Management
Once we have captured the content and documents and declared a subset to be records the next step is to manage them. Here we divide up the management functions into generic electronic document and content management facilities and electronic records management facilities which also include facilities to manage physical records. You should include the TNA requirements in this section under ERM requirements.
The management requirements we identified in our checklist in stage one were as follows.
| Function | Description | |
| 2 | Management | Electronic content, document and records management |
| 2.1 | Electronic content and document management | Electronic content and document management functions |
| 2.1.1 | Electronic content and document management | Manage documents as single electronic files in a repository |
| 2.1.2 | Electronic content and document management | Manage compound documents comprising container documents and component content files in a repository |
| 2.1.3 | Electronic content and document management | Manage the links between content components and container documents in a repository |
| 2.1.4 | Electronic content and document management | Assign metadata (index data) to documents/content objects and register each document/content object in the repository. |
| 2.1.5 | Electronic content and document management | Manage metadata in relational databases |
| 2.1.6 | Electronic content and document management | Index full text of content in a full text engine to facilitate full text retrieval |
| 2.1.7 | Electronic content and document management | Management of controlled thesaurus of terms |
| 2.1.8 | Electronic content and document management | Provision of mass storage facilities including hierarchical storage management if required and content addressable storage if required. |
| 2.1.9 | Electronic content and document management | Mandatory provision of check out and check in facilities so document/content object cannot be overwritten - it can only be copied and then amended and checked back in |
| 2.1.10 | Electronic content and document management | Mandatory provision of version control facilities to ensure that edited document can only be checked back in as next version of same document or as new document |
| 2.1.11 | Electronic content and document management | Control access to metadata, content, documents via access control markings, roles, groups, etc |
| 2.1.12 | Electronic content and document management | Provide audit trail of transactions on documents |
| 2.1.13 | Electronic content and document management | Solution must meet specified reporting requirements - all transactions on documents |
| 2.1.14 | Electronic content and document management | System must support minimum usability requirements |
| 2.1.15 | Electronic content and document management | System must be resilient, must maintain integrity of content objects/documents, must meet minimum performance requirements and must be scalable. |
| 2.2 | Electronic records management | Support TNA requirements as detailed below |
| 2.2.1 | Record organisation | Classification scheme, classes, folders, parts and components |
| 2.2.2 | Record capture, declaration and management | Declaration and management of records including metadata |
| 2.2.3 | Retention and disposal | Disposal schedule definition; allocation and execution; resolving conflicts, review and destruction |
| 2.2.4 | Hybrid and physical folder management | Physical folders; markers, retrieval and access control, tracking and circulation; disposal |
| 2.2.5 | Authentication and encryption | Electronic signatures and electronic watermarks and encryption |
These requirements ensure that you can manage both simple and compound documents in your content repository. You would be able to manage content and XML or HTML or SGML mark-up and structured metadata and the full text of the content.
For an ERM solution the TNA 2002 Requirements for Electronic Records Management Systems comprises the following:
Section one contains the ten core and three optional sets of functions requirements as detailed above which should be inserted in this sub section of your requirements.
Section two is the metadata standard and contains an introduction to the metadata requirements and a review of each of the metadata elements.
Section three is the reference document and contains a glossary of terms and among other sections a flat listing of all the metadata elements to be held at the class; folder; folder part; record and component level.
It is well worth reviewing briefly here the core metadata requirements and what you will need to agree with the suppliers at the specification stage. The metadata requirements are summarised and truncated here. You need to read the TNA documents to see the full specification.
