations? Is it the set of technologies that enable organisations to disseminate information to both their internal resources, their clients and their suppliers? Is it the set of technologies such as imaging and forms processing that allow organisations to input and retrieve these paper-based documents in a convenient way? Is it technologies like workflow and groupware that manage both the transaction-oriented and collaborative ways that documents need to be processed within an organisation? Is it the non-technical management issues that organisations need to address to effectively process their organisational memory? The answer is yes to all these questions. Document management is all these things and more. Yes, document managers are the products and services that provide revision control and repository-oriented services for the electronic documents located throughout an organisation. Nevertheless, effective document management includes the use of these types of products and more. The integration of imaging, workflow, groupware, document managers, optical character recognition and other technologies, together with realistic standards-compliance and intelligent organisational management of these documents are what make up effective document management. AIIM embraces the use of effective document management technologies and practices and is the organisation that provides the most comprehensive resource to those organisations that seek to do the same.

What is the legal status of Optical Media?
In 1991 a task force was organised to develop a performance guideline that would provide guidance to information systems managers, records custodians and agency legal counsels in implementing legally acceptable methods for maintaining records using commonly employed or emerging information technology systems. The guideline is couched in terms applicable to information technology systems in general. Its conclusions were published in AIIM's TR 31 - Performance Guideline for the Legal Acceptance of Records Produced by Information Technology Systems. The following is abstracted from TR31 Part 1 scope.

Many government and private sector organisations have developed what amount to performance guidelines that address requirements for legal acceptance of records applicable to their own particular operations environment. Some have done so despite having to contend with poorly drafted legislation or regulations with confusing or outdated technical definitions or phraseology.

With or without formal guidelines, organisations often find they are ill-prepared to deal with litigation involving evidence in the form of records maintained in information technology systems, particularly computer-based systems, or with requirements of government agencies regarding submission of such records.

On January 22, 1991, a task force was organized to develop a performance guideline that will provide guidance to information systems managers, records custodians and agency legal counsels in implementing legally acceptable methods for maintaining records using commonly employed or emerging information technology systems. The guideline was to address two basic concerns: 1) admissibility of such records as evidence in federal or state courts; and 2) acceptance of such records by federal or state agencies. A notification letter of the modification of existing laws affecting optical disk records was distributed by the task force to various state and local agencies. See annex A. Task force letter and mailing list. Beyond its operational utility, the guideline was intended to provide a general functional perspective that will foster uniformity among the various forums that enact laws or set forth rules concerning legal acceptance of records produced by information technology systems. The goal is to minimize disparity in adoption of performance guidelines designed to facilitate compliance with these laws and rules, regardless of operational environment.

To this end, the guideline is couched in terms applicable to information technology systems in general. Special problems with a particular information technology system (e.g., optical disk) are addressed within the context of the system's application in the overall function it supports. The task force consists of managers, specialists, consultants and attorneys representing many years of experience with various information technology systems in both the government and private sectors. The need for a performance guideline was confirmed by responses as a comprehensive survey questionnaire mailed to records managers throughout the country. The guideline evolved during numerous meetings in which the task force considered presentations from government and private sector information systems specialists and attorneys, reviewed relevant federal and state statutes, regulations and agency guidelines, and pertinent conference papers and publications. These materials have been compiled into a bibliography included as an annex. The guideline is published in two parts: one addressing admissibility of records as evidence and the other addressing acceptance of records by government agencies.

For purposes of this guideline, an Information Technology System is any process or system that employs a mechanical, photo-optical, magnetic, electronic or other technological device for producing or reproducing records.

The guideline sets forth criteria for consideration by information systems managers, records custodians, organizational legal counsel, and individuals involved in drafting laws regarding legal acceptance of records. For additional information on related topics see annex D, Selected Readings. The criteria apply to records produced by information technology systems regardless of the physical characteristics of the record media or technology employed. This includes records produced by any technique employing an information technology system as defined above.

Part One of the guideline, Performance Guideline for Admissibility of Records Produced By Information Technology as Evidence, provides an overview of the definitions and doctrines of discovery, admissibility, and laying a proper foundation which are embodied in the Federal Laws of Evidence. An understanding of these definitions and doctrines is crucial to the establishment of a legally admissible records or information management program using information storage technology systems. Part Two of the guideline, Acceptance of by Government Agencies of Records Produced by Information Technology Systems, provides an overview of the laws that affect recordkeeping requirements, including requirements to maintain records, form of records, and records retention. It provides guidance to legislators for enactment of laws establishing jurisdictional standards for records produced by any information technology system that would effectively supercede or nullify existing contradictory laws and restrict the content of regulations in the recordkeeping area. It also provides guidance to systems developers on how to establish information technology systems that meet existing legal requirements until a legal consensus is reached related to this guideline.

Part Three of the guideline, Implementation of the Performance Guideline for the Legal Acceptance of Records Produced by Information Technology Systems, presents a systematic approach for implementing the findings and recommendations of the task force documented in Parts I, II, and IV. Specifically, it is intended to assist information system developers in establishing policies and procedures that meet legal requirements for acceptance of records produced by information technology systems. In addition, it provides a strategy for professional associations, industry groups, and others to promote the recommendations of the Performance Guideline.

The reports taken together provide a legally-acceptable formula for producing records by information technology systems regardless of the physical characteristic of the record media or technology employed. The guideline takes into account concerns of both government and the private sector, including those affected by laws and those who enforce laws. The resulting balanced approach permits the public to use any information technology system that best meets its needs (i.e., provides efficient access to information at the lowest possible cost) and, yet, provides government with the records and information it needs to enforce the law.

To assist with developing a model law and a user guide for implementing recommendations and promoting adoption of the law, AIIM was awarded a grant from the National Historical Publications and Records Commission (NHPRC). The goal of the grant was to minimize disparity among federal and state government organisations in the enactment of laws, promulgation of regulations and adoption of policies concerning legal acceptance of records produced by information technology systems. The task force decided that the best vehicle to accomplish the goals of AIIM and the NHPRC was through two separate but related legal actions - the model act and the model rule.

Part IV: Model Act and Rule. The act and rule are designed to encourage good recordkeeping practices by providing direction to government agencies in the establishment of requirements for acceptance of records produced by information technology systems. The model act, as proposed will have precedent over other contradictory laws and restrict the content of regulations in the recordkeeping area. The model act is a primary work-product under the grant. However, it takes a considerable amount of time to have a uniform law adopted, therefore, the task force also developed a model rule, because a rule can be implemented by government agencies in a relatively short period of time.

Before an organisation adopts the model act or rule, the organization's legal counsel should review the act or rule. Also the NHPRC and AIIM release claim of any and all copyright protection they may have in the whole or any part of the model act and rule. However, this release does not entitle another organization (or person) to claim copyright protection in the whole or any part of the model act or rule.

With or without formal guidelines, organisations often find they are ill-prepared to deal with litigation involving evidence in the form of records maintained in information technology systems, particularly computer-based systems, or with requirements of government agencies regarding submission of such records.

On January 22, 1991, a task force was organised to develop a performance guideline that will provide guidance to information systems managers, records custodians and agency legal counsels in implementing legally acceptable methods for maintaining records using commonly employed or emerging information technology systems. The guideline was to address two basic concerns: 1) admissibility of such records as evidence in federal or state courts; and 2) acceptance of such records by federal or state agencies. A notification letter of the modification of existing laws affecting optical disk records was distributed by the task force to various state and local agencies. See annex A. Task force letter and mailing list. Beyond its operational utility, the guideline was intended to provide a general functional perspective that will foster uniformity among the various forums that enact laws or set forth rules concerning legal acceptance of records produced by information technology systems. The goal is to minimize disparity in adoption of performance guidelines designed to facilitate compliance with these laws and rules, regardless of operational environment. To this end, the guideline is couched in terms applicable to information technology systems in general. Special problems with a particular information technology system (e.g., optical disk) are addressed within the context of the system's application in the overall function it supports. The task force consists of managers, specialists, consultants and attorneys representing many years of experience with various information technology systems in both the government and private sectors. The need for a performance guideline was confirmed by responses as a comprehensive survey questionnaire mailed to records managers throughout the country. The guideline evolved during numerous meetings in which the task force considered presentations from government and private sector information systems specialists and attorneys, reviewed relevant federal and state statutes, regulations and agency guidelines, and pertinent conference papers and publications. These materials have been compiled into a bibliography included as an annex. The guideline is published in two parts: one addressing admissibility of records as evidence and the other addressing acceptance of records by government agencies.

For purposes of this guideline, an Information Technology System is any process or system that employs a mechanical, photo-optical, magnetic, electronic or other technological device for producing or reproducing records.

The guideline sets forth criteria for consideration by information systems managers, records custodians, organizational legal counsel, and individuals involved in drafting laws regarding legal acceptance of records. For additional information on related topics see annex D, Selected Readings. The criteria apply to records produced by information technology systems regardless of the physical characteristics of the record media or technology employed. This includes records produced by any technique employing an information technology system as defined above.

Part One of the guideline, Performance Guideline for Admissibility of Records Produced By Information Technology as Evidence, provides an overview of the definitions and doctrines of discovery, admissibility, and laying a proper foundation which are embodied in the Federal Laws of Evidence. An understanding of these definitions and doctrines is crucial to the establishment of a legally admissible records or information management program using information storage technology systems.

Part Two of the guideline, Acceptance of by Government Agencies of Records Produced by Information Technology Systems, provides an overview of the laws that affect recordkeeping requirements, including requirements to maintain records, form of records, and records retention. It provides guidance to legislators for enactment of laws establishing jurisdictional standards for records produced by any information technology system that would effectively supercede or nullify existing contradictory laws and restrict the content of regulations in the recordkeeping area. It also provides guidance to systems developers on how to establish information technology systems that meet existing legal requirements until a legal consensus is reached related to this guideline.

Part Three of the guideline, Implementation of the Performance Guideline for the Legal Acceptance of Records Produced by Information Technology Systems, presents a systematic approach for implementing the findings and recommendations of the task force documented in Parts I, II, and IV. Specifically, it is intended to assist information system developers in establishing policies and procedures that meet legal requirements for acceptance of records produced by information technology systems. In addition, it provides a strategy for professional associations, industry groups, and others to promote the recommendations of the Performance Guideline.

The reports taken together provide a legally-acceptable formula for producing records by information technology systems regardless of the physical characteristic of the record media or technology employed. The guideline takes into account concerns of both government and the private sector, including those affected by laws and those who enforce laws. The resulting balanced approach permits the public to use any information technology system that best meets its needs (i.e., provides efficient access to information at the lowest possible cost) and, yet, provides government with the records and information it needs to enforce the law.

To assist with developing a model law and a user guide for implementing recommendations and promoting adoption of the law, AIIM was awarded a grant from the National Historical Publications and Records Commission (NHPRC). The goal of the grant was to minimize disparity among federal and state government organisations in the enactment of laws, promulgation of regulations and adoption of policies concerning legal acceptance of records produced by information technology systems. The task force decided that the best vehicle to accomplish the goals of AIIM and the NHPRC was through two separate but related legal actions - the model act and the model rule. Part IV: Model Act and Rule. The act and rule are designed to encourage good recordkeeping practices by providing direction to government agencies in the establishment of requirements for acceptance of records produced by information technology systems. The model act, as proposed will have precedent over other contradictory laws and restrict the content of regulations in the recordkeeping area. The model act is a primary work-product under the grant. However, it takes a considerable amount of time to have a uniform law adopted, therefore, the task force also developed a model rule, because a rule can be implemented by government agencies in a relatively short period of time.

Before an organisation adopts the model act or rule, the organisation's legal counsel should review the act or rule. Also the NHPRC and AIIM release claim of any and all copyright protection they may have in the whole or any part of the model act and rule. However, this release does not entitle another organisation (or person) to claim copyright protection in the whole or any part of the model act or rule.

The excellent and relevant publication: New Federal Procedures and Regulations for Document Management by Don Avedon. This publication outlines the important implications in IRS,SEC and FDA rules, procedures, and regulations. Editorial notes are also provided to help the reader understand each agency's requirements and consider alternative implementation steps.

The possible degradation of the optical disk (CD-ROM and WORM are types of storage methods on optical disk) is another issue of concern. There has been some evidence that the pits created by the laser fill in or chip away over time. There is, therefore, some concern regarding use of optical technology for "archival" purposes over long periods of time.

The last issue of concern is migration to new technologies over time. Because the technology is changing at lightning speed, there is no guarantee that records created using optical technology will be able to be read with the software and the hardware of the future. The opposite of this situation is also true. In early April 1997, a Washington-based federal appeals court refused to accept what apparently was the first appeal on a CD-ROM filed with any federal court. The U.S. Court of Appeals for the Federal Circuit said the appeal raised questions of fairness. The problem was that the lawyers for the other side in the case didn't have computers that could read CD-ROM.

Note: For copies of the above technical reports or publications, please visit the AIIM BookStore.

What is Workflow?

Workflow is the electronic expression of a process or policy. The policy is automatically deployed and contains facilities for monitoring, measuring, improving the processes, and policy implementation. This concept is called "continuous improvement".

Messaging-based workflow applications, like Keyflow, use the existing LAN/WAN/Intranet messaging environment as a platform for the entire workflow system. Keyflow leverages and extends the infrastructure investment in electronic messaging, by bringing users' work to the e-mail in-box. Users can complete their assignments and route them directly from their e-mail client. This approach works because it spans all business applications, as users tend to spend more time in their e-mail than any other specialised application.

What is Keyflow?

Keyflow is a collaborative workflow authoring solution based upon Microsoft Exchange Server. Keyflow expands the Exchange routing features by leveraging the messaging environment and the software is designed for business professionals who need to automate core office processes.

For example, graphical tools enhance the usability of Keyflow. The easy to use tools enable Keyflow users to map out a workflow, monitor a process, or modify the process to meet the evolving needs of their organisations, (See Figure 1). They can set up complex prerequisites, attach supporting documentation, or track the progress of a workflow.

Keyflow is a cost effective workflow solution because users don't have to wait for an event script (e.g. LotusScript) programmer to create an application for them. They are able to quickly design new processes, retain and refine those that work and discard those that don't - without investing hundreds of man-hours into analysis and applications development. If desired, users can use event scripting to extend Keyflow capabilities and to connect to legacy databases; however, the workflow process remains graphical.

Keyflow enables users to build real-world solutions for mission critical problems, quickly and economically and adheres to the principles of continuous improvement.

Microsoft Exchange and Keyflow
Futures Microsoft Exchange Tomorrow - Version 5.5 The next version of Microsoft Exchange, version 5.5, will include an event server. The server will include the ability to automatically carry out script rules, "smart routing". In Exchange v5.5, it will be possible to associate scripts (written in VBScript or Microsoft's version of JavaScript, known as Jscript) with events occurring in public (shared) folders. So, for example, when an item is posted to a folder, users can invoke a script to handle new items.

Keyflow Expands Exchange v5.5 Event Service
The Exchange v5.5 Event Service allows authorised folder owners to create and edit scripts that fire in response to events occurring in those folders. The event processing runs on the server and can be characterised as agent technology.

Some event subroutines that authorised users could create are illustrated with the event script calls below:

Folder_OnMessageCreated
Folder_OnTimer
Message_OnChange

The following event scripting example is for when an event is fired when a new message is added to the folder:

Public Sub Folder_OnMessageCreated
On Error Resume Next

GetEventDetails If Err.Number = 0 Then
MakeResponseMessage "A message has been added"
Else
Script.Response = "GetEventDetails Failed"
End If
End Sub
*Copyright Microsoft Corporation 1993-1997. All rights reserved.

This type of event scripting is well suited for starting workflows, or for simple notifications/archiving of messages in public folders.

For expanded workflow routines, Keyflow can be added for developing entire workflow/ collaboration applications. Keyflow is the right choice for these applications because there can be problems associated with using event scripting alone:

* The flow logic is dispersed into many different places (event scripts, and custom Outlook forms with scripting); therefore, making it more difficult to manage.
* The application is implemented entirely in code; therefore, requiring programmers. (Standard features like flow status and event logging must be created from scratch in code).
* Process visibility, monitoring, and measurement is the sole responsibility of the script author and can't be shared by users.
* Script security enforcement uses the author rights, not user/role rights and can lead to ambiguity.

Conclusion
The Bottom Line
Microsoft Exchange combined with Keyflow is an easy to use and economical messaging-based workflow solution. The graphical interface enables users to create applications without the use of the functions, commands, and variables required in event scripting. Keyflow meets the workflow continuous improvement paradigm by facilitating process expression, visibility, measurement, and improvement.  Keyflow enables users to concentrate on business processes instead of implementation; therefore, taking control of their businesses and contributing to bottom line profitability today.

What is e-business?

In today's volatile economy, your enterprise has to work more efficiently and effectively than ever. You can't afford to waste time and money on inefficient business processes - or the burden of paper-based activities.

You've invested in the equipment, applications, and Web site you need to do business online. But are you really operating effectively? When paperwork is passed from person to person because employees can't work collaboratively online, or purchases are made without authorisation, or processes are delayed while you wait for executives, customers, or partners to manually sign documents, operations can slow to a crawl. Customers wait days to receive proposals. Suppliers wait days to have contracts signed. The result can be frustrated employees, angry customers, irate distributors, decreased profits - even litigation.

Mission Critical provides eiStream software.  With eiStream products, your enterprise can seamlessly process, authorise, sign, and store valuable information in a simple, secure, and cost-effective way. You operate as a true e-business, capable of handling every process and transaction completely electronically, around the clock, from inception through signature and archiving. No matter how simple or complex the transaction, eiStream products provide a pathway through your enterprise while authenticating, verifying, and recording who touches the transaction along the way. So you not only work more efficiently, you work more securely, controlling access to electronic information and knowing when information has been changed, and by whom.