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AU8059 C000.fm Page i Tuesday, July 24, 2007 4:15 PMImplementing ElectronicDocument and RecordManagement Systems

AU8059 C000.fm Page ii Tuesday, July 24, 2007 4:15 PMOther Auerbach Publications inSoftware Development, Software Engineering,and Project ManagementAccelerating Process Improvement UsingAgile TechniquesDeb JacobsISBN: 0-8493-3796-8Antipatterns: Identification, Refactoring,and ManagementPhillip A. Laplante and Colin J. NeillIISBN: 0-8493-2994-9Applied Software Risk Management:A Guide for Software Project ManagersC. Ravindranath PandianISBN: 0-8493-0524-1The Art of Software ModelingBenjamin A. LiebermanISBN: 1-4200-4462-1Database and Applications Security: IntegratingInformation Security and Data ManagementBhavani ThuraisinghamISBN: 0-8493-2224-3The Debugger’s HandbookJ.F. DiMarzioISBN: 0-8493-8034-0Process-Based Software Project ManagementF. Alan GoodmanISBN: 0-8493-7304-2Reducing Risk with Software Process ImprovementLouis PoulinISBN: 0-8493-3828-XThe ROI from Software QualityKhaled El EmamISBN: 0-8493-3298-2Service Oriented EnterprisesSetrag KhoshafianISBN: 0-8493-5360-2Six Sigma Software Development, Second EditionChristine B. TayntorISBN: 1-4200-4426-5Software Engineering Quality PracticesRonald Kirk KandtISBN: 0-8493-4633-9Software Requirements: Encapsulation,Quality, and ReuseRick LutowskiISBN: 0-8493-2848-9Defining and Deploying Software ProcessesF. Alan GoodmanISBN: 0-8493-9845-2Effective Software Maintenance and Evolution:A Reuse-Based ApproachStanislaw JarzabekISBN: 0-8493-3592-2Embedded Linux System Design and DevelopmentP. Raghavan, Amol Lad, and Sriram NeelakandanISBN: 0-8493-4058-6Flexible Software Design: Systems Developmentfor Changing RequirementsBruce Johnson, Walter W. Woolfolk, Robert Millerand Cindy JohnsonISBN: 0-8493-2650-8Software Sizing, Estimation, and Risk ManagementDaniel D. Galorath and Michael W. EvansISBN: 0-8493-3593-0Software Specification and Design: AnEngineering ApproachJohn C. MunsonISBN: 0-8493-1992-7Software Testing and Continuous QualityImprovement, Second EditionWilliam E. LewisISBN: 0-8493-2524-2Strategic Software Engineering: AnInterdisciplinary ApproachFadi P. Deek, James A.M. McHugh, and Osama M. EljabiriISBN: 0-8493-3939-1Global Software Development HandbookRaghvinder Sangwan, Matthew Bass, Neel Mullick,Daniel J. Paulish, and Juergen KazmeierISBN: 0-8493-9384-1Successful Packaged Software ImplementationChristine B. TayntorISBN: 0-8493-3410-1The Handbook of Mobile MiddlewarePaolo Bellavista and Antonio CorradiISBN: 0-8493-3833-6Testing Code SecurityMaura A. van der LindenISBN: 0-8493-9251-9Manage Software TestingPeter Farrell-VinayISBN: 0-8493-9383-3UML for Developing Knowledge Management SystemsAnthony J. RhemISBN: 0-8493-2723-7Maximizing ROI on Software DevelopmentVijay SikkaISBN: 0-8493-2312-6X Internet: The Executable and Extendable InternetJessica KeyesISBN: 0-8493-0418-0AUERBACH PUBLICATIONSwww.auerbach-publications.comTo Order Call: 1-800-272-7737 Fax: 1-800-374-3401E-mail: orders@crcpress.com

AU8059 C000.fm Page iii Tuesday, July 24, 2007 4:15 PMImplementing ElectronicDocument and RecordManagement SystemsAzad AdamBoca Raton New YorkAuerbach Publications is an imprint of theTaylor & Francis Group, an informa business

AU8059 C000.fm Page iv Tuesday, July 24, 2007 4:15 PMAuerbach PublicationsTaylor & Francis Group6000 Broken Sound Parkway NW, Suite 300Boca Raton, FL 33487-2742 2008 by Taylor & Francis Group, LLCAuerbach is an imprint of Taylor & Francis Group, an Informa businessNo claim to original U.S. Government worksPrinted in the United States of America on acid-free paper10 9 8 7 6 5 4 3 2 1International Standard Book Number-13: 978-0-8493-8059-4 (Hardcover)This book contains information obtained from authentic and highly regarded sources. Reprintedmaterial is quoted with permission, and sources are indicated. A wide variety of references arelisted. Reasonable efforts have been made to publish reliable data and information, but the authorand the publisher cannot assume responsibility for the validity of all materials or for the consequences of their use.No part of this book may be reprinted, reproduced, transmitted, or utilized in any form by anyelectronic, mechanical, or other means, now known or hereafter invented, including photocopying,microfilming, and recording, or in any information storage or retrieval system, without writtenpermission from the publishers.For permission to photocopy or use material electronically from this work, please access www.copyright.com (http://www.copyright.com/) or contact the Copyright Clearance Center, Inc. (CCC)222 Rosewood Drive, Danvers, MA 01923, 978-750-8400. CCC is a not-for-profit organization thatprovides licenses and registration for a variety of users. For organizations that have been granted aphotocopy license by the CCC, a separate system of payment has been arranged.Trademark Notice: Product or corporate names may be trademarks or registered trademarks, andare used only for identification and explanation without intent to infringe.Library of Congress Cataloging-in-Publication DataAdam, Azad.Implementing electronic document and record management systems / AzadAdam.p. cm.Includes bibliographical references and index.ISBN 978-0-8493-8059-4 (alk. paper)1. Electronic filing systems. 2. Business records--Dataprocessing--Management. 3. Public records--Data processing--Management. 4.Medical records--Data processing--Management. 5. Records--Management--Dataprocessing. 6. Electronic records--Management. 7. Text processing (Computerscience) I. Title.HF5738.A32 2007651.5’9--dc22Visit the Taylor & Francis Web site athttp://www.taylorandfrancis.comand the Auerbach Web site athttp://www.auerbach-publications.com2007013892

AU8059 C000.fm Page v Tuesday, July 24, 2007 4:15 PMDedicationFor Humza, Medina, and Yusuf, may their futures be brightand filled with opportunities!To Mum, Dad, Isaac, and Tariq for helping and supporting methrough all the ups and downs!To Olive, for helping me to realise my potentialand for helping me go for it!To Andrew, for being there, for standing firm,and for all the support you have given me!A special thanks to Vickie Hewson for all your help, support,and determination on the project!v

AU8059 C000.fm Page vi Tuesday, July 24, 2007 4:15 PM

AU8059 C000.fm Page vii Tuesday, July 24, 2007 4:15 PMContentsPreface . xviiAcknowledgments . xixIntroduction . xxiAbout the Author. xxvPart 1Basics of Electronic Document and RecordsManagement Systems1 History and Background of Electronic Documentand Records Management Systems .3Earliest Systems Known to Humans.3Modern Systems .3Future Market Trends .52 Fundamentals of EDRMS .7Legislative Issues .7Legislation — Freedom of Information Act, Privacy Act 1974,Data Protection Act 1998.7The Difference between Documents and Records .8Acronyms .9EDRMS — Electronic Document and Records Management Systems .9EDRM — Electronic Document and Records Management .10EDMS — Electronic Document Management Systems .10EDM — Electronic Document Management .10ERMS — Electronic Records Management Systems .10ERM — Electronic Records Management.10DMS — Document Management Systems .10ECM — Enterprise Content Management .11DM and RM .11Electronic Record Keeping.11vii

AU8059 C000.fm Page viii Tuesday, July 24, 2007 4:15 PMviii Document and Record Management SystemsBasic Components of Electronic Document Management Systems.11Document Repository .11Folder Structures .12Integration with Desktop Applications.13Check-In and Check-Out.13Version Control.13Auditing.14Security.14Classification and Indexing .14Search and Retrieval .15Optical Character Recognition (OCR).15Basic Components of Record Management Systems .16Repository .17Folder Structure .17Classification, Indexing, and Metadata .17Capturing and Declaring Records.17Retention and Disposal of Records .18Record Security.18Managing Physical Records .18Search and Retrieval .18Auditing and Reporting .19Compliance with Standards.19Scanning and Imaging .19Collaboration .20Workflow.20The Complete EDRMS .203 Complying with Standards and Legislation.23ISO 15489 .24ISO 15489.1-2002, Records Management — Part 1: General .24ISO 15489.2-2002, Records Management — Part 2: Guidelines .25DIRKS (Designing and Implementing Record-Keeping Systems) .25Step A — Preliminary Investigation.25Step B — Analysis of Business Activity .26Step C — Identification of Record-Keeping Requirements .26Step D — Assessment of Existing Systems .26Step E — Identification of Strategies for Record-Keeping .27Step F — Design of a Record-Keeping System .27Step G — Implementation of a Record-Keeping System.27Step H — Post-Implementation Review .27MOREQ: Model Requirements for the Managementof Electronic Records.27DoD 5015.2: Design Criteria Standard for ERM Software Applications .28DoD 5015.2 — Compliant Systems .29The National Archives–Compliant Systems (TNA 2002) .29Acts of Law.30Freedom of Information .30

AU8059 C000.fm Page ix Tuesday, July 24, 2007 4:15 PMContents ixThe Privacy Act 1974 (United States) and Data Protection Act 1998(United Kingdom) .31Government Paperwork Elimination Act .31Other Acts of Law and Regulations Impacting on Electronic Records .31BSI PD 0008 .32Health Insurance Portability and Accounting Act (HIPAA) .33U.S. Securities and Exchange Commission .33National Association of Security Dealers .34Financial Services and Markets Act 2000 .34Sarbanes–Oxley Act .35International Financial Reporting Standards .35The e-Privacy Directive .36Environmental Information Regulations 2004.36Conclusion .36Part 2 Components of EDRMS4 Creating Electronic Document Types.41Gathering Requirements for Defining Electronic Documents .41Defining Electronic Document Types .43Step 1 — Working with a Representative Cross Sectionof the Department.43Step 2 — Discovering the Department’s Main Activities .43Step 3 — Defining Document Types for Each Document Group .44Step 4 — Defining Metadata for Each Document Type .45Defining Metadata for Searching and Retrieval Methods .48Defining Metadata for the Health and Safety Accident Document .48Using Mandatory Fields to Define Metadata .49Specifying Metadata Field Types .51Analyzing Each Part of the Form to Derive Metadata .52Part A — About You .52Part B — About the Incident .52Part C — About the Injured Person .55Part D — About the Injury .56Part E — About the Kind of Accident .56Part F — Dangerous Occurrences .56Part G — Describing What Happened .56What Other Documents Would Be Related to This Type of Document? .57Standard Metadata Fields.57The Completed Metadata Definition .57Letters.60Uploading Files from Other Sources.61Creating Document Types for the Other Departments .625 Creating the Folder Structure .63The Organizational Structure .64Property-Based Folder Structures.64Business-Based Folder Structure.66