S 2.259 Introduction of a high-level document management system

Initiation responsibility: Head of IT

Implementation responsibility: Head of IT, Administrator

When archiving electronically, it must be possible to clearly identify and reproduce all archived documents. As large databases usually have to be managed, the use of a high-level document management system (DMS) is also recommended for small and medium-sized government agencies and companies.

Document management system

A document management system (DMS) acts as an interface between user (programs) and archive systems and allows for consistent management, version control and assignment of electronic documents.

The DMS also performs regular maintenance of the index database where the context information archived for the electronic documents is managed and sometimes supplemented by DMS elements.

There are two types of systems, systems which in addition to the indices also store the documents themselves in a database, and systems which only store reference data to the actual documents in the relevant storage system. The former systems, however, are restricted by the capacity of the database and are therefore not suitable for archiving large amounts of data.

In addition, a document management system must allow for the specification of access authorisations to the archived documents and the index database. The DMS should also support a classification of documents. It should be possible to create profiles and reference tables which can be used for classification and indexation of documents.

The functions of the DMS must guarantee in the long term that the archived documents can be clearly identified, protected, and reproduced.

Organisational integration

Document management systems must be used in a suitable manner and integrated in the organisation. For this purpose, corresponding organisational processes must be defined, documented, and implemented in the government agency or company.

Rules must be established regarding the following, among others:

• The inclusion of documents in the DMS
• The use of the DMS when handling documents
• The responsibilities for use and operation of the DMS
• The assignment of rights and who is responsible for this
• The requirements regarding the operation of the DMS (Service Level Agreements).

Ultimately, the organisation processes should ensure that the document management system is used in the intended manner and is not bypassed. This is the only way to ensure complete and consistent archiving of the electronic documents used in the organisation.

Standardisation

Not all document management and archive systems offered on the market are mutually compatible. This is due to the technology used as well as the media and storage formats used.

In order to eliminate these problems, the DMS manufacturers operating on the market have set up various bodies to work on the standardisation of the technologies for storing and recovering documents on which document management systems are based. When choosing the DMS the applicable standards should be taken into account to ensure long-term compatibility of the DMS and archive components.

The major groups and/or standards are:

• ODMA
  
  The ODMA group (Open Document Management API) operates within the AIIM (Association for Information and Image Management) as a standardisation body. ODMA refers to a standardised interface between the document management system and the user applications. It makes the integration of the application easier at this point.
  
  Most providers support this standard.

• DMA
  
  The DMA (Document Management Alliance) was founded within the AIIM as a project group. It resulted from an association of three other standardisation bodies who also worked in the circle around the DMS:
  • ISO group Document Filing and Retrieval - ISO 10166
  • Document Enabled Networking
  • Shamrock Document Management Coalition
  The DMA establishes a standard which allows for easy integration of document collections and document management software across different platforms and systems.
  
  This provides the user with a uniform view on all document types, independent from the storage location or creation.
  
  Almost all leading manufacturers adhere to this standard. However, the adherence to the standard must be checked in the individual case.

• WfMC
  
  The WfMC (Workflow Management Coalition, Belgium) operates as a standardisation body in the area of workflows.
  
  The aim is to develop software specifications which can be used to create uniform requirements for the interoperation of different workflow products and components in different environments.
  
  Almost all renowned manufacturers are involved with this body.

Review questions:

• Does the document management system (DMS) guarantee that the archived documents can be clearly identified, protected, and reproduced in the long term?
• Does the DMS support the assignment and control of roles and access authorisations to archived documents?
• Do binding rules on the use of the DMS exist in the organisation to ensure that it is not bypassed?
• Is the compatibility between user, DMS, and archive components ensured by relevant standards?
• Has the usefulness of a document management system been examined?
• Is the responsibility for operation and use of the DMS documented and known?
• Do binding rules and documentation on the use of the DMS exist in the organisation?
• Does the DMS support the assignment and control of roles and access authorisations?