ISO/TR 14105:2011

TECHNICAL ISO/TR
REPORT 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
associé aux technologies du système de gestion électronique des
documents (SGED)
Reference number
©
ISO 2011
©  ISO 2011
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ii © ISO 2011 – All rights reserved

Contents Page
Foreword .iv
Introduction.v
1 Scope.1
2 Terms and definitions .1
3 Recommendations for EDMS implementation success .2
3.1 General .2
3.2 Participation and integration.3
3.3 Strategic planning: organizational change strategy.4
3.4 Organizational assessment.5
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 goals.10
4 Usability and ergonomic interfaces.11
4.1 General .11
4.2 End-user analysis and usability.11
4.3 Ergonomic 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
Bibliography.16

Foreword
ISO (the International Organization for Standardization) is a worldwide 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 committee. 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 accordance 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 requires 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 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 document 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 the first edition (ISO/TR 14105:2001), which has been technically
revised.
iv © ISO 2011 – All rights reserved

Introduction
Electronic document management systems (EDMS) have unequivocally contributed to the ability of
organizations to automate portions, and at times all aspects, of 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 recognizing the amount of change management typically results in
systems being implemented that do not meet the organization's needs, requirements, or expectations. It is
commonly recognized that without adequate planning and execution of change management, the introduction
and implementation of these technologies 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 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 some 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 systematically 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)

Document management — Change management for successful
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 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 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 organization's members
NOTE An organization's culture defines the way in which individuals and groups within the organization behave, as
encouraged by the organization's values and beliefs.
2.2
ergonomics
human factors
applied science that studies, designs and adapts equipment, work and the environment to meet human
capabilities 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 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, implement, 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 and
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.
2.4
ECM
enterprise content management
set of tools and methods allowing 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 objectives 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 injuries 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 implementing 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 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 see how these activities fit into the project
plan, see Table 1.
2 © ISO 2011 – All rights reserved

Table 1 — Success through project management
Phase 1: Phase 2: Phase 3: Phase 4:
Planning Design and preparation Implementation Evaluation
High-level process baseline Anticipated process design 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 Reorganization External audit trial
recognition
Conduct organization assessment Change management activities Training
Identify technology-based and Validation meetings Validation meetings
non-technology-based change
requirements
Develop change management Work/job redesign
plan
3.2 Participation and integration
3.2.1 The key 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 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 either 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”) should 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, design, and
implementation project phases. The ben
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