DOCUMENT MANAGEMENT

SECTION 8
DOCUMENT MANAGEMENT

 This is an administrative function that deals with

the efficient creation, storage, retrieval, retention
and disposal of documents.
 In other words it is a system which ensures that
documents are created, stored (saved), retrieved
(located, fetched), and disposed (deleted)
properly. Central to Document Management
systems are Filing Systems.
 When documents are properly managed, people
within an organisation are able to function
efficiently and can offer a quality of service to
their customers.
DIFFERENCES BETWEEN MANUAL AND
ELECTRONIC FILING SYSTEMS

Manual Filing Systems Electronic Filing Systems

 A manual (or traditional)  In electronic filing systems,

filing system stores paper- documents are stored as
based documents in a electronic files on a storage
device that offers some device or in Cloud storage.
protection against  Storage devices include
unauthorised access, as
well as fire, pests and compact discs (CD-ROM),
natural disasters. Digital Video Discs (DVD),
floppy disks, hard disks,
 Paper folders, desks,
flash drives and memory
wooden cabinets and cards.
metal filing cabinets are
popular storage devices in
a manual filing systems
 CLOUD STORAGE

 Cloud Storage is an online service which allows users to store and

manage electronic documents on a remote server.
 Users are required to set up accounts with the company hosting the
files in order to access the service.
 Files are accessible via a web browser.
 Cloud examples include Dropbox, Box Google Drive, Microsoft
OneDrive.
DIFFERENCES BETWEEN MANUAL
AND ELECTRONIC FILING
SYSTEMS
 ADVANTAGES AND DISADVANTAGES OF
ELECTRONIC FILING SYSTEMS
Advantages Disadvantages
 Less space required – More  More prone to failure – Computer
documents can be stored in a smaller systems depend on electricity and
space electronics for their operation. A

prolonged power outage or hardware
Less costly – The cost to store malfunction can lead to temporary
documents in an electronic filing suspension of business or even
system is much less than the cost of permanent loss of data
storage in filing cabinets  Ease with which data may be lost –
 Faster retrieval – Computer-based Electronic data files may be permanently
file management systems facilitate deleted in error.
faster access  Data more vulnerable – In cases where
 Increase portability – It is much an ineffective security system is place,
easier to move vast volumes of threats such as hacking can breach the
documents from one place to the next integrity of the documents stored and
when they are held in an electronic the organisation may not even know
filing system  Dependent on computer hardware –
 Enhanced security – It is easier to In order for electronic files to be access
or read, electronic (computing) hardware
secure electronic documents from is required
unauthorised persons while making
them readily available to authorised
users
 Flexible document sharing –
Several people in different locations
may have access to the same
document at the same time
TYPES OF DOCUMENTS USED
IN DATA PROCESSING
SOURCE DOCUMENTS

 A Document used for the initial recording of data

relating to business transactions.
 In most cases, data on these source documents
needs to be converted into a machine-readable
form before it can be processed by a computer.
 A typical example is an invoice for stationery
items supplied to an organization. Data such as
the date, invoice amount and payment due date
have to be manually entered.
TURNAROUND DOCUMENTS

 A document which, after being output by the

computer, can be used to record data.
 An example is a bill produced by a utility
company. These may contain machine-readable
features such as bar codes which can be
scanned during payment, or a form printed for
the user to fill out and return.
 Scanning enables data to be entered directly
into the computer or displayed without the
cashier having to use a keyboard.
MACHINE READABLE DOCUMENTS

 These are documents that can be read directly

and understood by the computer.
 An example is specially formatted multiple
choice exam sheet. These enable correctly
shaded answers to be read by a computer when
scanned.
 AUTOMATED DATA CAPTURE
 This is a process which allows data to be entered
directly into a computer with little or no user
intervention.
 Machine readable documents are commonly used
in automated data capture.
 Microphones, bar code readers, document scanners
and sensors are examples of devices that facilitates
this process.
 Automated Data Capture (ADC) usually increases
the speed and accuracy of the data capture
process.
EXAMPLES OF DOCUMENTS
Type Of Document Examples
Cheques
Source Documents
Delivery notes
Letters
Invoices
Airline
boarding passes
Turnaround
Barcodes on products
Documents Cheques
Survey forms
Typewritten text
Airline boarding passes
Machine Readable
Utility bills
Documents Invoices
MANIPULATING AN
ELECTRONIC FILING SYSTEM
ORGANIZATION OF DRIVES, FOLDERS
& FILES IN A HIERARCHICAL
STRUCTURE

 Operating Systems such as Windows and Linux typically

include tools to allow users to organize and manage file
systems
 These tools often enable file systems to be build or
presented in a logical hierarchy made of drives,
directories (or folders) and files
FILE SYSTEM HIERARCHY

 A File System Hierarchy refers to the order in which

objects (drives, folders and files) are organized.
 Drives are at the top level of the hierarchy followed by
folders (directories) at the second level and files at the
third level. In a single drive system, this usually takes the
shape of a pyramid.
SINGLE DRIVE FILE SYSTEM
HIERARCHY STRUCTURE
WINDOWS 7 FILES SYSTEM STRUCTURE
(EXAMPLE)
DRIVES

 A drive is a device in a computer that can be used to store

data and documents.
 Drives can be divided into smaller sections called
partitions
 Drives can be internal or external
 Each secondary storage unit attached to a computer is
assigned a drive letter by the operating system
 There are 26 drive letters , A through Z
FOLDERS/DIRECTORIES

 A folder (or directory) is a container in a computer for

storing files and other folders.
 A folder within a folder is called a sub-folder
 They are useful for keeping similar files together
 A folder can contain any number of files, empty sub-
folders and sub-folders which contain files and sub-folders
FILES
 A file is a store of data on a computer storage device such as a disk or
tape
 Each file must have a name
 A file name is a label or title used to identify a file
 Different operating systems have various rules for naming files. For
example in Microsoft Windows the following can not be use as part of a file
name < > : " / \ | ? *
 All files are held permanently on a drive. They can also be created, saved,
opened, renamed, shared, moved, deleted, dragged, dropped, searched
for, overwritten, hidden, protected (with a password or made read only),
embedded compressed and edited.
 Most operating systems enable a “file extension” to be used.
 A file extension is a short name preceded by a dot, added to the end of
the main part of a file name.
 File Extensions usually indicate in which application a file was created.
 They are usually three or four characters long
 COMMON FILE EXTENSIONS
EXTENSIO FILE TYPE DESCRIPTION CONTENT
N
.bmp Bitmapped image Image
.doc Microsoft Word Document Document
or .docx
.exe Executable file Files containing program
code
.gif Graphics interchange file format Web graphics (image)
.html Hypertext markup language Web page
.jpg Joint photographic experts group Image
.mdb
.mp4, mov, Microsoft
Video fileAccess database Database
Video
avi
.mp3 Audio file Audio
.png Portable network graphic Web graphics (image)
.pps Microsoft PowerPoint Slideshow
or .ppsx (presentation)
.txt Common text file Text
ISSUES RELATED TO THE
INTEGRITY OF FILES
OVERWRITE PROTECTION, RESTRICTED ACCESS, VIRUS PROTECTION, ENCRYPTION & READ ONLY ACCESS
FILE INTEGRITY
 File Integrity refers to the accuracy, completeness and internal
consistency of data stored in a file.
The following mechanisms are often used to protect the
integrity of files.
 Overwrite Protection
 Read-only Access
 Restricted Access
 Virus Protection
 Encryption

OVERWRITE PROTECTION

 This measure prevents data from being

written in an area where content is already
stored.
 This means that the original data is
prevented from being accidentally destroyed.
 Some Flash (thumb) drives as well as floppy
disks contain sliding switches to implement
this feature.
READ-ONLY ACCESS

This is a file attribute (property)

which prevents users from making
any changes.
As the name suggests, users can
only open the files for viewing or
reading. Any alterations attempted
shall be rejected.
RESTRICTED ACCESS

 This refers to setting permissions on a file

to deny unauthorized users access.
 Levels of access include, “Read”, “Write”,
“Modify” and “Full Control”.
VIRUS PROTECTION

This refers to the installation and

usage of an antivirus program to
prevent viruses and other malware
from infecting a computer.
A virus is a potentially harmful piece
of software that can damage data
on the host computer.
SAFEGUARDS AGAINST VIRAL ATTACKS

 To safeguard against viral attacks an antivirus program should

be installed and used on a regular basis.
 It should also be configured to update itself and to scan files
upon access and automatically remove any suspected threat.
 Avoid
 Opening email attachments from unknown sources
 Using illegally copied, cracked (user altered), illegally
downloaded or any unverifiable software.
ENCRYPTION

 Encryption is the conversion of data into

a form which makes it difficult to be read
or understood.
 Encrypted data must first be decrypted
before humans can understand it.
ISSUES RELATED TO FILE
SECURITY
FILE SECURITY
 File Security is a means of ensuring that a file is kept safe from
corruption and access to it is controlled.
 Such security measures include (a) Password (b) Firewalls and
(c) Disaster Recovery Plans
 Any action or event that threatens the security of a file is
called a threat.
 Files must be kept secure from a wide range of threats, some
deliberate, others accidental
 Deliberate threats can come from people within an
organization as well as others on the outside
 Accidental threats come in the form of hardware problems,
software glitches, malware and viruses, user errors and
mishaps and the effects of natural disasters
 Any action that is used to counteract the likely impact of a
threat is called a countermeasure
 .
 PASSWORDS
 A password is a set of characters (letters, numbers, symbols)
that may be used to give access to a computer, interface or
system.
 The best passwords contain eight or more characters and
contain a combination of lower and upper case letters and at
least one special character.
 An example of a good password is: g0ld3NBu$
 Passwords should be complex but still need to be structured in a
way to make them easily remembered.
 Use a phrase that is familiar to you only and substitute numbers
for certain letters (“3” for “e” and “5” for “s” and numbers for
certain phrases (“4” for “for” ).
 Don’t use passwords that can be easily guessed such as birth
dates, personal names, pet names or the word “password”.
PERSONAL IDENTIFICATION NUMBER (PIN)

 A PIN is a numeric password either assigned by

a company or selected by a user.
 PINs are used as a security mechanisms on
mobile phones, credit and debit cards
FIREWALLS

 A firewall is a computer program or device that

permits internal computer users to access the
external Internet but limits the ability of
outsiders to access internal files.
 A firewall may be implemented through
hardware, software or both
DISASTER RECOVERY MECHANISMS

 A disaster plan is set of documented policies and

procedures intended to prevent damage, minimise
damage or recover from damage to files.
 In the event that the integrity or the security of a
file is breached, the file may be restored to its
original conditions if a functioning disaster plan is in
effect.
A disaster plan may document the following
mechanisms:
 Backup systems
 Periodic Comparison With Master File
 Fireproof And Waterproof Storage
BACKUP SYSTEMS

 This is a systematic procedure where files

are routinely copied (backed up) to
removable storage devices and stored
safely.
 Ideally, backup media should be stored in
a safe location away from the source data
PERIODIC COMPARISON WITH MASTER FILE

 This process involves creating a master copy of an original file

and then comparing the file with the master at pre-set intervals.
 This is usually done using software designed for that purpose
 Changes to the file are automatically reported. This does not
mean that the original is corrected, merely that changes have
been found.
FIREPROOF AND WATERPROOF STORAGE

 This is the usage of fireproof and waterproof filing cabinets to

store back up data storage media.
 In the event of damage to unprotected computer equipment and
files, these backup files may be retrieved and restored, thereby
restoring the integrity of files.
ISSUES RELATED TO THE
RETENTION OF FILES
 FILE RETENTION

 Organizations create files through daily business

transactions. These files are considered active for as
long as they are needed to be easily accessible for the
organization to perform its current functions.
 Once a File is no longer useful for performing current
activities, it becomes inactive.
 However Files must be kept, or “retained,” as long as
they are needed to meet an organization’s
administrative, fiscal, legal, or historical requirements.
This process is referred to as File Retention.
 The length of time a file must be kept to meet those
requirements is referred to as its retention period
FILE RETENTION FACTORS

There are factors and functions associated with the retention of

files. These include:
 ARCHIVING- an archive is a stored collection of documents or records of an
organisation’s activities and business dealings. These files are usually stored on
removable media such as DVD or magnetic tape and stored in a secure location.
Files in an archive will be kept for a retention period and then destroyed
 RETENTION PERIOD- Files related to financial transactions undertaken by an
organization, are to be kept by a period established by law, called the retention
period. In some Caribbean countries this is a minimum of six years
 DISPOSAL OR DESTRUCTION DATE- This is the date that marks the end of the
legally required retention period for non-permanent records and the time records
should be destroyed. Files involved with or relevant to audit, litigation or continuing
administrative action should not be destroyed.
 THE LEGAL LIMIT FOR RETAINING FILES- Most countries do not have specific
periods set down in their limitation rules. However statutory limitation periods are
relevant as they indicate the length of time documents will be required to bring or
defend proceedings in court, and as a result, how long they should be retained. In
many countries it is six years for most actions.
METHODS FOR TRACING
DOCUMENT VERSIONS
VERSIONING

 Versioning is the management of multiple versions of the

same document.
 Version control enables a user to tell one version of a
document from another.
 Failure to use the most current version of a document
could lead to poor decisions.
TECHNIQUES USED TO TRACE DOCUMENT
VERSIONS

 There are a number of techniques used for

tracing document versions.
 One method is the use of version numbers.
 Another is the date created/date modified
method
 The document is given a version number
which is then identified on the first page, and
when possible, into the header and footer of
the document and appears on every page.
DATE CREATED/DATE MODIFIED

In this method, the date the

document is created or modified
(changed) is appended (added to
the end) of the filename.
Version
Examples: Document Name
First ProductProposal_24May20
14
Second ProductProposal_26May20
14
VERSION CONTROL
Document Date
The date the document is created or revised is identified on
the first page and, when possible, incorporated into the
header or footer of the document and appears on every
succeeding page
Version Number
As edits are made to a document or file, version numbers
may be used to increase traceability. The higher the
version number, the more recent the document.

Version Number (continued)

A version number normally consist of two parts separated
by a decimal point (e.g. 1.2). The part before the point is
called the major version number and any number after is
the minor version number.
VERSION CONTROL (CONT’D)
Minor edits are indicated by increasing the minor number
(1.1, 1.2, 1.3, etc.

Major edits are indicated by increasing the major number

e.g. 1.0, 2.0, 3.0, etc.

One drawback of the traditional version number scheme is

that there is often debate over what constitutes a minor or
major change.

First Draft
The first draft (or preview version) is Version 0.1 –
subsequent drafts will increase by “0.1”
VERSION CONTROL (CONT’D)
First Final
The first final version (i.e. the first complete) shall be
Version 1.0

Revisions To The Final Version

The first documents undergoing revisions will be version
“X.1” for the first revision (where “X” is an integer).
Subsequent drafts will increase by “0.1” e.g., 1.1, 1.2, 1.3
– to represent the first, second & third revision to the First
Final version of a document respectively.

All changes will be documented

Subsequent Finals
The version number will be increased by “1.0”when final
versions being revised e.g., 1.x becomes 2.0 and 2.x
becomes 3.0.
META DATA
 This is data stored on or about document.
 It includes: date created, date modified, date
accessed, owner of the file and access
privileges.