5.
Management and control
Supervision of document management systems
One of the most important functions performed by document
management software is the general "housekeeping" which is so often lacking
in manually operated systems. This is a complex task because documents are
often far from static. During its lifetime a document may be retrieved many
times, comment may be added to it, it may be revised and re-distributed,
shifted to off-line CD storage and finally converted to microfilm for
archival storage. Every retrieval and all movements must be logged and the
location of the document within the system must be known at all times,
together with any related versions, annotations or comments. Indexes have to
be constantly updated to reflect these changes.
A substantial amount of data will be devoted to recording
details of each item within the system such as its source, the date when it
was input, how long it is to be retained on various media types and if and
when it can be destroyed. Other factors include who may access it, who is
authorised to alter or annotate it and those to whom it should automatically
be sent. Records will be maintained to show that the pre-determined
distribution, movement to other media or destruction have been carried out
at the relevant dates. Another item of vital importance is the management of
an effective backup process to permit recovery from computer failure, fire,
flood or other disaster.
Users of desktop document processing systems will be
familiar with the techniques by which a file can be "locked" for editing and
similar methods are employed for document management systems for comment,
additions and change. In virtually all cases a copy of the document in its
original form will also be retained. If the prime purpose of the system is
the production and revision of publications, special software is available
to simplify and automate the distribution of large numbers of drafts,
collate comment, produce revised versions and automate distribution to
users, but all EDM systems provide at least basic facilities.
Other operations which have to be managed include the
control of input from document scanners, which may involve images being
received in both raster and text format or even being simultaneously
recorded on microfilm. The management of the separate objects which make up
compound documents such as text plus photographs on the same page is an
increasingly important requirement that imposes more demands on control
software, especially as the content may be required separately for use in
other applications.
Records management
Most systems incorporate two types of document. All input
is important but some items are of special value as potential evidence or
because regulation or legislation dictates that they must be held for a
specific period or even indefinitely. This is such an important aspect of
document management that most medium and large companies designate at least
one member of staff to ensure that all adopted policies are being followed
and that the document management system continues to comply with changing
legislation.
Regular monitoring of all processes is essential and the
results must be recorded to ensure that there is proof that the system was
operating correctly at any given time. This is generally known as compliance
and it will differ according to the activity in which an organisation is
engaged. Common factors include the need to comply with the requirements of
the Inland Revenue, relevant standards, internal policy and legislation such
as the Data Protection Act.
Retention & Security
All document management systems provide for short to
medium term storage with reasonable security. However, documents vital to
the conduct of the business, documents providing evidence of compliance with
legal or contractual requirements, records of agreements, internal
standards, quality control documentation etc may have to be handled
specially and subjected to stricter control.
Records management used to be an activity separated from
day to day activity and entrusted to librarians. Documents classified as
archival would first be processed and then sent for secure medium to long
term storage and in some cases eventual destruction according to agreed
procedures. Some original paper documents still have to be retained and
these will be treated as before, but today an increasing amount of important
documentary evidence never exists in paper format. E-commerce is certain to
increase the number of orders, contracts and agreements that are conducted
over the web. Within public authorities, the Freedom of Information Act
imposes a need for publication and access to records; members of the public
will have a right to access information and records systems will have to
meet these requirements. UK companies offering
secure storage facilities and
certified destruction are listed on
this site.
Special software is available for integration with EDM
where high volumes or stringent security requirements demand more than the
basic EDM system can provide, but the majority of systems can maintain
records of documents from entry to eventual long-term storage or destruction
and control the various stages of their life-cycle. With archival records,
it is particularly important that the documents are protected from
alteration and that complete records are maintained to prove their
authenticity.
System development can result in documents stored on
outdated or replaced media or in formats that are no longer employed, having
to be converted to the latest versions; otherwise outdated software and
hardware must be maintained specifically to access them. Insurance policies,
mortgages, government records, atomic energy records and many other document
collections can span several generations of software and hardware.
Conversion to microfilm is increasingly becoming accepted
as an economic, practical and fully proven solution to the long term
preservation problem. Documents on film have a life expectancy of well over
100 years and their analogue (human readable) format permits retrieval on
very simple equipment which will always be capable of enlarging any film
produced to established standards. This concept, involving a technology with
which many computer staff remain unfamiliar or regard as outdated by digital
storage, is being welcomed as a method of freeing system development and
ensuring long term retention. It also assists with the related problem of
disaster recovery, because copy films are inexpensive and can be stored in
safe, remote locations.
Digital to microfilm conversion
is widely available as a bureau service, which avoids the need for learning
new techniques and acquiring expensive hardware. With modern film, even
in-house production is relatively simple and a new generation of COM
(Computer Output on Microfilm) recorders has been developed to accept a wide
range of formats including scanned images and print formats. Software
is available to automatically compile indexes to the microfilm images and an
EDM System can hold two addresses for an image, one being its digital format
and the other its location on film. Conversion to film does not have
to wait until the document is no longer active but can be performed as part
of the input activity. For example, several document scanners incorporate
microfilm cameras enabling them to scan and film simultaneously,
specifications for these
scanner/cameras are separately
listed on this website.
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