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EA Principles for Document Management

The EA Domain Team for Document Management is built upon five EA Conceptual Principles and four EA Principles for Document Management:

  1. Promote Usability
  2. Support E-Services
  3. Address Record Retention
  4. Support Business Continuity

1. Promote Usability

Electronic Document Management Systems will be designed for efficiency and reusability.

Benefits:

  • Seamless workflow across applications and agencies
  • Ability to reduce information capture processing time
  • Automation of standard actions will reduce labor intensive activities and allow for more productive use of time
  • Delivery of services to customers with a minimum number of steps/actions/processes
  • Reduce Total Cost of Ownership by minimizing customization, standardizing on a single object store, and sharing costs for licenses, resources, maintenance, and service.

Implications:

  • Will require participation and partnership between and among agencies investing in document management
  • Centralized administration
  • Re-engineering of business processes
  • Potential refocusing of employees' job functions
  • A methodology must be developed to determine whether a business process would be included in an electronic document management system
  • Provide education to be able to make informed decisions when deploying document management technologies

Counterargument:

  • Centralized administration results in loss of local control
  • Cost for meeting an individual agency business needs may be higher when leveraging enterprise level solutions

2. Support E-Services

Electronic Document Management Systems will support E-services standards of the enterprise.

Benefits:

  • Reduces consumer confusion
  • Consistent image of state government
  • Easy to develop and deploy fixed forms
  • Enhances access to services
  • Automated processing of electronic documents

Implications:

  • Need for compatible technologies
  • Consensus based decision making process
  • Communication and coordination will be critical for success
  • Standardization will be clearly defined by E?services function
  • Adherence to state standards for ADA & compliancy requirements
  • E-forms and e-signatures are available to the user

Counterargument:

  • E-services standards may limit functionality.
  • E-services standards may be resource prohibitive at an agency level

3. Address Record Retention

Electronic Document Management System solutions must address record retention requirements.

Benefits:

  • Simplifies compliance
  • Enables efficient & complete destruction
  • Improves access
  • Minimizes risk
  • Reduces resources
  • Reduces selective destruction

Implications:

  • May acquire additional retention software
  • Develop a process
  • Develop an automated process to adhere to record retention standards
  • Provide an audit trail of retention process

Counterargument:

  • Retention can be managed manually.
  • Archivist is not able to use documents in an electronic format

4. Support Business Continuity

Electronic Document Management Systems will support business continuity.

Benefits:

  • Easier duplication and disbursement
  • Single document can be used by multiple people
  • Information can be accessed remotely
  • Retain quality of a record
  • Consistency in access methods
  • Provides audit trail to meet legal requirements
  • Simplifies disaster recovery process by using electronic documents

Implications:

  • Enterprise recovery plan is in place
  • Supporting infrastructure must be available
  • Human resources must be available
  • Critical documents are identified and prioritized
  • Disaster recovery training must be provided

Counterargument:

  • When the infrastructure is unavailable, paper and microfilm are the only solutions
  • Need to retain paper or microfilm for certain document types

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