Electronic document management in a bank - Information...

Electronic document flow in the bank

The traditional document management system in the bank implements the following functions :

1. Records management. Control documents on paper stored in folders.

2. Form management. Control of the forms used to collect information and compile reports.

3. Management of reporting. Publication and distribution of reports on paper.

4. Management of manuals and instructions. Creation and distribution of documents containing information about the bank's policy, as well as guidelines for the fulfillment of tasks.

5. Management of archives. Cataloging, reviewing, distribution and preservation of records, forms, reports, directives, manuals and all other official documents.

The regulatory framework of the bank includes external and internal regulations. The latter include technological documents governing the performance of banking operations and processes, the organization of work and the interaction of units.

Architecture includes subjects of study of this discipline and their relationship.

The architecture is described in three levels (Figure 13.4):

1. Conceptual . Responds to the global question of the scale of the management system and its integration into the overall system of the bank.

2. Logical . Identify the processes that are performed by people and machines. At this level, questions are being answered about what the system will do and when each process should be launched?

3. Subject . The physical construction that ensures the functioning of the system is embodied. Are decisions made about how and where the system will be implemented?

The result of building the architecture of the electronic document management system of the bank are:

1. Clear definitions of terms: repository, catalog, publication, document, record, database, original, possession, etc.

2. Increase of responsibility of the author for the document created by him during all life cycle of management of the documentation.

3. Reducing the number of duplicated sources of information and increasing the consistency of the collection of documents (repositories).

Description of the architecture of the electronic document management system

Fig. 13.4. Description of the architecture of the electronic document management system

The hierarchical concept of the architecture of the bank's document management system includes the following strata: repository, room, cabinet, drawer, folder and document.

The electronic document management system of the bank implements:

• the main processes, oriented to the repository, folders with files and documents;

• Supporting processes focused on data, design, text management, text query, administration, system integration, access control lists management, work protocol security, workflow management, management of intra- and interdocument links.

Support for various data formats. Modern knowledge management systems (CPS) are able to store and display over 200 different text and graphic data formats common in the world. They support the conversion of these formats into universal data formats, such as PDF or HTML. Such an abundance of formats allows the presentation of a document in the original format and universal formats used to store documents as electronic originals or regular copies.

Version control. ICT-based management systems can not be implemented on a bank scale without supporting all possible versions of this document, as each version, in addition to a well thought out internal system numbering and integrity of links should contain the necessary comments, allowing them to understand the essence of the differences of this version from other ones stored in the system, and also to allow creating separate attributes for each version, which makes it possible at any time to trace the entire history of document processing in different users, creating different versions.

Attributing documents. When the document is attributed, the user fills in a certain electronic form that must be flexibly projected using standard graphical tools without programming and allow changes to the composition of attributes in the operation of the system without the risk of violating the business logic of document processing. In this case, the attributes of the document should be stored separately from its content, which allows to provide a one-to-one correspondence between the physical location of the contents of the document and its electronic attributive form, which allows a logical search for the document. This approach makes it possible to build territorially distributed storage of electronic documents managed centrally, and to remove any restrictions on the amount of storage for electronic documents in the system.

Enabling the creation of composite and related documents. Compound documents are structures, each part of which, in turn, is an independent document with its access rules and their collective development processes and life cycle stages. This functionality allows you to create electronic filings based not on physical, but on a logical selection of documents on derived characteristics. As a result, the same actually existing primary document can be displayed in various virtual collections of documents devoted to various topics. This facilitates a more flexible delineation of the rights of access to documents and the authority of different divisions of the bank participating in the bundle configuration. In addition, a virtual document itself can participate in various business processes and have its own access rights and life cycle stages.

Full-text search and analysis of documents. Modern management systems should include support for search mechanisms for the content of a document alternative to attributive search, and full-text analysis (often built into standard search engines and combining words and connecting their logical operators). There are specialized professional systems of linguistic analysis that allow you to work with document repositories along with e-mail, file system, DBMS and the Internet, and also implement more subtle mechanisms for extracting implicit knowledge when the subject itself is not fully formalized. Such systems are based on the processing of queries in natural language, automatic annotation of texts, automatic classification into disjoint domains that are distinguishable in meaning without preliminary setting of distinction criteria.

Managing the life cycle stages of a document. By life cycle is the time of the existence of an electronic document - from the moment it was created or import until the time of export or destruction. Transition of the document from one stage to another is carried out when the specified condition for changing any property of the document, for example, format, access rights, or the type of attribution card, is performed. The translation of life cycle stages should be done manually or automatically.

Automation of business processes allows you to achieve a significant reduction in non-productive time losses for the transfer of results of performance of functional tasks to other workplaces or to different units, to support transparency of management regulations and their reproducibility, which in the end allows to maintain the quality standards IICO 9000 at the level of enterprise management.

Modern IT-based management systems contain application systems in their core that support the so-called WorkFlow technologies (support job flow technologies) that allow you to create using the graphical editor, arbitrary routing schemes, and assign rules for the transition of business process steps from one user to another through a dialog interface without programming, and provide a graphical or formal monitoring of the flow of processes between users with the possibility of divergences convergence, nesting, conditional transitions. They provide the ability to make changes that allow you to optimize any process based on an analysis of its current state and, at the same time, document the change and automate new operator actions during one hundred executions.

The most well-known electronic document management systems based on Documentum software and the provision of storage of documents based on EMC.

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