EDMS (implementation technique)

According to the developed world and domestic practices of implementation of the information systems (IS) in this article we will consider the process of implementation of EDMS including several stages of works. Commercial operation of a System within all enterprise is result of implementation of EDMS.

The profitability of document flow is not always connected with its reduction. Increase in profitability of document flow and convenience to managers should be considered in interrelation with increase in qualitative content of information. The purpose of optimization (design) of document flow — its reduction in compliance with requirements of management with simultaneous cutting of costs for its maintaining. It is enlarged the procedure of optimization (design) of document flow includes the following five steps.^[1]

Optimization of document flow includes two large directions:

• 1. Increase in qualitative content of information (binding to the centers of responsibility; optimal set and maintenance of indicators; high quality of regulations and standards; availability of information on deviations).
• 2. Increase in profitability of document flow and convenience to managers (liquidation of duplication of information, optimization of routes of the movement; combination of primary accounting for accounting and operational management, etc.; reduction of names of documents in compliance with contents).

Increase in profitability of document flow and convenience to managers should be considered in interrelation with the first direction, i.e. the profitability of document flow is not always connected with its reduction. Loss of a part of information can result in negative effect in general for the enterprise.

Let's consider option of reduction of document flow on condition of preserving of its data capacity. So, the purpose of optimization (design) of document flow — its reduction in compliance with requirements of management with simultaneous cutting of costs for its maintaining.

It is enlarged the procedure of optimization (design) of document flow includes the following steps:

• Step 1. Preproject inspection or description of the enterprise.
• Step 2. The detailed description of the existing document flow.
• Step 3. Analysis of qualitative content of information.
• Step 4. Document flow optimization.
• Step 5. Creation of standards (instructions).

Information inspection and analysis

Problems of the first step — the description of the enterprise — are determination of requirements of management and identification of influence of factors. Requirements of management come to light on the basis of studying of the functions put in job descriptions and the description of groups of the management decisions made at the different levels of management. For the critical analysis it is possible to use the existing intra production reporting. We recommend to carry out works with the analysis of qualitative content of information.

At document flow creation, as well as during creation of organization structures of management accounting, works begin with studying of influence of such factors as: features of technology, structure of products, production organization and enterprise managements and its structural divisions, business processes, material flows. The organization of document flow in many respects depends on existence in organization structures of management of the centers of responsibility; development of the mechanism of an intra-corporate entrepreneurship; existence of management by exception; competence of management and use of progressive methods of decision making by it; existence of personal computers, information networks, etc.

During preproject works, in particular, big detailing regarding the description of the centers of creation (conversion, use) of information and their personified interrelations (accounting points) is necessary; to the description of documents and the existing document flows.

Development of systems of document flow under the purposes of management and psychology of management, certainly, taking into account technology and organizational features of the enterprise, should begin without binding to the specific software product. In the beginning it is necessary to create ideology, and only then to look for under it the software product.

Before process of implementation of EDMS at the enterprise we recommend to conduct the express examination (preproject inspection) on purpose:

• receiving general information about object of implementation of EDMS;
• determinations are more whole than implementation;
• determinations of the general key requirements to EDMS and limits of the project;
• determinations of shared state of the organization of document flow and office-work;
• determinations of the main project participants (formation of the working group);
• determinations of the overall level of complexity of the potential project;
• estimates of requirements on data migration and integration with other software;
• collection of information, necessary for preparation of the effective and advantageous Commercial offer if inspection and implementation is carried out by the third-party company.

At this stage the choice of the platform on which EDMS will be developed is performed.

At this stage, proceeding from the obtained primary information, the Project Manager (PM) who makes the baseline plan of works, a hierarchical structure of works (WBS) and also the Project charter is appointed.

During information inspection the existing business processes are investigated and described ("as is" - "as is"). In an analysis result of collected data the optimized business processes ("to be" - "as should be") are offered, functional requirements to EDMS are formulated.

The purposes of information inspection are:

• studying and exact description of the business processes which are subject to automation;
• development of recommendations about optimization of document flows and organization of document flow and office-work;
• determination and the description of modifications of a system, interfaces, including interfaces with external systems and means of data transfer from the existing programs which should be developed and implemented during the project;
• development of the technical specifications (TS).

For the purpose of obtaining necessary information questioning and interviewing of the main users (heads of the interested divisions and employees who directly will have to work in new EDMS) is carried out. In the course of work it is recommended:

• Make the list of the existing document types in the organization and make inspection of each document type:

describe technology of documentation (set of details, if necessary, their arrangement, the sequence and features of a design); show traffic conditions of documents (existence of signatures, visas, checks, etc.), the scheme of the movement of documents (route) or the list main vising, signing, etc.; describe a registration method (a format of registration numbers);

• Make the list of the employees responsible for creation of documents (who / what division and what document types create).
• Make the list of the employees vising, signing, approving documents (who what document types vise/sign; conditions under which the visa/signature is necessary).
• Make the list of registrars of documents
• Define what document types need to be put on control (to define controllers, setting conditions on control, conditions of removal from control and other necessary information).
• Make the list of others responsible for processing.
• On the basis of the listed above information to make an algorithm of the movement of documents (operogramm). See the Example 1.
• Define necessary reporting documents (conditions of creation of reports and their form).
• On the basis of inspection to make the Instruction on preschool educational institution (if necessary).
• Make the Nomenclature of affairs with indication of storage lives and the principles of formation put (if necessary).
• Make the document list with indication of conditions of providing access to them (for example, depending on a position).

On the basis of the listed above information functional requirements to EDMS or technical specifications on its development (terms of reference) are developed. In particular, the Analyst should make requirements to a format and structure of registration and control cards (set and arrangement of fields in a card, filling methods in EDMS, etc.), to routes of the movement of documents and other requirements necessary for setup and development of EDMS.

Proceeding from practice of design of workflow systems, it is possible to offer the following sequence of works:

• 1. Creation of schemes of accounting points of the main production, auxiliary productions, functional services.
• 2. Creation of schemes of their interrelations.
• 3. Collecting of the completed document forms and reports by accounting points.
• 4. Their systematization in albums.
• 5. The description of terms of representation, the direction of the movement of documents and forms of the reporting (in what terms, a coma and from whom the document is transferred).
• 6. Creation of thematic and summary schemes of document flow.
• 7. Carrying out logical and rekvizitny analysis of documents.
• 8. The analysis of a way of passing of documents in the course of their creation, approval and a statement.
• 9. Development of offers on making changes in the existing scheme of documents and the reporting in connection with offers on change of other parameters of management accounting (accounting on deviations, the centers of responsibility, etc.).
• 10. Development of offers on elimination of duplication of information.
• 11. Development of offers on standardization of documents.
• 12. Development of offers on rationalization of the movement of documents and reporting.
• 13. Project development of the optimized summary scheme of document flow and the internal reporting.
• 14. Development and deployment of standards of document flow and formation of the internal reporting.

At accomplishment of the listed transactions it is necessary to consider some councils.

Accounting points. First, you define subjects of relationship during information exchange. It is possible to call them the centers of emergence, consumption and information transfer, or accounting points. So, accounting points are recorded, at the previous stage interrelations of divisions are described, now you can, having connected and having added this material, to construct schemes of interrelations of accounting points.

These schemes will help you not only to cut insignificant communications on the first steps of the project without investment them in a documentary form, but also to save time and money. Whether they are irreplaceable when testing offers on optimization regarding "everything is considered".

Albums and descriptions of documents. An important step — creation of albums of the documents existing at the time of project implementation and their description; it is the most laborious, uninteresting and ungrateful work.

At work on optimization of document flow take the advice got in an analysis result of practice of errors: timely put restrictions — "not embrace the immensity"; find out whether the same worker makes the document, as signs, or there are real invisible contractors; in situations when the shop manager signs the delivery note on transfer of a semi-finished product to the following workshop, be defined how many times you describe the movement of the document: once from workshop to workshop, or trace all way. At the same time there has to be an identical principle of records on all divisions of the organization.

At work the compulsory provision should be complied: the description of documents needs to be submitted in a uniform form on all divisions of the organization.

Local and general schemes of document flow. After the description of documents it is possible to pass to creation of schemes. They promote the answer, for example, to a question — as the way of the ordinary document in four copies unlike the most production operation is difficult. The analysis of the scheme of the movement of the document sets thinking on expediency of final routes. For example, why primary documents on internal transfer in planning department are necessary?

Example 1. We suggest to issue information obtained as a result of inspection in the form of an operogramma (see Figure 1) or in the form of an algorithm (see Figure 2). As an example we suggest to consider lifecycle of orders on primary activity. The technology of work with this document type is most unified and can be applied at the different enterprises.

Figure 1. Operogramma of lifecycle of the order on primary activity

Figure 2. An algorithm of processing of orders on primary activity

Questions which can be used in questionnaires or when interviewing users are listed in article "Information Inspection within Implementation of EDMS" published in the "Deloproizvodstvo I Dokumentooborot Na Predpriyatii" magazine No. 2, 2007. Questions are referral.

Accurate requirements for carrying out inspection do not exist therefore in each case, using ready practices, it is necessary to show creative approach to obtaining necessary information, its structurization and display.

Information inspection is an important stage of optimization of preschool educational institution and implementation of EDMS. The quality of the made decisions on process optimization and developments of requirements to functionality of EDMS directly depends on the acquired information and quality of its representation. With respect thereto it is necessary to adhere to the main principle of inspection – to obtain complete, reliable and up-to-date information about processes which are going to be automated.

Thematic analysis and optimization of document flow

Document flow blocking up, its irrationality can be seen, having carried out the analysis on subjects. Let's analyze, for example, inputs and exits of a material flow in division (the movement of semi-finished products, finished goods). It can turn out that the solemn fact of transition of a container with the processed raw materials from workshop in workshop will be followed by fireworks of entries in primary documents, magazines, reports and reports. Considerable duplication meets also by transfer of semi-finished products within one workshop.

For development the rekvizitny analysis in a tabular or graphic form is recommended to pass decisions on reduction of records. It formally shows duplication of indicators in documents. The analysis of local schemes added with clarification of specific document purpose, the report or entry in the accounting register (management decision, etc.) will help to reveal duplication of documents or details in essence. The decision on reduction or conversion of documents taking into account technical equipment of workshops and opportunities of an ACS is as a result made. Also recommendations about consolidation of magazines can be made:

• By optimization of document flow it is necessary to bring names of documents into accord with their contents. At first sight insignificant procedure removes many problems when changing managers of divisions and for the organization of internal audit from external to the checked workshop of divisions.
• An evident idea of excessive functions is given by funktsiogramma, they also promote conversions.
• Creation of standards of document flow and formation of the internal reporting completes the works on design. On each subject (or to the document) forms of the reporting (document) are developed; instructions for filling of a form (target use taking into account the level of management, an order of filling of details and (or) indicators: in what column and/or a line, what measure value, etc.); the regulations are developed (who where to whom and to what terms transfers a form of the reporting (document); the responsibility for violation of regulations is established.
• By optimization of document flow complex approach as the changes entered on one section of work can cause difficulties on another is preferable; simplification of work can sometimes lead to weakening of control; redistribution of functions of workers can cause work quality degradation, etc.^[1]

The expediency and logic of implementation of all work types are estimated how they promote optimization of information support of management decisions, efficiency and the accuracy of their accomplishment.

Development and EDMS setup

At this stage the realization of the requirements described in terms of reference is enabled: the EDMS setup, its completion or development of new features of a System on the selected platform.

The purposes of physical implementation of EDMS are:

• development of structure of a DB of EDMS;
• development of screen forms;
• development of mechanisms: vising, registration, executions, etc.
• development of technical documentation on a System.

When choosing EDMS we recommend to consider the following parameters:

• Existence of necessary functions in a system (reconciliation procedures, registration, executions, control of execution, providing access and another);
• Existence of necessary cards of documents;
• Complexity and cost of completion of a System;
• The maximum number of at the same time working users at which a system works steadily and processing speed of requests is satisfactory;
• The maximum number of the users connected to a System;
• The cost of licenses (on the server, 1 automated workplace);
• Complexity and cost of administration of a System, technical support;
• Opportunity, complexity and cost of updating of versions;
• Opportunity for work to remote users (if necessary);
• Cost and quality of consulting services;
• Reliability of the Supplier (popularity degree in the market, the number of successfully completed projects and another).

During this stage the requirements described at a stage of information inspection directly are implemented.

The majority of works on development is performed out of the territory of the Customer therefore, permanent and effective interaction of Developers with the Customer is a key factor for a successful completion of development and acceptance of a system by the Customer.

Process of testing is decisive in ensuring quality of development. Planning and preparation of testing should begin as far as possible early. End users should be most involved in preparation of criteria of testing. That testing was held by the Customer is crucial.

Trial operation

The purpose of system implementation is the fact of the beginning of work of users in EDMS (A system should satisfy requirements and requests of users) and steadily working System (without failures and errors).

In the course of implementation the following works are performed:

installation and software configuration;

• personnel training and administrators of EDMS;
• development of documentation on EDMS for users (Help);
• elimination of errors in system operation;
• completion of EDMS according to notes and proposals of users;
• development of the regulating documentation: instructions on preschool educational institution, regulations of work with different types of documents;
• the organization of technical support of users (consultation of users concerning work in a system).

This stage is the most difficult for all project participants (users, developers, implementers). At this stage there is an adaptation of the software product, its approbation, testing in actual practice of work. The most difficult is overcoming a psychological barrier at users at the beginning of work in Wednesday, new to them, since users are forced to change the usual and settled for them modes of work. With respect thereto at this stage it is important to provide training and consultation of users. It will help them to adapt to new working conditions.

Commercial operation

Commercial operation of EDMS is use of the job responsibilities of staff of the organization which are steadily working and completely meeting user requirements EDMS in the course of accomplishment.

The works performed in use by EDMS:

• Consultation and user training concerning work in EDMS;
• Administration of reference books (organization structure, users, approval routes, mailing lists, etc.);
• Administration of the server and software;
• Implementation of backup (back-up)

At this stage it is possible to initiate development of EDMS: adding of new features, expansion of borders of an implementation project (adding of new categories / document types, expansion of number of the users / divisions / enterprises of holding, adding of new features).

For the purpose of reduction of time for implementation and implementation of EDMS of work of the listed stages can be implemented in parallel depending on the level of complexity of problems of automation, the used software (S), etc.

For all project lifecycle of implementation of EDMS works on project management should be carried out. For example, it is recommended to use the American ANSI/PMI 99-001-2004 standard (the Management of PMBOK).

Project management

The project – the temporary enterprise for creation of unique products or services. Project management – the certain area of management intended especially for management of temporary activity with unique results.

The most known / widely used standards of project management:

• PMBOK (American standard: www.pmi.ru);
• Prince2 (English standard: www.ogc.gov.uk/prince2);
• IPMA (European standard: www.ipma.org);
• P2M (Japanese standard: www.pmcc.or.jp/eng/index.htm)

Main characters:

• The manager (head) of the project – the person responsible for project management.
• The sponsor of the project – the person providing financial resources of the project and performing administrative and organizational support of the project.
• The customer (consumer) of the project – the person which will use project deliverables.
• Concerned parties in the project are the persons which are actively involved in the project and/or the interests of which can be infringed by project implementation (which influence and whom project deliverables influence).

Example of project lifecycle:

The project charter is the first white paper of the project. Formally confirms existence of the project. Gives to RP authority to involve resources of the organization on project activities. RP is defined and appointed as soon as possible. RP needs to appoint always prior to planning and it is desirable at the Project charter development stage.

The project charter is subject to detailing in a project planning phase.

The project charter can include:

• The description business of requirements for initiation of the project;
• Purpose or basis of the project;
• Description of needs and expectationses and also extent of influence of concerned parties;
• Summary plan of key control points of the project (Milestones);
• Description of the functional organizations;
• Description of organizational assumptions and restrictions;
• Summary project budget.

The description of contents of the project is the information on the purposes and project tasks received from the Customer at an initiation stage (information inspection). It may contain the general indicators, and is subject to further refining and development by the project manager on planning stages and developments. It is the wording of the project (that needs to be made).

Development process of the description of contents of the project describes and documents characteristics and limits of the project both the related products and services and also methods of acceptance and management of contents.

Main components of the document:

• Project Objectives;
• Product description of the project
• Project Results
• Assumptions and restrictions in the project, limits of the project;
• Plan of control points of the project.

The management plan of the project is the officially approved document for the leadership in execution of the project. It is the document which contains and integrates results of planning in all areas of the project (time, costs, resources, risks, quality, etc.)

The project management plan can consist of one or several additional plans, such as:

• Management plan contents of the project;
• Schedule;
• Management plan cost;
• Quality management plan;
• Personnel management plan;
• Interaction management plan;
• Risk management plan;
• Management plan supply;
• Plan of improvement of processes

It is impossible to create the detailed plan for all project at once.

The baseline plan is the officially approved document concerning which project implementation is measured and which will be used for management and control of execution of the project. It is used for control of a deviation of the course of the project.

The working plan is a document or a set of documents which changes in process of project implementation and receipt of the additional information. The working plan, as a rule, always differs from basic. The working plan changes RP.

Execution of the project – a basic process of implementation of the project (a considerable part of resources is involved).

Belong to fundamental obligations of RP:

• Integration and coordination of actions for accomplishment of the project plan;
• Permanent comparison and variance analysis of the current execution of the project in comparison with the baseline plan of the project;
• If necessary – initiation of change requests;
• Forecasts of cost and terms of the project.

So, we considered process of implementation of EDMS, including process of management of EDMS of an implementation project. The stated provisions are referral since implementation of any innovation requires the creative, not giving in to well-defined rules approaches.

List of electronic document management systems

It is available together with projects to this address

Sources

Khimich Yulia, project manager of electronic document management of department of information systems of Rusal company.

See Also

• EDMS (more detailed)
• ECM – Enterprise Content Management
• EDMS (Software technologies)
• ECM (world market)
• Main trends of ECM
• EDMS (market of Russia)
• EDMS in Russia: industry specifics
• Trends of the Russian market of ECM
• EDMS/ECM projects geography
• EDMS in the SaaS format
• EDI - Electronic Data Interchange