Introduction
In technical communication document management is a primary problem. There are a number of things to consider: easy document retrieval, document tracking and secure storage are just a few of the problems. Document management controls the life cycle of documents in your organization — how they are created, reviewed, published, and consumed, and how they are ultimately disposed of or retained. Although the term “management” implies top-down control of information, an effective document management system should reflect the culture of the organization using it. (Microsoft Technet 2008)
Statement of Problem and Objective
The major problem today is that there are just a huge amount of documents, many of them only existing in electronic form, created every business day. Many of these are important and may be needed later. Some require action, either at creation or a later date. These must be stored in such a way as they will be accessible when needed and reminders must be set for tracking and for the necessary future action. The volume of documents requires that a policy be created for document management.
This policy needs to include retention and deletion policy, privacy policy, storage, security and backup. Even document disposal must be managed due to security needs. While this sounds quite simply it is not. In looking just at security and backup, this was a huge problem for businesses during the recent hurricanes Katrina and Rita, and also for business in the WTC on 9/11. Many important documents were either not accessible when they were needed or they were permanently destroyed. A document management policy, once implemented, should prevent loss, make documents available to authorized personnel when needed and minimize the cost of storage.
While there are many products to help businesses manage their documents, the information for managing documents and what is entailed, plus how to evaluate systems and tools and how to create a policy is scattered. “The 2002 Sarbanes-Oxley regulations served as a wake-up call for CIOs to formalize document retention policies to meet compliance requirements. But regulatory demands—and the number of documents produced daily—continue to grow.” (Matthews, Carey 2008)
Background
Document management was a problem before personal computers came on the scene. This required whole blocks of filing cabinets just for the account information of one small bank branch thirty years ago. Computers were supposed to simplify document management, but computers have created many more kinds of documents and allowed us to create and retain them with much more ease. However, now it has become both a problem of organization and storage and a problem of security for company property and information.
Need
The huge volume of documents and the fact that every business is connected to the internet means that documents must be carefully managed. For businesses like banks and investment companies their data is their business. For others, there is still considerable value in their documents. Even just their customer contact list is a valuable asset. When the U.S. Federal Building in Oklahoma City was bombed, data as well as on-site backups were destroyed. Almost no paper records survived 9/11. Since data losses and system unavailability resulting from a disaster cripple the operation of an organization, the Sarbanes-Oxley Act of 2002 requires businesses to maintain accurate and safe record keeping. (Choy et al 2000) Any policy must conform to this requirement.
“While some feel that every little bit of email or document that they have created (which would be probably be deleted by the recipient) has to be backed up, others tend to develop paranoia that their documents or writing would be available for everyone to see and they would not want to share it with others. The management has to step in at a certain stage and frame a policy on what is worth backing and what is best left on the PC of a warehouse assistant clerk” (Kaye, 2006).
Benefits
A document management policy will create a plan for managing documents. Since this is a fairly new area and there have been many changes since the first document managers positions were created, it should be carefully studied. The literature needs to be searched for information and company personnel should be interviewed or surveyed on their policies to see if a method for creating a good document policy can be defined and describes in detail. This document can provide needed guidance in document management.
Qualifications of Personnel
Any good researcher who can think logically could do this. Since I have the training and the interest, I am qualified.
Data Sources
Data can be obtained from many different databases, search for existing document policies, security issues and privacy issues.
Limitations and Contingencies
There will be limitations on how many companies I can get to reply to a survey or agree to an interview. There are also time constraints.
Scope
The scope of the study will be defined after the literature is reviewed. I must see what has been done before I can decide what I should do.
Body
Methods
I will conduct a detailed and careful review of the literature and identify current standards, problems and strategies for document management and the creation of management policies. I will also look at the many competing products on the market for document management and assess their usefulness. Just the sheer volume of available systems is confusing. (Document Management 2008)
Timetable
Yes to be defined in concert with advisor.
Materials and Equipment
I will need my computer, access to the Internet and to academic and business databases and also to the library. I will need to use email and the telephone.
Personnel
This is not applicable.
Available Facilities
I have the computer and Internet access and access to the databases provided by the school and the local library, plus access to Questia.
Needed Facilities
none
Cost
Negligible: some long distance.
Expected Results
I expect to be able to produce a comprehensive report which will detail the state of the art in document management and policy creation and provide guidelines for the future in view of current business environments.
Feasibility
This will take considerable time and effort, but it is feasible.
Conclusion
This is a study that should be done.
Summary of Key Points
Key Points:
- Businesses have a huge volume of documents with which to deal.
- Documents must be managed so that important ones are retained and protected and trash is deleted. A policy needs to be created to do this.
- Losing important documents or having them unavailable when needed can be costly. The policy should address this problem.
- A study of current document management practices should be done to assess the current situation
- Guidelines for document management and the creation of a good document management policy should be created
Interviews or surveys of current managers responsible for document management will tell us what is currently being done and what problems arise.
Request for Action
Need approval for this plan.
References
Choy, Manhoi; Leung, Hong Va; Wong, Man Hong. 2000. Disaster Recovery Techniques for Database Systems. Communications of The ACM. p. 272-280.
Document Management, 2008. Web.
Kaye David, Graham Julia. 2006. A Risk Management Approach to Business Continuity: Aligning Business Continuity with Corporate Governance. Rothstein Associates Inc. ISBN 1-931332-36-3.
Matthews, Carey, 2008, Four Tips for Crafting a Document Retention Policy, CIO. Web.
Microsoft Technet, 2008, What is Document Managament. Web.