Integrating EDMS Functions & RM Principles.

• Author: STRONG, KAREN V.

This article explores the integration of electronic document management system functions with records management principles and the convergence of these business practices and technologies. An enterprise model for integrated document and records management is presented, building a context for unified information management solutions.

Electronic document management systems (EDMS) offer solutions for mission-critical and administrative document control. These systems organize and manage collections of information -- in the form of electronic documents -- providing access within workgroups and across the organization. Electronic document control, however, is just one component of the solution. In many cases, electronic documents are official records that must be managed and controlled according to formal records management (RM) principles.

EDMS Functions: Business Solutions for Document Control

Electronic document management systems provide automated approaches for controlling document-based information. These systems provide several core functions including the creation or capture of electronic documents, optional workflow tools, storage sub-systems, communications tools, search and retrieval capabilities, and output sub-systems. Beyond these core functions, the component technologies and applications of document management technologies vary widely.

Each document technology has specific features and benefits, and each is designed to solve different types of document management problems. Applications range from simple document scanning and retrieval systems to sophisticated applications tightly integrated with enterprise information systems. These applications may employ traditional EDMS technologies such as document imaging, workflow, computer output to laser disk (COLD), and document management library services. They may also employ technologies for content searching, intra/Internet access and publishing, as well as collaborative work management.

No matter how varied the application of document technologies, the business benefits are the same:

* Improved decision making by getting the right document-based information to the right person at the right time

* Improved control and security providing audit trails of document activities ensuring their use as reliable information resources

* Improved information access with content and index searching tools to ensure document-based information availability

To deliver these benefits, EDMS solutions are based on the concept of a document repository. This term relates to the use of a database management system to store and access information associated with the documents captured or created by the EDMS. The database contains index information or profile information describing the stored electronic documents.

"Indexing documents" is a term generally associated with document imaging and COLD applications. These document technologies require manual or automated data entry indexing tasks to capture document types, numbers, dates, or other critical descriptive information. "Profiling documents" is a term often used with document management library services applications. This category of applications focuses on the electronically generated, unstructured information in the organization. Unstructured information includes documents generated by PCs using, for example, word processing, spreadsheets, presentations, and CAD, as well as electronic documents created by line-of-business applications. Document management applications provide valuable document-control activities such as check in/out of the repository, security, audit trails, and version/revision control. Profile data may include information such as author, date, version, originating application, and hierarchical structures (such as folders and files).

The term "metadata," or data describing stored information, captures the combined essence of indexing or profiling attributes. Metadata values provide descriptive information used for searching and retrieval of electronic documents stored in the repository. The document metadata may also automatically associate electronic documents with electronic file folders, workflow tasks, or other activities in the work process.

EDMS solutions are continually evolving and maturing. According to a paper published by AIIM International in 1998, the major trends in the industry include:

* Integration of document technology solutions into application suites

* Expanded use of Web tools with browser interfaces to the repository through the intra/ Internet

* Scalable solutions using messaging infrastructures and Web approaches for enterprise document management

Implementation of EDMS solutions requires consideration of the following questions:

* Which documents should be stored in the repository?

* What metadata should be assigned to them?

* How long should documents be kept in the repository?

* What media should be used to store them?

* What actions should be taken once they are removed from the repository?

RM Principles: Organization Practices and Policies for Records Control

The answers to the previous questions exist in the foundational elements or principles of a comprehensive records and information management program. The nature and scope of records management and the level of sophistication of records management programs vary from organization to organization. Historically, the core tasks of records management include the classification of records...