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2.

0 Review of Related Literature

2.1 Review of Related Concepts

With regards to all the problems faced by DOE in handling, tracking


and managing all of their documents, the most probable Information
System that would best answer their needs would be the Document
Management System.
According to the tech community TopBits.com, a Document
Management System (DMS) is "an integrated network of compatible
programs or computer systems that reliably handle information for
accurate records and usability".
The main focus of the group was to search for information to help
create a system that will solve the problem faced by the DOE in handling
their documents. In doing research and studies of related concepts, the
group aims to gather and gain more understanding of concepts and
methods needed to pursue and accomplish the project.

2.1.1 Intranet Portals

An intranet is a private network with Internet


technology used as the underlying architecture. An intranet is
built using the Internet's TCP/IP protocols for communications.
TCP/IP protocols can be run on many hardware platforms and
cabling schemes. Intranets can co-exist with other local area
networking technology. (Intranet, 2011)

An intranet portal is the one gateway that unifies access


to all enterprise information and applications. Portals can help
employees find information more easily and perform their jobs
better. Most intranets are not easy to use and often yields
fragmented and confusing user-experience. Portals aim to
correct this problem by presenting a single gateway to all
corporate information and services. By integrating services and
presenting personalized snippets on the initial screen, intranet
portals also reduce the need for users to browse far and wide to
obtain needed information, thus making it easier for them to
perform their jobs. (Nielsen, 2 0 1 1 )

The goal of having a web portal is to select, organize,


and monitor transmission of information in order to satisfy the
needs of its users. Metadata such as keywords, category, author
and common descriptors are needed to support the processes
within a web portal. Search engines use keywords associated
with the content to query databases, the accessibility of the
content depends on a specific descriptor which are filled out by
the authors that is accomplished upon the insertion of the
content in the portal. A user may fail to access the content

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using the search engine if the set of keywords assigned to it are
inappropriate. It is essential to monitor the quality of the
metadata to ensure that the content can easily be accessed by
the user throughout the structured environment of the portal.
(Domingues & Suares, 2006)

2.1.1.1 eSign

eSign is a Web-based management system that


can be used to, at the enterprise level, streamline
document-based business and personal transactions,
and securely maintain e documents in the centralized
database. To automate and secure the process of
document-based transactions, e.g., filing travel expense
reports, the system integrated Digital Signature and
PKI technology for digitally signing and managing
documents and forms. Compared to other systems, it is
open to various types of user authentication
mechanisms, it supports the signing and verification of
most document formats, and it provides a Web service
endpoint for application integration, aggregation, and
automation. (Shi & Ouyang, 2005)

eSign provides the capability to sign and


manage electronic documents including web forms,
text, MS Word, MS Excel, and Adobe® Acrobat®
PDF files. It also ensures data integrity, data non-
repudiation and signer identity by using digital
signature. It generates digital signature from the
document contents by using the Digital Signature
standard. This ensures data integrity and data non-
repudiation. It checks signer’s certificate validity and
thus enforces signer identity. (Shi & Ouyang, 2005)

The eSign system provides two user interfaces. The


first one deals with end users, which has the following
functionalities:
 Login/Logout to the system
 Download blank documents form from the Web portal
 Upload, and request the signing of, new documents
 Upon the user’s request, the system should generate
digital signature with user’s private key first and
 create a unique document identifier based on a
message digest value of the document content and
timestamp.
 Query the user’s documents based upon attributes
view, verify or delete the user’s documents.

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The second interface is used by administrator
and business manager for user management and
document management including document signing
and verification.It has the following functionalities:
 User management, e.g., adding/deleting user accounts,
profile management, etc.
 Document management: i.e., downloading/uploading,
organizing, maintaining documents, etc.
 Validation of signed documents by verifying its
signature, timestamp, and document id.
 Approval and rejection of signed documents in the
 System.
 Query of documents based upon attributes.
 Enabling a Web service endpoint for application
integration, aggregation, and automation.

(Shi & Ouyang, 2005)

2.1.2 Content Management System

A Content Management System is used to manage the content


of any organization. Content can be a broad range of data or
information that is valuable to the organization. A CMS usually
has to main components to it, the content management
application and the content delivery application. CMA allows
the user to handle the administrative tasks such as creation,
editing, and deletion of content. The CDA is the component
which compiles all the information or data there is and prepares
it for release. (Svarre, 2006)

Library Management System


A library management system, also known as an automated
library system is software whose basic purpose is to handle the
different housekeeping functions within a library. Library
automation is a term used to describe the ICT used by libraries
to replace their manual methods of handling. These methods
can include the following: acquisition, cataloguing, circulation,
serial management, and references. (UNESCO, n.d)
Features:
 Functional Modules: Features like cataloging, OPAC,
circulation, acquisition, serial control, and inter library
loans

 Operating System Support: Must be able to function


in a particular OS, like Windows or UNIX

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 Database Systems: Major systems usually use DBMS
from different vendors

 Network Architecture: major systems run on the


client-server architecture and use TCP-IP to
communicate across networks

 User Interface

 Library Automation Standards: provisions for library


industry standards such as MARC and Z39.50

2.1.3 Records Management System

Records Management entails the planning, controlling and


directing, organizing, training, and promoting among other
activities with respect to records creation, maintenance, use and
disposition to be able to achieve the necessary output of the
organization. (OMA, 2007)
It can be understood therefore that a Records Management
System, is a system whose aim is to properly handle all forms
of records an organization may keep. This includes the adding,
deleting, editing and tracking of all forms of records that may
be in possession.
Features:
 Content Analysis: Describes and Categorizes content
in the enterprise which can become records that provide
sources and can describe how the content will move to
the records management application

 File Plan: Indicates where each record should be


retained, the policies which cover them, life span, and
how they should be disposed

 Compliance Requirements Document: Defines the


rules of the organization’s IT system must follow

 A Method for Collection Records No Longer In Use:


Must be applicable in all sources

 Method for Auditing Records: Where applicable

 Method for Capturing a Record’s Metadata

 Process for Holding Records

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 System for Monitoring and Reporting the Handling
of Records: To ensure that all employees are following
protocol

2.1.4 Image Management System

Image management is the process of handling, storing and


retrieving document file images at any given moment.
(Schreiber, 1993) The main important feature of any Image
Management System is its ability to retain as much of the
original document as possible. The overall performance of the
system is based on not only its ability to handle document
images, but also to give a good rendition of the features of said
document in image form. (D’alleyrand, 1989)

A good question to ask about Image Management is whether


exact of approximate copies should be taken. Exact copies are
the ideal since they are the closest match to the original
document. This comes at a steep price though as the size
requirements in the database for such files are rather large and
can eat through much of the space in a short amount of time.
(Witten, Moffat, Bell 1999)

Another fact to consider in determining the effectiveness of an


Image Management System in how well it can make exact
images of documents is how it handles distortions. Distortions
are everywhere in the process, from acquisition, compression
and transmission. To ensure the highest quality of images, the
system must be designed in a way that circumvents these.
(Wang, Bovik, 2006)

There are four main reasons why Image Management Systems


differ from the rest and these are:
1. Interchangeable algorithms for critical operations (e.g.,
compression and decompression, filtration,
enhancement, and display)
2. Rapidly changing underlying hardware (e.g., displays,
cameras, and storage)
3. Significant hardware and software reuse.
4. Legacy and off-the-shelf software that have not been
developed using rigorous software engineering
approaches.
(Laplante, 2004)

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2.2 Review of Methodologies

System Development Methodologies provide guidelines that are followed


in order to complete every activity in the systems development lifecycle.
These can include models, tools and techniques. Methodologies may either
be internally developed, made by professionals inside the company, or be
developed by external sources who offer their expertise to companies who
need it. (Satzinger, Jackson, Burd, 2002)

Models:

Models used in systems development are basically equal and function the
same way as any other models do. A model is a representation of some
important aspect found in the real world. There are many types of models
in use today, from graphical representations of important details, to
mathematical notations meant as a framework to be used. Models, no
matter what they are all aim to emphasize a different type of information.
(Satzinger, Jackson, Burd, 2002)

Tools:

A tool used in the context of systems development is a software that


supports or helps create models or other components needed in the project.
Tools again can be many things ranging from simple diagram programs
meant to create charts or graphs, tools may be database applications that
store information about the project, among other things. (Satzinger,
Jackson, Burd, 2002)

An example of a tool is the CASE tool. CASE stands for computer-aided


software engineering and their purpose is to help the analyst create
important system models, then proceed to check those models for their
owncompleteness and compatibility with other designed models.
(Satzinger, Jackson, Burd, 2002)

Techniques:

A Technique in system development is a collection of guidelines that help


analysts complete a part of system development, or other tasks. A
techniques often includes step-by-step guidelines for creating the model or
may have more general advice for gathering information and what can be
done with the information. (Satzinger, Jackson, Burd, 2002)

Extreme Programming (XP):

Extreme Programming or XP is a systems development approach recently


popularized by Kent Beck. XP adapts its techniques from many previous
sources but also adds many new ideas to the mix. Sometimes, it is referred

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to as the ‘lightweight’ system development methodology meaning it is
kept simple and focused on making the whole development process more
efficient for the developers. (Satzinger, Jackson, Burd, 2002)

XP begins with the developers planning for the system by having the
future users describe their “User Stories”, which are features that the users
need for the system to be successful, in other words, the required system
functionality. (Satzinger, Jackson, Burd, 2002)

Developers plan a series of releases for the project. Each release includes a
working part of the whole. (Satzinger, Jackson, Burd, 2002)

XP, while much like other iterative and incremental approaches to


development, also contains more features which is why it is very popular
today. It requires continuous testing and integration, with heavy user
involvement. All programming must be done by teams, with programmers
working as pairs to write and test the code. There is also big emphasis on
open communication between team members. (Satzinger, Jackson, Burd,
2002)

Rational Unified Process (RUP):

RUP is an objective oriented system development methodology offered by


Rational Software. RUP is their attempt to define a complete methodology
that uses UML models for the system models. In RUP, development
process is synonymous to development methodology. (Satzinger, Jackson,
Burd, 2002)
RUP defines four life cycle phases, which are: Inception, Elaboration,
Construction, and Transition. Inception is where the project is defined with
use cases. Elaboration has two main focuses, defining requirements and
creating the basic plan for the system architecture. This is done through the
use of case diagrams, class diagrams, sequence diagrams and other UML
diagrams. The Construction phase is where the software is built using
several iterations of the potential system. And in the transition phase, the
system is turned over to its users for training, installation and support.
(Satzinger, Jackson, Burd, 2002)

RUP also has workflows within each phase. These include business
modeling, requirements modeling, analysis and design, implementation,
testing, deployment, configuration and change management. (Satzinger,
Jackson, Burd, 2002)

Roles within RUP are: designer, use case specifier, systems analyst,
implementer, and architect. (Satzinger, Jackson, Burd, 2002)

Capability Maturity Model (CMM):

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Developed at the Carnegie Mellon University, the idea behind CMM is
that as an organization’s information system development process matures,
project timelines and cost decrease while productivity and quality increase.
CMM was developed so that all organizations could reap these benefits.
The CMM framework for systems and software is intended to help
organizations improve the maturity of their systems development
processes. (Whitten, Bentley, Dittman, 2004)

There are FIVE levels all in all:

Level 1- Initial: At this level, systems development projects follow no


consistent process. Each development team has their own tools and
methods for doing their work. The success or failure of the project is based
solely on the skills of the development team. This is unpredictable and not
repeatable. There is very little documentation also, which creates problems
for future maintenance. (Whitten, Bentley, Dittman, 2004)

Level 2 – Repeatable: At this level project management processes and


practices are more established. There is a focus on project management,
the system development process is always followed but may vary from
project to project. Success or failure is still based on the skill of the team,
however there is more effort to repeat past successes. (Whitten, Bentley,
Dittman, 2004)

Level 3 – Defined: This level has a standard system development process


either purchased or developed. All projects now use a tailored version of
that process to develop and maintain systems and software. Therefore each
project now results in high quality and consistent documentation. This
process is stable, predictable and repeatable. (Whitten, Bentley, Dittman,
2004)

Level 4 – Managed: This level has measurable goals for quality and
productivity established. Detailed measures of the standard system
development process and product quality are routinely collected and stored
in a database and there is more effort to improve individual projects based
on the information in the database. (Whitten, Bentley, Dittman, 2004)

Level 5 – Optimizing: In this level, the standardized system development


analysis is continuously monitored and improved based on measures and
data from the 4th level. This may include changing technology used, or
best practices used to perform specific activities required by the system
development process, as well as adjusting the process itself. (Whitten,
Bentley, Dittman, 2004)

2.2.1 B-Model

The B-model system development was devised by Birrell and Ould. In the
B-model life cycle, development is represented as a vertical straight line
and leads into a maintenance cycle at the bottom. Each stage of the model

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is important and no stage is independent of the others. (Yeates, Wakefield,
2004)

The b- model life cycle begins with inception, the identification of the
need for a new computer system. This leads to the analysis stage, the
objectives of which are to define the problem, to create a detailed
specification of what the system has to do, and to agree with the customer
the level of service and performance required. (Yeates, Wakefield, 2004)

The next phase is design. The objectives of design are to define the
structure and content of the system and specify how the system will be
implemented. Within this phase, interfaces, dialogues, inputs and outputs
are designed and program or database specifications are produced as
deliverables. (Yeates, Wakefield, 2004)

Once the design is complete, the production of the system can begin.
During this phase, program code is created and tested. The supporting
manuals and documentation are also produced. (Yeates, Wakefield, 2004)

When the development is complete, the system ‘goes live’ and is used by
the client to meet the needs oof the businesses. This phase is called the
operation phase. During the operation phase, there will be an evaluation of
the system by the users. (Yeates, Wakefield, 2004)

2.2.2 WATERFALL MODEL

Waterfall model was originally published in the 1970s by Royce. In this


development model, system development is broken down into a number of
sequential sections or stages represented by boxes, with each stage being
completed before work starts on the following one. The outputs from one
stage are used as inputs to the next. (Yeates, Wakefield, 2004)

Each stage is divided into two parts. The first part covers the actual work
being carried out in the stage. The second part covers the verification and
validation of work. There is a degree of iteration of work and products
within a stage, but very little between stages. (Yeates, Wakefield, 2004)

The waterfall model is generally taken to mean any sequential model


divided into consecutive stages and having the attributes of the original
model. The identification and naming of the stages are not fixed and can
be modified to suit particular project characteristics. (Yeates, Wakefield,
2004)

There are advantages in using the waterfall model. It addresses elements of


quality management through verification and validation, and configuration
management by baselining products at the end of the stage. It does not
have explicit means for exercising management control on a project.

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Planning, control and risk management are not covered. (Yeates,
Wakefield, 2004)

Waterfall models work best when the level of reworking of products is


kept to a minimum and the products remain unchanged after completion of
their stage. (Yeates, Wakefield, 2004)

2.2.3 V-Model

V-model development is a variation of the waterfall model in which


successive stages are shown in a V formation. The important feature of
this model is that is shows correspondence between the different stages in
the project. The individual programs or moduless are tested against the
individual module designs. The integrated set of software is system-tested
against the system design and the final system is user acceptance-tested
against the requirements specification. (Yeates, Wakefield, 2004)

2.2.4 SPIRAL Model

Spiral model introduces an evolutionary or iterative approach to systems


development. The original spiral model was developed by Barry Boehm.
The Boehm spiral introduces the important concepts of the objective
setting, risk management and planning into the overall cycle. These are all
very desirable because they apply explicitly to factors that may affect the
timely delivery of the system within its defined constraints. (Yeates,
Wakefield, 2004)

The project starts at the center of the spiral and progresses outwards. At
the center, the requirements will be poorly understood and they will be
successively refined with each rotation around the spiral. (Yeates,
Wakefield, 2004)

Analyze requirements is the stage where the analyst considers the current
system and investigates any problems associated with it. The users are also
interviewed to obtain their views of the problems and to get their ideas for
improvements. (Yeates, Wakefield, 2004)

Specify requirements is the stage where the analyst considers the


information that has been accumulated and produces a requirements
document. This is likely to be a mix of business requirements, functional
and non-functional requirements and an overview of the proposed
hardware and software. (Yeates, Wakefield, 2004)

Produce high-level design is the stage where the designer would consider
the requirements document and on that basis, produce a high-level design
for the system setting out the database design, the input and output
specifications, the menu structure and the overall program design and
breakdown. (Yeates, Wakefield, 2004)

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2.2.5 Structured Approach

Analysis can be considered to be a four staged process. This process


begins with the analyst investigating and understanding the current
physical system. This will involve fact-finding activities and the recording
of information about how the current system operates. The analyst will
also be constructing models to show the data and processing within the
system, as well as documenting problems and requirements described by
users of the system. (Yeates, Wakefield, 2004)

The next stage requires the analyst to move away from the constraints that
determine how the current system is physically implemented and to put
together a clear picture of the logical functions carried out by the system.
This view is described as the current logical system. (Yeates, Wakefield,
2004)

To move to the required logical system, the customers’ requirements for a


new information system must be mapped onto the current logical system.
This will state what the system will do. (Yeates, Wakefield, 2004)

The final stage is when the client has given the go-ahead to the system
proposal, the required physical system can be developed. This involves
specifying in detail exactly how the new system will work, and begins
during analysis with the high level design included in the functional
specification and continues during the design phase of the project. (Yeates,
Wakefield, 2004)

2.2.6 PARIS Model

The PARIS model is divided into 5 stages. The first letters of each step
form the five-letter word PARIS, which mnemonic to help you remember
the steps. (Yeates, Wakefield, 2004)

Planning the approach is the first stage of the model. This is the vital stage
in the model. The success of the systems analysis phase of a project will
depend on the thoroughness and care with which planning is carried out.
During this stage, objectives are set, constraints identified, terms of
reference agreed and preparations made for fact finding. (Yeates,
Wakefield, 2004)

Asking questions and collecting data is the second stage of the model. This
includes all the fact-finding activities carried out as part of the analysis.
The key technique in this stage is interviewing. (Yeates, Wakefield, 2004)

Recording the information is the third stage in the model. This stage is all
about recording all the needed information. This information must be
recorded in a clear and unambiguous way. (Yeates, Wakefield, 2004)

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Interpreting the information collected is the fourth stage in the model.
Having documented the current physical system, we need to understand
the underlying logical system and then consider how the client’s
requirements can be built in. (Yeates, Wakefield, 2004)

The final stage of the model is Specifying the requirement. This involves
that analyst in preparing a number of options based on the models
constructed earlier for the development of the new system. These options
are discussed with the client, costed, and then presented in a way that
emphasizes the benefits they will bring to the clients’ business. (Yeates,
Wakefield, 2004)

2.3 Review of Related Systems

2.3.1 File Hold

File Hold is easy to install, easy to use, feature rich, and


affordable for all businesses and can operate with in other
environments like Microsoft Office or Sharepoint, should one be setup.
2.3.1.1 Features

 Document management tagging vocabulary management:


This feature allows management of different vocal sounds
that maybe used in classifying documents in the archive.
 Streamlined mass document tagging: Allows for batch
tagging of documents. This feature saves considerable
amounts of time when classifying or importing documents.
 Streamlined mass file additions (Importation): Existing
files from other types of archives can now be quickly
imported into this DMS with little effort.
 Watched folders importation automation: This feature
allows you to monitor different areas of your network for
recently created or modified documents and prepare them for
importation.
 Working document and record support: Automatically
handles files set as still in progress differently from those
specified as records.
 Scanning and capture of paper documents: Allows
integration with many 3rd party scanning software.
 Hardcopy document tracking: Allows for tracking of
documents in many possible locations.

2.2.2 OpenDocMan

Designed for a variety of situations and solving many


problems, OpenDocMan is an open-source solution for companies
looking for a reliable document management system at no cost. Aside

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from standard features found in most DMS, OpenDocMan features
additional functions whose aim is to increase productivity of its users.

2.2.2.1 Key Features


 Storing of Company Documents for employees: Allows any
employee of the company to access and retrieve information
relative to their own position in the company.
 Store Media Files: Allows not only the storage of documents
and images but of videos and voice recordings as well.
 Print Houses: Allows for easy printing of documents found
within the archive for easy disbursement.

2.2.3 M-Files Professional


An application aimed at solving the problems of managing,
finding and tracking all the documents and information found in all
companies.
M-Files makes document managing easy and affordable for all
users and does so without trading in important features like searching,
security, check in and checkout, and support for scanned documents.

2.2.3.1 Key Features


 Easy to use interface: Instantly familiar to everyone who
has used a Windows based computer before
 Control and management of documents: Allows for
preservation of older documents, includes a change log with
usernames and timestamps of the changes
 Fast Searching: Dynamically view the documents in any
hierarchy you choose
 Security: Hide and protect sensitive documents while
maintaining a centralized storage location
 Independent of Location: Can be accessed via remote
connections
 Collaboration: Allows for multiple users to use and
manage the system at a single time
 Application Integration: Integrates with all windows
applications and supports multiple file formats for
maximum compatibility

2.2.4 Globodox

Globodox document management software is designed for


medium to large businesses. It has an integrated set of tools meant to
make management easier and more efficient. It includes tools for
scanning, indexing, searching, securing, sharing, auditing and
workflow. The software comes in a desktop client as well as a web
based browser client.

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2.2.4.1 Key Features
 Searching and Sorting: Includes features like Quick or
Advanced searching to ensure you get exactly what you
need, and allows sorting of results
 Collaborating: Email, Import and Export, FAX, burning
and printing ensures easy work collaboration
 Routing: Allows routing of documents to monitor their
progress
 Security: Has many levels of access for users ensuring
information will only be seen by those who are meant to see
it
 Adding: Allows adding of many file types as well as
folders into the archive. Scanned documents are accepted as
well
 Ease of Use: Interface is easy to understand and get used
too

2.2.5 Ademero Content Central


Ademero Content Central makes the capture, retrieval and the
management of documents easy and simple for its users.
2.2.5.1 Key Features
 Capture Documents: With this feature, all your
document scanning and file capture needs are handled
expertly.

 Manage Documents: Allows the editing, emailing and


printing of documents

 Retrieve Documents: Search and retrieve documents in


the archives easily and efficiently.

Comparison of Related System

Features: File Hold OpenDocMan M-Files Globodox Content


Proffessional Central
Manage P P P P P
Retrieve P P P P P
Routing O O O P O
Security P P P P P
Search P P P P P
Collaborate P O P P P
Ease of Use P P P P P
Location O O P O O
Independence
Integration P O P P P
Vocabulary P O O O O

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Tag Mgnt
Mass P O O O O
Document
Tagging
Scan & P O P P P
Capture of
Paper Docs
Tracking P P P P P

Synthesis of Related System


The five related systems gathered by the group shows the different features
related for the proposed system. Most of the systems share the same core functions:
Managing documents, Security, Tracking, Search, and Retrieval, all of these are
necessary components of any would be successful DMS. The extra features divert
only little from the main components, each software has its own unique features
aimed at trying to help increase productivity. While these are good, the ideas
themselves borrow concepts heavily from the core components making them more
like add-ons than anything else.

Refer to Appendix A for the Screen Shots of Related Systems

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SOURCE:
Yeates, Wakefield, D,T. (2004). Systems analysis and design.
England: Pearson Education Limited.

Satzinger, John, Jackson, Robert, Burd, Stephen, (2002). Systems Analysis and Design
In A Changing World, Second Edition
Canada: Course Technology

Whitten, Jeffrey, Bentley, Lonnie, Dittman, Kevin, (2004). Systems Analysis and
Design Methods. United States: McGraw-Hill

Schreiber, W.F (1993). Fundamentals of Electronic Imaging Systems, Some Aspects


of Image Processing Third Edition. Germany: Springer-Verlag Berlin Heidelberg

Wang, Zhou, Bovik, Alan (2006). Modern Image Quality Assessment. USA: Morgan
& ClaypoolLaplante, Phillip (2004). Software Engineering for Image Processing
Systems. USA: CRC Press LLC

Witten, Ian, Moffat, Alistair, Bell, Timothy (1999). Managing Gigabytes,


Compressing and Indexing Documents and Images Second Edition. USA: Academic
Press

D’alleyrand, Marc (1989). Image Storage and Retrieval Systems, A New Approach to
Records Management. USA: McGraw-Hill

Portal 101. Retrieved February 4, 2011, from


http://www-01.ibm.com/software/websphere/portal/portals101/yourworld.html

Nielsen Norman Group, Initials. (n.d.). Usability of Intranet


Portals. Retrieved February 4, 2011, from
http://www.nngroup.com/reports/intranet/portals/summary.html

Domingues, M, Suarez, C, & Jorge, A. (2006). A web-based


system to monitor the quality of meta-data in web
portals. Proceedings of the Web intelligence and intelligent agent
technology workshops, 2006. wi-iat 2006 workshops. 2006
ieee/wic/acm international conference on (pp. 188-191). Institute
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Department of Energy 2-16


Document Management System

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