Document Management System: An Overview
A Document Management System (DMS) is a computerized system designed to store, share, track, and manage files or documents. These systems often include version control, which logs the various versions created and modified by different users. DMS overlaps with content management systems and is considered a component of enterprise content management (ECM) systems. It is also related to digital asset management, document imaging, workflow systems, and records management systems.
History
Traditionally, electronic document management systems store documents in their native file formats, such as Microsoft Word, Excel, or PDF. However, some web-based DMS are beginning to store content in HTML format. These HTML-based systems can function as publishing or policy management systems. Content is captured through browser-based editors or by importing and converting non-HTML content. Storing documents as HTML simplifies full-text search workflows since most search engines handle HTML natively. DMS without HTML storage must extract text from proprietary formats, complicating the full-text search process.
Search capabilities, including boolean queries, cluster analysis, and stemming, have become essential components of DMS. These features are crucial as users have grown accustomed to internet searching and spend less time organizing their content.
Components
Document management systems typically provide storage, versioning, metadata, security, indexing, and retrieval capabilities. Here is a detailed look at these components:
Metadata
Metadata is typically stored for each document, including details such as the date the document was stored and the identity of the user who stored it. The DMS may automatically extract metadata from the document or prompt the user to add it. Some systems use optical character recognition (OCR) on scanned images or perform text extraction on electronic documents. The extracted text can assist users in locating documents by identifying probable keywords or providing full-text search capability.
Integration
Many DMS integrate document management functionality directly into other applications, allowing users to retrieve, edit, and save documents back to the repository as new versions without leaving the application. This integration is commonly available for various software tools through an application programming interface (API) using open standards such as ODMA, LDAP, WebDAV, and SOAP or RESTful web services.
Capture
Capture involves accepting and processing images of paper documents from scanners or multifunction printers. OCR software is often used to convert digital images into machine-readable text. Optical mark recognition (OMR) software may also be used to extract values from check-boxes or bubbles. Capture can also involve accepting electronic documents and other computer-based files.
Data Validation
Data validation rules check for document failures, missing signatures, misspelled names, and other issues, recommending real-time correction options before importing data into the DMS. Additional processing, such as harmonization and data format changes, may also be applied as part of data validation.
Indexing
Indexing tracks electronic documents, providing classification through metadata or word indexes extracted from the documents’ contents. Indexing supports information query and retrieval, with the creation of an index topology being critical for rapid retrieval.
Storage
Storage involves managing electronic documents, including where they are stored, for how long, migration from one storage media to another, and eventual document destruction.
Retrieval
Retrieval involves fetching electronic documents from storage. While simple retrieval can be supported by specifying a unique document identifier, more flexible retrieval allows users to specify partial search terms involving the document identifier and metadata. Some systems support Boolean expressions containing multiple keywords or example phrases expected within the documents’ contents.
Distribution
A document ready for distribution should be in a format that cannot be easily altered. An electronic link to the document is more common than using the original master copy. In a regulatory environment, additional criteria such as traceability and versioning must be met.
Security
Document security is vital in many DMS applications. Compliance requirements for certain documents can be complex, depending on the type of documents. Document management systems may have a rights management module that allows an administrator to control access to documents based on type. Document marking at the time of printing or PDF creation is essential to prevent alteration or unintended use.
Workflow
Workflow is a complex process, and some DMS have built-in workflow modules or integrate with workflow management tools. Manual workflow requires a user to decide the document’s route, while rules-based workflow allows an administrator to create rules dictating the document’s flow through an organization. Dynamic rules allow for branches in the workflow process.
Collaboration
Collaboration is inherent in an EDMS, allowing documents to be retrieved and worked on by authorized users. Advanced forms of collaboration enable multiple users to view and modify documents in real-time, with all users’ additions recorded for document history monitoring.
Versioning
Versioning involves checking documents in or out of the DMS, allowing users to retrieve previous versions and continue work from a selected point. Versioning is useful for documents that change over time and require updating.
Searching
Searching involves finding documents and folders using template attributes or full-text search. Documents can be searched using various attributes and content.
Federated Search
Federated search extends search capabilities to draw results from multiple sources or DMSes within an enterprise.
Publishing
Publishing a document involves proofreading, peer or public reviewing, authorizing, printing, and approving. Any careless handling may result in document inaccuracy. In regulated industries, some procedures must be completed with corresponding signatures and dates.
Hard Copy Reproduction
Document/image reproduction is often necessary within a DMS, and supported output devices and reproduction capabilities should be considered.
Standardization
Many industry associations publish lists of particular document control standards used in their fields. Relevant ISO documents include divisions ICS 01.140.10 and 01.140.20. The ISO has also published standards regarding technical documentation, covered by division 01.110.
Document Control
Government regulations typically require companies in certain industries to control their documents. A Document Controller is responsible for controlling these documents strictly. These industries include accounting, food safety, ISO, medical device manufacturing, healthcare, and information technology. Document control includes reviewing and approving documents, ensuring changes are clearly identified, and preventing the use of obsolete documents.
Integrated DM
Integrated document management comprises the technologies, tools, and methods used to capture, manage, store, preserve, deliver, and dispose of ‘documents’ across an enterprise. In this context, ‘documents’ include images, office documents, graphics, drawings, web pages, emails, instant messages, and videos.
Document Management Software
Document management software allows users to manage access, track, and edit information stored. It serves as an electronic cabinet to organize all paper and digital files, combining them into a single hub after scanning and importing digital formats. One of the key benefits is a “fail-safe” environment for safeguarding all documents and data. In the heavy construction industry, document management software allows team members to securely view and upload documents for projects from anywhere and at any time.
Conclusion
Document management systems are essential for organizations to efficiently manage their documents, ensuring compliance, security, and accessibility. With the advancement of technology, DMS continues to evolve, providing more robust and integrated solutions for document management.
