Preface |
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xvii | |
Acknowledgments |
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xix | |
Introduction |
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xxi | |
About the Author |
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xxv | |
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Part 1 Basics of Electronic Document and Records Management Systems |
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History and Background of Electronic Document and Records Management Systems |
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3 | (4) |
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Earliest Systems Known to Humans |
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3 | (1) |
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3 | (2) |
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5 | (2) |
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7 | (16) |
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7 | (1) |
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Legislation --- Freedom of Information Act, Privacy Act 1974, Data Protection Act 1998 |
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7 | (1) |
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The Difference between Documents and Records |
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8 | (1) |
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9 | (2) |
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EDRMS --- Electronic Document and Records Management Systems |
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9 | (1) |
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EDRM --- Electronic Document and Records Management |
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10 | (1) |
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EDMS --- Electronic Document Management Systems |
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10 | (1) |
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EDM --- Electronic Document Management |
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10 | (1) |
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ERMS --- Electronic Records Management Systems |
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10 | (1) |
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ERM --- Electronic Records Management |
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10 | (1) |
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DMS --- Document Management Systems |
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10 | (1) |
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ECM --- Enterprise Content Management |
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11 | (1) |
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11 | (1) |
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Electronic Record Keeping |
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11 | (1) |
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Basic Components of Electronic Document Management Systems |
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11 | (5) |
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11 | (1) |
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12 | (1) |
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Integration with Desktop Applications |
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13 | (1) |
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13 | (1) |
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13 | (1) |
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14 | (1) |
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14 | (1) |
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Classification and Indexing |
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14 | (1) |
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15 | (1) |
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Optical Character Recognition (OCR) |
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15 | (1) |
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Basic Components of Record Management Systems |
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16 | (4) |
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17 | (1) |
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17 | (1) |
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Classification, Indexing, and Metadata |
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17 | (1) |
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Capturing and Declaring Records |
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17 | (1) |
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Retention and Disposal of Records |
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18 | (1) |
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18 | (1) |
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Managing Physical Records |
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18 | (1) |
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18 | (1) |
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19 | (1) |
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Compliance with Standards |
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19 | (1) |
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19 | (1) |
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20 | (1) |
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20 | (1) |
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20 | (3) |
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Complying with Standards and Legislation |
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23 | (18) |
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24 | (1) |
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ISO 15489.1-2002, Records Management --- Part 1: General |
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24 | (1) |
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ISO 15489.2-2002, Records Management --- Part 2: Guidelines |
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25 | (1) |
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DIRKS (Designing and Implementing Record-Keeping Systems) |
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25 | (2) |
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Step A --- Preliminary Investigation |
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25 | (1) |
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Step B --- Analysis of Business Activity |
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26 | (1) |
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Step C --- Identification of Record-Keeping Requirements |
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26 | (1) |
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Step D --- Assessment of Existing Systems |
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26 | (1) |
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Step E --- Identification of Strategies for Record-Keeping |
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27 | (1) |
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Step F --- Design of a Record-Keeping System |
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27 | (1) |
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Step G --- Implementation of a Record-Keeping System |
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27 | (1) |
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Step H --- Post-Implementation Review |
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27 | (1) |
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MOREQ: Model Requirements for the Management of Electronic Records |
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27 | (1) |
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DoD 5015.2: Design Criteria Standard for ERM Software Applications |
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28 | (1) |
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DoD 5015.2 --- Compliant Systems |
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29 | (1) |
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The National Archives-Compliant Systems (TNA 2002) |
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29 | (1) |
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30 | (1) |
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30 | (1) |
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The Privacy Act 1974 (United States) and Data Protection Act 1998 (United Kingdom) |
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31 | (1) |
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Government Paperwork Elimination Act |
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31 | (1) |
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Other Acts of Law and Regulations Impacting on Electronic Records |
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31 | (5) |
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32 | (1) |
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Health Insurance Portability and Accounting Act (HIPAA) |
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33 | (1) |
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U.S. Securities and Exchange Commission |
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33 | (1) |
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National Association of Security Dealers |
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34 | (1) |
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Financial Services and Markets Act 2000 |
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34 | (1) |
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35 | (1) |
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International Financial Reporting Standards |
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35 | (1) |
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36 | (1) |
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Environmental Information Regulations 2004 |
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36 | (1) |
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36 | (5) |
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Part 2 Components of EDRMS |
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Creating Electronic Document Types |
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41 | (22) |
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Gathering Requirements for Defining Electronic Documents |
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41 | (2) |
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Defining Electronic Document Types |
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43 | (5) |
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Step 1 --- Working with a Representative Cross Section of the Department |
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43 | (1) |
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Step 2 --- Discovering the Department's Main Activities |
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43 | (1) |
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Step 3 --- Defining Document Types for Each Document Group |
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44 | (1) |
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Step 4 --- Defining Metadata for Each Document Type |
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45 | (3) |
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Defining Metadata for Searching and Retrieval Methods |
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48 | (1) |
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Defining Metadata for the Health and Safety Accident Document |
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48 | (1) |
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Using Mandatory Fields to Define Metadata |
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49 | (2) |
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Specifying Metadata Field Types |
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51 | (1) |
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Analyzing Each Part of the Form to Derive Metadata |
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52 | (5) |
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52 | (1) |
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Part B --- About the Incident |
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52 | (3) |
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Part C --- About the Injured Person |
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55 | (1) |
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Part D --- About the Injury |
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56 | (1) |
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Part E --- About the Kind of Accident |
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56 | (1) |
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Part F --- Dangerous Occurrences |
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56 | (1) |
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Part G --- Describing What Happened |
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56 | (1) |
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What Other Documents Would Be Related to This Type of Document? |
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57 | (1) |
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57 | (1) |
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The Completed Metadata Definition |
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57 | (3) |
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60 | (1) |
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Uploading Files from Other Sources |
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61 | (1) |
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Creating Document Types for the Other Departments |
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62 | (1) |
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Creating the Folder Structure |
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63 | (10) |
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The Organizational Structure |
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64 | (1) |
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Property-Based Folder Structures |
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64 | (2) |
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Business-Based Folder Structure |
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66 | (2) |
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Project-Based Folder Structure |
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68 | (1) |
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Which Folder Structure to Choose |
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68 | (1) |
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69 | (4) |
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Step 1 --- Top-Level Folder |
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70 | (1) |
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Step 2 --- Creating Level 2 Folders |
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70 | (1) |
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Step 3 --- Creating Level 3 Folders |
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70 | (1) |
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Step 4 --- Creating Folders within Each of the Environmental Services Department Folders |
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70 | (3) |
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73 | (12) |
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Searching a Document or Records Content |
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73 | (1) |
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74 | (2) |
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76 | (1) |
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Designing Search Screens and Displaying Search Results |
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77 | (4) |
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Administrative Search Functions --- Reporting |
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81 | (4) |
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85 | (14) |
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How and When Should Workflow Be Integrated? |
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85 | (1) |
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86 | (1) |
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Starting at the Beginning --- The Post Room |
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86 | (1) |
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87 | (3) |
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Step 1 --- How Much Mail Does the Organization Receive? |
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87 | (1) |
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Step 2 --- How Do We Index Mail? |
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88 | (1) |
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Step 3 --- How Many Scanning and Indexing Stations Are Needed? |
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88 | (2) |
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What Do We Do with Direct Marketing Materials? |
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90 | (1) |
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The Starting Point for Documents with Workflow |
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90 | (1) |
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91 | (1) |
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Handling Letters That Have Been Directed to the Wrong Department or Person |
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91 | (1) |
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91 | (1) |
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Investigating How Documents Flow around the Organization |
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92 | (1) |
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93 | (1) |
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94 | (1) |
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Managing the Organization Using Workflow |
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94 | (1) |
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95 | (1) |
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95 | (1) |
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Freedom of Information Request |
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96 | (1) |
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Realizing the Full Potential of Workflow |
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96 | (3) |
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99 | (4) |
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99 | (1) |
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100 | (1) |
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E-mail Is Not an IT Issue; It's a Business Issue |
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100 | (1) |
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Laws, Regulatory Compliance, and E-mails |
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100 | (1) |
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Classifying and Indexing E-mails |
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101 | (1) |
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101 | (1) |
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Searching and Retrieving E-mails |
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101 | (1) |
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102 | (1) |
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Records Management and Records Management Policies |
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103 | (6) |
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What Constitutes a Record? |
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103 | (1) |
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When Do Documents Become Records? |
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104 | (1) |
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105 | (1) |
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106 | (1) |
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106 | (1) |
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106 | (3) |
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107 | (1) |
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Further Legislation and Standards on the Retention and Deletion of Documents |
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107 | (2) |
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User Interfaces, Mobile Working and Remote Access |
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109 | (8) |
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Advantages of the Windows Client |
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110 | (1) |
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Disadvantages of the Windows Client |
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110 | (1) |
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Advantages of the Web Client |
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110 | (1) |
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Disadvantages of the Web Client |
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111 | (1) |
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Which User Interface? Windows Client or Web Client? |
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111 | (1) |
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Aspects of Good User Interface Design |
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111 | (2) |
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Displaying More than One Document or Record |
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111 | (1) |
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Displaying Metadata Associated with a Document or Record |
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112 | (1) |
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Navigating through the Folder Structure |
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112 | (1) |
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113 | (1) |
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Accessing the Document or Records History |
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113 | (1) |
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Comparing Different Document Versions |
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113 | (1) |
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113 | (1) |
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114 | (1) |
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114 | (3) |
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Scanning Historical Documents and Records |
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117 | (10) |
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117 | (4) |
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118 | (1) |
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Scanning, Classification, and Indexing |
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118 | (1) |
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On-Site Scanning, Classification, and Indexing |
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119 | (1) |
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Off-Site Scanning, Categorization, and Indexing |
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120 | (1) |
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Training Needs of Scanning and Indexing Personnel |
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121 | (1) |
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121 | (1) |
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Running the Processes in Parallel |
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122 | (1) |
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Case Study --- Warrington NHS (National Health Service) Primary Care Trust (United Kingdom) |
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122 | (5) |
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123 | (1) |
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123 | (4) |
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Part 3 A Framework for EDRMS |
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127 | (24) |
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127 | (13) |
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128 | (1) |
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Starting up a Project (SU) |
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129 | (1) |
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130 | (1) |
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Initiating a Project (IP) |
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130 | (1) |
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Managing Stage Boundaries (SB) |
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131 | (1) |
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132 | (1) |
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Managing Product Delivery (MP) |
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132 | (1) |
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133 | (1) |
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134 | (1) |
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135 | (1) |
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135 | (1) |
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136 | (1) |
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136 | (1) |
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137 | (1) |
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138 | (1) |
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Quality in a Project Environment |
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138 | (1) |
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139 | (1) |
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140 | (1) |
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PMBOK (Project Management Body of Knowledge) |
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140 | (9) |
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Project Management Knowledge Areas |
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140 | (2) |
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142 | (1) |
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142 | (1) |
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The Nine Project Management Knowledge Areas |
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142 | (1) |
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Project Integration Management |
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143 | (1) |
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143 | (1) |
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143 | (1) |
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144 | (1) |
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Project Quality Management |
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145 | (1) |
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Project Human Resource Management |
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145 | (1) |
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Project Communications Management |
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146 | (1) |
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147 | (1) |
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Project Procurement Management |
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148 | (1) |
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Starting the EDRMS Project |
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149 | (1) |
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Getting the Right Team Together |
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150 | (1) |
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151 | (12) |
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152 | (1) |
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152 | (1) |
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152 | (1) |
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153 | (1) |
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Centralized Storage of Information |
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153 | (1) |
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Management of Information |
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154 | (1) |
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Compliance with Record Keeping Laws and Standards |
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154 | (1) |
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Improved Customer Service |
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154 | (1) |
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154 | (1) |
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More Efficient Business Processes |
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155 | (1) |
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155 | (1) |
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155 | (1) |
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The Link between Tangible Benefits and Intangible Benefits |
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155 | (1) |
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156 | (4) |
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156 | (1) |
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Information Gathering and Analysis |
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157 | (1) |
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157 | (1) |
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157 | (1) |
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The Functional Requirements |
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158 | (1) |
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The Technical Specification |
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158 | (1) |
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Procuring an EDRMS Software Solution |
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158 | (1) |
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158 | (1) |
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158 | (1) |
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159 | (1) |
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159 | (1) |
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160 | (1) |
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Stages Running in Parallel |
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160 | (1) |
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Financial Benefits of the Project |
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160 | (3) |
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The Functional Requirements |
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163 | (10) |
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164 | (1) |
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Document Types and Metadata |
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164 | (1) |
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165 | (1) |
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166 | (1) |
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167 | (1) |
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167 | (1) |
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Mobile Working and Remote Access |
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168 | (1) |
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169 | (1) |
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169 | (1) |
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170 | (1) |
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170 | (1) |
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Compliance with Standards |
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170 | (3) |
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The Technical Specification |
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173 | (6) |
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|
173 | (1) |
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Document Types and Metadata |
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174 | (1) |
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174 | (1) |
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174 | (1) |
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174 | (1) |
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175 | (1) |
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Mobile Working and Remote Access |
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175 | (1) |
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175 | (1) |
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175 | (1) |
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176 | (1) |
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176 | (3) |
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179 | (4) |
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Choosing the ``Right'' (?) Software |
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180 | (1) |
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The D.I.Y Option --- In-House Development |
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180 | (3) |
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183 | (2) |
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183 | (1) |
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184 | (1) |
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184 | (1) |
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184 | (1) |
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184 | (1) |
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Managing the Cultural Change of EDRMS |
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185 | (14) |
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What Is Change Management? |
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186 | (1) |
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What Is Organizational Culture? |
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186 | (1) |
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187 | (1) |
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187 | (1) |
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187 | (1) |
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187 | (1) |
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Organizational Cultural and Change Management |
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188 | (1) |
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Approaches to Change Management |
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188 | (3) |
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Political Skills: Understanding Organizational Politics |
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189 | (1) |
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Analytical Skills: Investigating the Organization |
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190 | (1) |
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People Skills: Communication and interaction |
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190 | (1) |
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System Skills: Knowing the Organization Processes |
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190 | (1) |
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Business Skills: Knowing the Organization |
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191 | (1) |
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Fundamental Components of the Change Program |
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191 | (3) |
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Investigate the Culture of the Organization |
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191 | (1) |
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191 | (1) |
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``The Computer Will Replace Our Jobs'' Syndrome |
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192 | (1) |
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192 | (1) |
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|
192 | (1) |
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Involve the Whole Organization |
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193 | (1) |
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Empowering Staff within the Organization |
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193 | (1) |
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Change at the Individual Level |
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193 | (1) |
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193 | (1) |
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Change Management Strategies |
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194 | (1) |
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194 | (1) |
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194 | (1) |
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195 | (1) |
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Influencing Factors in Designing the Change Management Program |
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195 | (1) |
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Which Change Management Strategy to Choose? |
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195 | (1) |
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Overcoming the Reluctance to Let Go of Paper |
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196 | (1) |
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|
196 | (1) |
|
Implementing and Managing the Change Program |
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197 | (1) |
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|
197 | (2) |
|
The On-Going Nature of the Project |
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199 | (24) |
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|
199 | (1) |
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200 | (1) |
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|
200 | (1) |
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Integrating the EDRMS with Other Systems |
|
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201 | (1) |
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The Paperless Office --- a Myth or Practicality? |
|
|
201 | (2) |
|
Part 4 EDRMS Case Studies |
|
|
|
Case Study --- Agis Healthcare, Netherlands |
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203 | (1) |
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203 | (1) |
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|
203 | (1) |
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204 | (1) |
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|
204 | (1) |
|
Case Study --- Barclays Bank, United Kingdom |
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|
204 | (2) |
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204 | (1) |
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205 | (1) |
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|
205 | (1) |
|
Case Study --- City of Newark, New Jersey |
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206 | (2) |
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206 | (1) |
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206 | (1) |
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207 | (1) |
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207 | (1) |
|
Federal E-File Compliance |
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207 | (1) |
|
Municipal Council Meeting Agendas |
|
|
207 | (1) |
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|
207 | (1) |
|
Case Study --- Cuatrecasas, Spain |
|
|
208 | (4) |
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|
208 | (1) |
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|
208 | (1) |
|
Publishing Company Information |
|
|
208 | (1) |
|
Low Reuse of Best Practices |
|
|
209 | (1) |
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|
209 | (1) |
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|
209 | (1) |
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|
209 | (1) |
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|
210 | (1) |
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|
210 | (1) |
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|
210 | (1) |
|
Increased IT Productivity |
|
|
210 | (1) |
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|
210 | (1) |
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|
211 | (1) |
|
Calculating Return on Investment (ROI) |
|
|
211 | (1) |
|
Case Study --- NHS Care Records Service, United Kingdom |
|
|
212 | (1) |
|
|
212 | (1) |
|
Electronic Transmission of Prescriptions (ETP) |
|
|
213 | (1) |
|
Picture Archiving and Communications Systems (PACS) |
|
|
213 | (1) |
|
Quality Management and Analysis System (QMAS) |
|
|
213 | (1) |
|
|
213 | (1) |
|
Case Study --- Nevada County, California |
|
|
213 | (1) |
|
Case Study --- New York City Police Pension Fund, New York |
|
|
214 | (4) |
|
|
215 | (1) |
|
|
215 | (1) |
|
|
215 | (2) |
|
|
217 | (1) |
|
Case Study --- Trinity Community Centre, United Kingdom |
|
|
218 | (2) |
|
|
218 | (1) |
|
|
219 | (1) |
|
Case Study --- Tyler Memorial Hospital, Tunkhannock, Pennsylvania |
|
|
220 | (3) |
|
|
220 | (1) |
|
|
221 | (1) |
|
|
221 | (2) |
|
Appendix A EDRMS Software Vendors |
|
|
223 | (12) |
|
Diagonal Solutions --- Wisdom |
|
|
223 | (1) |
|
|
224 | (1) |
|
EMC Software --- Documentum Records Manager |
|
|
224 | (1) |
|
|
225 | (1) |
|
|
226 | (1) |
|
Hummingbird --- DM, RM, R/KYV |
|
|
226 | (1) |
|
Hyperwave --- eRecords Suite |
|
|
226 | (1) |
|
IDOX --- Document Management and Records Management |
|
|
227 | (1) |
|
|
227 | (1) |
|
|
228 | (1) |
|
|
228 | (1) |
|
|
229 | (1) |
|
|
229 | (1) |
|
|
230 | (1) |
|
|
230 | (1) |
|
|
231 | (1) |
|
World Software Corporation |
|
|
232 | (1) |
|
|
232 | (3) |
|
|
235 | (6) |
|
|
241 | (4) |
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Chapter 3 --- Legislation and Standards |
|
|
241 | (1) |
|
Chapter 11 --- Scanning Historical Documents and Records |
|
|
242 | (1) |
|
Chapter 12 --- Project Management |
|
|
242 | (1) |
|
Chapter 18 --- Managing the Cultural Change of EDRMS |
|
|
242 | (1) |
|
|
242 | (1) |
|
|
243 | (2) |
Index |
|
245 | |