ISO TR 14105-2011 Document management - Change management for successful electronic document management system (EDMS) implementation《资料管理 成功电子文档管理系统(EDMS)实现的变更管.pdf

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1、 Reference number ISO/TR 14105:2011(E) ISO 2011TECHNICAL REPORT ISO/TR 14105 Second edition 2011-06-15 Document management Change management for successful electronic document management system (EDMS) implementation Applications en gestion des documents Changement de gestion associ aux technologies

2、du systme de gestion lectronique des documents (SGED) ISO/TR 14105:2011(E) COPYRIGHT PROTECTED DOCUMENT ISO 2011 All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying an

3、d microfilm, without permission in writing from either ISO at the address below or ISOs member body in the country of the requester. ISO copyright office Case postale 56 CH-1211 Geneva 20 Tel. + 41 22 749 01 11 Fax + 41 22 749 09 47 E-mail copyrightiso.org Web www.iso.org Published in Switzerland ii

4、 ISO 2011 All rights reservedISO/TR 14105:2011(E) ISO 2011 All rights reserved iiiContents Page Foreword iv Introduction.v 1 Scope1 2 Terms and definitions .1 3 Recommendations for EDMS implementation success 2 3.1 General .2 3.2 Participation and integration3 3.3 Strategic planning: organizational

5、change strategy4 3.4 Organizational assessment5 3.5 Change management program 7 3.6 Use of consultants 9 3.7 Time management .10 3.8 Backfile conversion.10 3.9 Project objectives and goals10 4 Usability and ergonomic interfaces.11 4.1 General .11 4.2 End-user analysis and usability.11 4.3 Ergonomic

6、criteria for selection of EDMS systems.11 4.4 Software usability check-list 13 5 Workplace ergonomics.15 6 Use of change management for EDMS success 15 Bibliography16 ISO/TR 14105:2011(E) iv ISO 2011 All rights reservedForeword ISO (the International Organization for Standardization) is a worldwide

7、federation of national standards bodies (ISO member bodies). The work of preparing International Standards is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been established has the right to be represented on that c

8、ommittee. International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. International Standards are drafted in acco

9、rdance with the rules given in the ISO/IEC Directives, Part 2. The main task of technical committees is to prepare International Standards. Draft International Standards adopted by the technical committees are circulated to the member bodies for voting. Publication as an International Standard requi

10、res approval by at least 75 % of the member bodies casting a vote. In exceptional circumstances, when a technical committee has collected data of a different kind from that which is normally published as an International Standard (“state of the art”, for example), it may decide by a simple majority

11、vote of its participating members to publish a Technical Report. A Technical Report is entirely informative in nature and does not have to be reviewed until the data it provides are considered to be no longer valid or useful. Attention is drawn to the possibility that some of the elements of this do

12、cument may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. ISO/TR 14105 was prepared by Technical Committee ISO/TC 171, Document management applications, Subcommittee SC 2, Applications issues. This second edition cancels and replaces

13、 the first edition (ISO/TR 14105:2001), which has been technically revised. ISO/TR 14105:2011(E) ISO 2011 All rights reserved vIntroduction Electronic document management systems (EDMS) have unequivocally contributed to the ability of organizations to automate portions, and at times all aspects, of

14、a business process. These technologies are successful when organizations consider that a significant amount of change will occur and that end-users, information technology, management, records managers, and archivists are all affected. Planning and/or implementing these technologies without recogniz

15、ing the amount of change management typically results in systems being implemented that do not meet the organizations needs, requirements, or expectations. It is commonly recognized that without adequate planning and execution of change management, the introduction and implementation of these techno

16、logies can actually place extra burden on the end-users and organizations, at times contributing to project failures. EDMS technologies are tools that assist the organization to improve processes where appropriate. It is critical that the organization has the ability to separate non-technology-based

17、 change from technology-based change. Planning change management, beginning with the initial project phases, results in the organization understanding what needs to change, why, and what the desired result is, without adversely impacting the end-users or the organization. Change always results in so

18、me impact; the key to change management when implementing EDMS technologies is to minimize the adverse impacts and ensure that the organization has ample time to implement the desired change in order to achieve the desired results after the technology is implemented. This Technical Report systematic

19、ally identifies and reviews the ergonomic and organizational issues and considerations associated with the selection, implementation, and work practice criteria for EDMS systems. TECHNICAL REPORT ISO/TR 14105:2011(E) ISO 2011 All rights reserved 1Document management Change management for successful

20、electronic document management system (EDMS) implementation 1 Scope This Technical Report defines the cognitive, physical, organizational, and human factors as they apply to usability criteria for electronic document management systems (EDMS) development, selection and implementation. This Technical

21、 Report provides a framework for understanding the basic issues and concepts of organizational and human factors associated with implementing EDMS technologies. It describes the principles of human factors and ergonomics in their application to usability criteria for the planning and implementation

22、of EDMS technologies, to environmental and implementation issues, and to training for long-term productivity benefits. 2 Terms and definitions For the purposes of this document, the following terms and definitions apply. 2.1 culture pattern of beliefs and expectations shared by the organizations mem

23、bers NOTE An organizations culture defines the way in which individuals and groups within the organization behave, as encouraged by the organizations values and beliefs. 2.2 ergonomics human factors applied science that studies, designs and adapts equipment, work and the environment to meet human ca

24、pabilities and limitations and to enhance safety and comfort 2.3 EDMS electronic document management systems computer-based applications dealing with the management of documents throughout the document life cycle IEC 82045-1 NOTE There is a difference between enterprise content management (ECM), and

25、 electronic document management systems. For purposes of discussion within this Technical Report, the acronyms EDMS and ECM are often used synonymously from the perspective that both require the use of core technologies along with policies, procedures, and methodologies to successfully design, imple

26、ment, and manage electronically stored information. Also, both can include the use of records management applications that are sometimes referred to as either electronic records management (ERM) or electronic document/records management (EDRMS). These acronyms constantly change within the document a

27、nd records management industry, therefore it is advisable to consider the technology being deployed and not only the current/updated acronym(s) being used by the product suppliers. ISO/TR 14105:2011(E) 2 ISO 2011 All rights reserved2.4 ECM enterprise content management set of tools and methods allow

28、ing an organization to obtain, organize, store and deliver information crucial to its operation NOTE 1 ECM can be broken down into five major components: a) capture; b) manage; c) store; d) preserve; e) deliver. NOTE 2 Adapted from ISO 12651-1. 2.5 operations business process used to carry out the o

29、bjectives of an organization 2.6 readiness willingness of employees to adapt to changes in their jobs and work environment 2.7 repetitive strain injury class of medical condition of the joints caused by repetitive motion, which is often rapid, forceful, and/or extreme EXAMPLE Repetitive strain injur

30、ies include tendonitis and carpal tunnel syndrome. 3 Recommendations for EDMS implementation success 3.1 General Understanding that the issues described in this Technical Report exist and occur is not enough. Implementation success depends on how these issues associated with planning and implementin

31、g these technologies are anticipated, planned for, and creatively addressed. Unfortunately, too many line managers and technical project managers have tried to avoid the issues, only to experience disappointing results. The best way to resolve these issues and control the fate of an installation is

32、to augment project plans with activities designed to focus on the human and organizational aspects of EDMS. This can be done by establishing a foundation of user participation that will be the methodology underlying strategic planning, organization assessment, and change management activities. To se

33、e how these activities fit into the project plan, see Table 1. ISO/TR 14105:2011(E) ISO 2011 All rights reserved 3Table 1 Success through project management Phase 1: Planning Phase 2: Design and preparation Phase 3: Implementation Phase 4: Evaluation High-level process baseline Anticipated process d

34、esign System installation Post-implementation review Detailed process baseline Application development Pilot system Continuous improvement Functional/technical requirements Orientation/communication System tuning Fine-tune operations Process analysis Development of reward and recognition Reorganizat

35、ion External audit trial Conduct organization assessment Change management activities Training Identify technology-based and non-technology-based change requirements Validation meetings Validation meetings Develop change management plan Work/job redesign 3.2 Participation and integration 3.2.1 The k

36、ey to success in implementing EDMS lies in integrating the key elements mentioned: technology; readiness; operations; culture. The best way to accomplish this integration is through the active participation and involvement of users. 3.2.2 One of the most commonly noted issues that may contribute to

37、the failure of EDMS projects is that participants feel their views are only given nominal value and that many of the major decisions are already made and the process is being conducted to legitimize the outcome wanted by management. It is essential that people feel their views are considered and eit

38、her adopted or that a reasonable and valid reason be given why their proposals cannot be applied. 3.2.3 Participation of all levels of employees in the implementation process is an underlying theme of the following recommendations. At a minimum, key users (also referred to as “champion users”) shoul

39、d be identified throughout the organization. These “champion users” are typically senior or lead users who can provide input and feedback via a bidirectional communication model enabling the EDMS team and the users throughout the organization to be involved in all appropriate aspects of the analysis

40、, design, and implementation project phases. The benefits of employee participation are increased motivation, higher productivity, and improved quality. In one study in which resistance to work changes was lower in groups that participated in making those changes, researchers identified the followin

41、g two key points. a) Participation is a necessary but not sufficient means of reducing resistance. b) Participation is “a feeling on the part of people, not just the mechanical act of taking part in discussions”. 3.2.4 Organizations that have left the “champion users” out of the planning, problem so

42、lving, analysis, and redesign or that have only marginally involved employees through random conversations and presentations have been unable to tie together the four key elements: a) technology; b) readiness; ISO/TR 14105:2011(E) 4 ISO 2011 All rights reservedc) operations; d) culture. 3.2.5 One of

43、 the best ways to ensure participation is through a “design team”. Selected by senior management, this team should comprise representative individuals from all levels and all key job functions as well as members of the technical project staff. The goal of this group is to jointly design the new work

44、 processes and jobs to best utilize the EDMS and human resources. The formation of this team will alleviate many of the “us-versus-them” problems that arise when the technical staff, records management team, or end-user representatives work separately from the other portions of the business unit in

45、designing a system. This design team should begin its work with a one-day or two-day training session that reviews the following topics: team charter, roles, and responsibilities; project objectives and goals; change parameters established by senior management; methodology for work redesign that loo

46、ks at both the social aspects of work and the technical aspects of work; problem-solving techniques such as brainstorming, flow charting, using cause-and-effect diagrams, and the like; development of effective teams; effective team behaviours; use new technologies as support of the project. 3.2.6 Th

47、e design team should continue to meet on a regular basis to accomplish the following tasks. a) User analysis: identify users, determine the extent to which their needs are being met, and identify actions that can be taken to increase user satisfaction. b) Technical analysis: document how work flows,

48、 where problems occur, and where these problems are first discovered. Also, determine how EDMS can impact the current business processes and the associated variances that will be affected. c) Business process redesign: according to information already gathered, rethink new approaches to the business

49、 process designs. d) System design: according to information already gathered, finalize system specifications. e) Organization design: according to the new business processes and system capabilities, determine structural changes that need to be made in the organization, if any. f) Implementation plan: identify the steps and resources required to move from the current organization to the selected EDMS technology(ies). 3.3 Strategic planning: organizational change strategy The most important contribution senior execu