Electronic Document Management

Introduction to Document Management

Document management can mean many things to many people, and can serve a variety of purposes. The intention of this article is to list the components involved in document management and to briefly describe each one. At the conclusion, there are also some important factors to help in selecting a document management system.

If you've never used a document management system, then it is entirely possible that you aren't aware of how valuable these products can be. Companies and individuals who manage a diverse array of documents have found that document management systems serve to simplify their lives and make both storing documents and later obtaining those documents much easier. n cause a document to disappear into a virtual black hole, never to be seen again.

The entire process of document management can be broken down into four categories: file capture, file processing, file management and file storage. A company may require one, two or all four of these processes.

File Capture

File capture may consist of scanning paper documents, capturing existing electronic files (ex: .doc, .pdf, .tif and scanned documents), and capturing documents from applications with print drivers.

Scanning – if you have a large quantity of paper documents that need to be scanned and introduced to a DMS (Document Management System), then you must consider:

1. How you want the information to be retrieved and stored; and

2. How you want indexed information to be introduced to the DMS.

The manner with which you plan to access the documents later will determine which file format type the files will be saved under. The most common types for scanning output are .tif and .pdf.

The advantage of .tif file types is that they are the smallest file types and therefore take up the least amount of storage space. The advantage to .pdf file types is that they provide better options for content text searching (searching every word of a document), are easier to edit, and are overall more flexible.

The method of introducing indexed information (any field used to search and categorize documents) can range from fully automated to fully manual to somewhere in between. The more automated the process, the more file processing will be required. Extensive automation will make your project more complex and costly, but if you handle a large volume of documents, the automation will quickly pay off in the form of reduced manpower.

The actual physical scanning of the documents can also be fairly automated with batch scanning, bar codes, and database validation. Batch scanning reduces the labor in introducing the documents to the scanner. Instead of the scanner operator separating every document, scanning it separately, and then saving the file into a directory, the operator simply places all of the documents into a feeder by the bulk. The scanner then detects a document change by a blank sheet, bar code, or some other indicator.

Bar codes can also be used to represent a group of information or a client or project to populate multiple indexed fields. If you have an existing client database in your current ERP system or even QuickBooks, this data can also be used to populate or validate indexed fields.

Capturing electronic files – Existing electronic files - such as .doc, .xls, .dwg, and .dgn, - are easier to capture into a DMS. These files contain hidden properties called metadata, which can be mapped to a field in the DMS. This information might include created date, author, title, title block, and other useful information.

Once this data is mapped, these fields will be automatically populated when the electronic files are introduced. These files may be saved to a directory into which the DMS imports them, files may be dragged into the system, or a mass import may be used to bring in legacy documents.

Electronic files may also be captured through print drivers. If you commonly print reports from an application or save them to a directory, you may use a print driver to introduce them to the DMS, which will ultimately save time. Faxes may also be saved to a directory from which the DMS can pick them up for distribution before they ever go to paper.

File capture is relatively easy, but a simple digital file without any additional processing isn't much use. You may take the file and name it and file it in Windows Explorer, but when you are cataloging hundreds or thousands of files, this is not a feasible system. Human error, if nothing else, will prevent every single file from being named correctly and stored in the proper location. Even one misplaced file can wreak havoc for a business.

Introduction to Document Management

If you've never used a document management system, then it is entirely possible that you aren't aware of how valuable these products can be. Companies and individuals who manage a diverse array of documents have found that document management systems serve to simplify their lives and make both storing documents and later obtaining those documents much easier.

Many companies are forced to go the way of electronic documents because of The Sarbanes Oxley Act of 2002, industry compliance (HIPPA), or because it is required by their customers or vendors. The simplest form of electronic document management is storing files in an organized directory and categorizing files by the folder in which they are located. If your company manages more than a few documents, this method can quickly become very inflexible. Incorrect filing can cause a document to disappear into a virtual black hole, never to be seen again.

The entire process of document management can be broken down into four categories: file capture, file processing, file management and file storage. A company may require one, two or all four of these processes. File capture was covered in part one of this article.

File Processing

File processing can help make files more manageable. Examples of processing tasks include: separating and merging, OCR; zonal OCR; forms recognition; conversion; routing; and database (DMS) population. Some of the processing tasks can be completed with scanning software and/or your DMS. Files can be processed years after they are scanned or during the scanning process.

OCR (optical character recognition) allows scanned documents to undergo content text searching once the document is added into your system. Word, Excel, and other digital files do not have to undergo the OCR process to be content-searchable. Indexing the documents makes the content search very fast, even if you are searching through thousands of files.

Recent improvements in OCR make the process very accurate (up to 99%), however the accuracy of the OCR is dependant on the quality of the document and to some extent the hardware used to scan the documents. Most companies are happy to enjoy the benefits of OCR and content text search even with its imperfections.

Zonal OCR (OCR of a specific zone on a page) Scanned documents can also be processed to find certain information on the document and input it into fields in your document management system. For example, an invoice number may be required to organize and store the document so that the invoice number location is predetermined in a template and then that number is read and input into the document management system. This process is called "forms recognition," and may include many fields of information from a single document. Depending on the type of documents and the quantity of fields to be populated, this process and be both complex and expensive, so it is important to weigh the cost with the benefits.

File Management

There are many different types of applications available on the market with which to manage files. Choosing the one that is right for you can be complicated, and sometimes requires a consultant. Companies that choose to create their own systems are recreating the wheel and will be forced to replace that system at some point in the future. Some critical issues to consider when choosing the system that is right for you are:

1. Types of documents you are managing (working vs. final)
2. Internal and External Requirements
3. Browser or Desktop Interface
4. Cost of Ownership

Final vs. Working Documents

A final document, such as a contract or an invoice, may not need to be edited at a later date. It is saved for reference and/or retrieval purposes, and will not necessarily be needed again. These are called "final documents". Managing final documents is much cheaper and easier than storing documents that require editing capabilities. If you simply want to scan final documents and store them for later retrieval, you may only require a simple and inexpensive DMS.

A working document, on the other hand, will need to be revised on one or more occasions. These types of files might include manuals, sales literature, or CAD files. The author or other colleagues may need to edit them, or they may need distribution for specific purposes. A more advanced and versatile document management system will be needed so that the user can track changes, implement markups and revise text.

File Storage

File storage is covered in a proceeding article titled: EDMS – File Storage Options

By: Bret Lawson