Records Management

The Collaborator Platform provide a Records Management System with the following three essential areas of functionality:

The ability to build and maintain a File Plan consisting of a hierarchy of files that group together electronic records for management and access, and to which all records are filed
The ability to declare (check-in) an electronic document as a corporate record, and to maintain its integrity as an authentic representation of a business action or decision
The ability to consistently manage the retention and disposal of electronic records

The Collaborator Platform accommodate the minimum record attributes as defined by NARS. The Collaborator Platform make provision for seamless integration between document management and records management. The Collaborator Platform accommodate and manage hybrid records (physical and electronic records) on the electronic system. The Collaborator Platform support archive and disposal capabilities for documents. The Collaborator Platform control who may create, view or modify the contents of, or delete a record.

(Indexing/Metadata/Profiling)

The Collaborator Platform provide the customisation of the records management form with regards to the:

Look and feel of the form
User-defined fields on the form

The Collaborator Platform provide standard metadata fields. The Collaborator Platform automatically assign values to fields on the form. The Collaborator Platform software allow for overriding automatically assigned values to fields on the form. The Collaborator Platform provide drop-down lists to speed up index field entries. The Collaborator Platform automatically assign index values based on content in a record. The Collaborator Platform prevent pre-defined/specified index fields of records to be amended or deleted after or during the indexing process. The Collaborator Platform capable of configuring the mapping of document to record metadata, to ensure that an electronic record always possesses correct and authentic metadata as defined by the NARS’ minimum mandatory metadata set and in accordance with component requirements.

The Collaborator Platform, during the process of declaration, capable of automatically capturing:

Metadata acquired directly from an authoring application
Metadata acquired directly from an operating system
Metadata generated by The Collaborator Platform itself
Metadata previously captured by another system (e.g. Word Processor)

The Collaborator Platform provide one or more indexes for the record to assist in retrieval. The Collaborator Platform automatically populate the indexes for a record from the document’s metadata values. The Collaborator Platform support the naming of electronic records and allow this name to be different from the existing document filename If the existing filename is taken by default, The Collaborator Platform allow this name to be amended at the time of declaration. The Collaborator Platform allow an authorised user to modify the value in a user-defined metadata field. The Collaborator Platform allow an authorised user to modify user-defined metadata for the record.

Capture

The Collaborator Platform ensure that electronic documents can be captured into the File Plan at creation. The Collaborator Platform capable of managing documents and records within the same series and folder structure. The Collaborator Platform allow an electronic record to be assigned to more than one folder without the physical duplication of the record. The Collaborator Platform capable of relating each assignment of the record to different folders, so that a later retrieval of one assignment enables the identification and retrieval of all other assignments of that record made at the time of capture, or at a later stage from within The Collaborator Platform. The Collaborator Platform capable of storing records bearing electronic watermarks and of retaining information about the watermark with the record. The Collaborator Platform make provision to capture documents and declare it as records in one operation.

The Collaborator Platform capture records even when the generating application is not present. The Collaborator Platform capture, declare and store records in their native format. The Collaborator Platform manage e-mail messages with attachments, maintaining e-mail text and attachments as a single record. The Collaborator Platform capture e-mail messages (and attachments if present) from within an e-mail client. The Collaborator Platform capture e-mail messages with attachment(s). The Collaborator Platform provide the ability to capture bulk records exported from other records management and document management systems. The Collaborator Platform provide the ability to import any directly associated audit information with the record and/or folder, retaining this securely within the imported structure. The Collaborator Platform can directly import, in bulk, records in their existing format with associated metadata that is presented according to a pre-defined XML schema mapping this to the receiving component folder and metadata element structures.

The Collaborator Platform can import, in bulk, existing documents in any and all supported formats, that have no associated metadata presented separately from the document, by:

Placing documents in queues for further processing
Automatically extracting metadata from the document properties where possible
Providing facilities for the addition of missing metadata and the assignment of documents to folders
Supporting the declaration of documents from processing queues

The Collaborator Platform allow the capture of records in their existing format, without degradation of content or structure. The Collaborator Platform, during the capturing of records, retain the relationship between individual record, records and all associated metadata. The Collaborator Platform, during capturing, retain the correct relationship between individual records and their metadata attributes. The Collaborator Platform, during capturing, retain the folder structure to which the records are assigned, and all associated metadata, retaining the correct relationship between records and folders. The Collaborator Platform retain the structural integrity of the record.

Check-in Check-out

The Collaborator Platform provide check-in and check-out facilities for documents and official records. The Collaborator Platform record the check-in and check-out events of a folder.

Version Control

The Collaborator Platform have automatic records versioning functionality. The Collaborator Platform allow for the selection of record types to be version controlled. The Collaborator Platform provide for manual overriding of the default version, with an audit trial.

Where more than one revision of a document has been created, The Collaborator Platform support the ability to declare as a record:

The most recent revision
One specified revision only
All existing revisions, and hold all of these as a single electronic record

The Collaborator Platform allow for an unlimited number of versions to be kept. The Collaborator Platform allow for a predefined number of versions to be kept. The Collaborator Platform allow document/record tracking by version number. The Collaborator Platform present the most recent version of a record when retrieved. The Collaborator Platform allow an authorised user to retrieve/view archived versions of records that have multiple versions. The Collaborator Platform provide notification to pre-defined users or groups when a new version has been created. The Collaborator Platform capable of allowing versions of a document to be created, as part of a drafting process, without automatically creating a new record on each occasion. Where more than one version of a record has been created, The Collaborator Platform can link superseded records to their successor records. The Collaborator Platform able to mark a record as superseded and create a link to the superseding record.

Access Control

The Collaborator Platform control access to a record based on metadata values. The Collaborator Platform prevent a declared record to be checked-out, where this implies any capability to amend the record content in any way. The Collaborator Platform allow a user to be defined with administration rights over only a section of a File Plan; that is, define a local records manager. The Collaborator Platform support the definition of all access control markings required prior to their allocation to a user, series, folder or record. The Collaborator Platform grant to each user the ability to allocate to folders and records the access control markings (which have already been defined) which that user has been allocated as access permissions. The Collaborator Platform prevent the allocation to folders and records of access controls by any users who are not themselves allocated those same access permissions. The Collaborator Platform allow for security classification of users for accessing records, folders and series.

The Collaborator Platform, in order to control access to electronic records, folders and series, provide for access control by:

Pre-defined groups of users, and separately
Individual users

The Collaborator Platform enable, but not require, the allocation of a file series to a user group, so that all users allocated to that group are only granted access to that file series and its sub-series (i.e. to that section of the File Plan). The Collaborator Platform enable, but not require, a user or group to be identified as the responsible custodian for an electronic folder, and enable this identification to be changed at any stage. The Collaborator Platform restrict the ability to allocate and amend access control rights (including the ability to add or remove users and groups) on electronic folders and records to an authorised user or Administrator.

Allocating Protective Markings

The Collaborator Platform support the allocation of all forms of access control markings to series, folders and electronic records, including:

Security categories (protective markings)
Pre-defined access control groups (i.e. a stable list of named users)
One or more individual users (i.e. an ad hoc list of named users)

The Collaborator Platform enable any and all combinations of protective marking, predefined user groups and individual users to be allocated to series, folders and records. The Collaborator Platform ensure that an electronic volume will always inherit the access control markings allocated to the folder which it segments. The Collaborator Platform enable exactly one security category to be allocated to a series, electronic record or folder, with the default category automatically being the lowest level of the hierarchy. The Collaborator Platform ensure that all folders created under a series inherit a security category allocated to that series by default, unless explicitly overridden at the folder level. Where a folder has a higher security category, is The Collaborator Platform capable of automatically upgrading the security category of a record with a lower rating to that of the folder in which it is contained. The Collaborator Platform allow a configuration option, to be set by an Administrator, which allows a record to have a lower level security category than the folder in which it is contained. The Collaborator Platform capable of automatically upgrading the security category of a folder to the level of the highest rating of any of its contents.

The Collaborator Platform allow a configuration option, to be set by an Administrator, which allows a record to have a higher-level security category than the folder in which it is contained. The Collaborator Platform allow the addition of a description to an electronic folder or record, as an element of metadata, to indicate why a certain access restriction was placed on a folder or record, for informative use. The Collaborator Platform support the amendment of access control markings on series, folders and records. The Collaborator Platform retain the previous access control marking(s) and the date of the amendment as an historical metadata element for that series, folder or record. The Collaborator Platform support the allocation of a security category to a series, folder or record, which is valid for a specifiable time period, and can it automatically downgrade the marking to the lowest level security category when the time period has expired.

The Collaborator Platform support the allocation of a security category to a series, folder or record, which is valid for a specifiable time period, and can it automatically downgrade the marking to a lower, pre-selected, security category when the time period has expired. The Collaborator Platform support notification to an authorised user of the expiry of a selected time period for which a security category has been allocated to a series, folder or record, and allow the security marking to be reassessed and amended.

Execution of Access Control Markings

The Collaborator Platform allow users (unless otherwise restricted by a functional role) access to all series, folders and records which are not allocated an access control marking other than the lowest security category. The Collaborator Platform limit access to series, folders and records, which have been allocated a security category, only to those users who have been allocated an equivalent or higher security category. The Collaborator Platform limit access to series, folders and records, which have been allocated a pre-defined access control group, only to those users who are members of that group. The Collaborator Platform limit access to series, folders and records, which have been allocated more than one pre-defined access control group, only to those users who are members of the allocated groups. The Collaborator Platform limit access to series, folders and records, which have been allocated one or more individual usernames as access control markings, only to those users so named. The Collaborator Platform limit access to series, folder and records, which have been allocated one or more forms of access control marking, only to users who have also been allocated all equivalent access control markings, and prevent access by users who have been allocated some, but not all, the equivalent access control markings.

The Collaborator Platform include a configuration option which defines the behaviour of the access control mechanism so that:

either a user who is not allowed access to a series, folder or record can never find out that it exists by means of The Collaborator Platform (i.e. the user can never see its metadata in a search result list or at any other time)
or a user who is not allowed access to a series, folder or record can find out that it exists by means of The Collaborator Platform (i.e. the user can see its metadata in a search result list) even though the user cannot access the contents of the record

The Collaborator Platform ensure that a user who is not allowed access to an electronic record or folder cannot receive any information about the record or folder as a result of a full-text search on record content, which that user would not receive through searching on metadata.

The Collaborator Platform support the progressive addition of metadata to folders, records and extracts to inform promotion of access to information (PAIA), promotion of administrative justice (PAJA) and protection of privacy, including:

Information about folders and records which are automatically accessible under PAIA, which may be used as a reference to retrieve full details in a different tracking system
Indicators on the folders and records under protection of privacy rules
Information regarding the reason why certain decisions were taken

Record Types

The Collaborator Platform support the definition of distinct document/record types, so that a different management policy can be applied to each document type. The Collaborator Platform support a default document/record type, which is available to all users with the ability to create new documents. The Collaborator Platform support the definition of other document/record types by an Administrator, and is it capable of restricting the ability to create new documents/records using these types to selected end users. The Collaborator Platform enable defined document/record types to possess different metadata attributes, and to exhibit different behaviour based on these attributes, from the default document/record type; in particular, in relation to the allocation of disposal schedules. The Collaborator Platform allow multiple instances of the same document/record type within a folder. The Collaborator Platform support user-defined record types.

Declaration of a Record

The Collaborator Platform support the process of declaration of an electronic document as a formal electronic record directly by an end user (Capture and declaration may take place in one operation). The Collaborator Platform prevent any amendment to the content of any record. The Collaborator Platform able to copy the contents of an existing record in order to create a new and separate document, while ensuring the original record remains intact. The Collaborator Platform ensure that the content of the body of an e-mail message and the transmission details cannot be amended in any way between the processes of capture and declaration (but excluding the subject line used as record title, which can be edited). The Collaborator Platform ensure that the content and the transmission details of other transactions with which The Collaborator Platform is closely integrated cannot be amended in any way between processes of capture and declaration.

Where documents and records are managed within the same series and folder structure The Collaborator Platform:

Automatically declare all undeclared documents in a specified folder or folders as records
Automatically delete all undeclared documents in a specified folder or folders
Automatically delete all undeclared documents in a specified folder or folders that are older than a specified period
Provide a notification, within the disposal management mechanism, where undeclared documents exist within a folder to be exported and enable them to be declared as records
Export only the records within that folder in a transfer process
Automatically destroy any remaining documents when the records are destroyed following confirmation of successful export

File Plan Management

The Collaborator Platform support a hierarchical functional subject file plan based on the business activities of the organization according to the NARS’ requirements for the compilation of a File Plan. The Collaborator Platform capable of supporting a File Plan with a minimum of three levels below the root level. The Collaborator Platform impose a limit on the number of levels in the File Plan hierarchy. The Collaborator Platform support graphical browsing of the File Plan, and browsing directly from a series to the folders created under that series; and the direct selection, retrieval and display of electronic folders and their contents through this mechanism. The Collaborator Platform limit user access to certain parts of the File Plan. The Collaborator Platform allow multiple views of a single File Plan Substantiate how. The Collaborator Platform capable of supporting the use of different numbering schemes at different points in the File Plan. The Collaborator Platform support the initial construction of a File Plan within The Collaborator Platform, before the receipt of electronic records. The Collaborator Platform support the definition and simultaneous use of more than one File Plan. The Collaborator Platform support a distributed File Plan which can be maintained across a network of electronic record repositories. The Collaborator Platform include a help facility on the use of the File Plan

Series Management

The Collaborator Platform allow an authorised user to add new series to the File Plan. The Collaborator Platform allow reports to be run on the new series that were added to the File Plan to enable an authorised user to report amendments to the NARS. The Collaborator Platform limit the number of series that can be created at any point within the File Plan, or within the entire component. The Collaborator Platform able to relocate a whole series, including all sub-series, folders, volumes and records which fall under that series, to another point in the File Plan. The Collaborator Platform retain a history in the metadata of where the relocated series, including all sub-series, folders, volumes and records existed prior to re-classification. The Collaborator Platform allow all relevant metadata elements which are inherited from the file plan, the series, or the volume to be automatically updated following the re-location of a series, folder, volume or record. The Collaborator Platform allow an authorised user to add the reasons for re-classification of a series, including folders, volumes or records, to the item(s) re-classified, in one bulk operation. The Collaborator Platform enable an authorised user to mark a series as inactive. The Collaborator Platform prevent any new folders from being opened for an inactive series and sub-series. The Collaborator Platform allow an authorised user to delete inactive series. The Collaborator Platform prevent the deletion of a series that contains folders, until all the content of all the folders in that series and sub-series have been disposed of

Folder Management

The Collaborator Platform allow the addition of folders to any level in the hierarchy of the File Plan except the main series heading. The Collaborator Platform allow reports to be run on the new folders that were added to the File Plan to enable an authorised user to report amendments to the NARS. The Collaborator Platform support an optional series and folder naming mechanism which includes names (e.g. personal or corporate names) and dates (e.g. dates of birth) as elements of the folder name to accommodate the opening of case files. When creating a new folder in a File Plan or within a series in a File Plan which uses a structured numerical or alphanumerical reference, The Collaborator Platform automatically generate the next sequential number available at that position. The Collaborator Platform impose any practical limit on the number of folders which can be created under any series, or within the entire File Plan. The Collaborator Platform able to record the opening date of a folder. The Collaborator Platform can limit the creation of new folders within an existing series according to user role so that only authorised users can open folders.

The Collaborator Platform can close a folder and ensure that no new volumes can be added to that closed folder. The Collaborator Platform allow only an authorised user to close a folder. The Collaborator Platform provide the ability to retrieve and view those records already added to a closed folder. The Collaborator Platform automatically record the closing date of the folder (the date to be used by disposal functionality). The Collaborator Platform allow an authorised user to open a previously closed folder for the addition of records and the creation of a new volume if necessary and subsequently to close that folder again. The Collaborator Platform have the capability to accommodate the concept of parent files. The Collaborator Platform always prevent the destruction or deletion of an electronic folder and any of its records and metadata. The Collaborator Platform prevent the destruction in accordance with a disposal schedule. The Collaborator Platform prevent the destruction/deletion by an Administrator as part of an audited procedure. The Collaborator Platform allow an electronic folder or group of folders, and all volumes and records which fall under that folder or folders, to be re-classified, by an authorised user, to a different point in file plan

The Collaborator Platform ensure that all records allocated to a folder and all the volumes of a folder remain correctly allocated following the relocation of a folder or group of folders. When any folders, volumes or records are re-classified, The Collaborator Platform keep a clear trace of their status prior to re-classification, so that its entire history can be determined. The Collaborator Platform allow all relevant metadata elements, which are inherited from the File Plan or the series, to be automatically updated following the re-location of a folder, including the volumes and records. The Collaborator Platform allow an authorised user to add the reasons for re-classification of a folder, including the volumes or records to the item(s) re-classified, in one bulk operation. The Collaborator Platform support the creation of cross references (i.e. ‘see also’ type links) between folders which are classified in different parts of the File Plan and that are related to each other. The Collaborator Platform impose, by its own architecture or design, any practical limit on the number of documents and records which can be captured and declared into a folder; or on the number of records which can be captured and declared into The Collaborator Platform as a whole. The Collaborator Platform associate a folder with one or more other folders.

Volumes Management

The Collaborator Platform support the concept of electronic volumes, to segment a folder for management purposes. The Collaborator Platform allow the opening of new volumes to any folder which is not closed. The Collaborator Platform able to restrict the opening of new volumes to authorised users. The Collaborator Platform ensure that an electronic volume will only contain electronic records (and markers representing physical records where used) It must not be possible for a volume to contain another folder or volume. The Collaborator Platform support the concept of open and closed volumes. The Collaborator Platform capable of restricting the ability to close a volume to authorised users. The Collaborator Platform automatically close a volume on fulfilment of specified criteria as defined during configuration. The Collaborator Platform automatically close volumes delineated by an annual cut-off date, e.g. the end of the calendar year, financial year or other defined annual cycle. The Collaborator Platform automatically close the volume at the passage of time since a specified event, e.g. the last addition of an electronic record to that volume. The Collaborator Platform automatically close the volume at a specific number of records which a volume contains and, optionally, to open a new volume within that folder. The Collaborator Platform ensure that only the most recently created volume within a folder will be open at any one time. The Collaborator Platform ensure that the records contained in all volumes, whether open or closed, are equally retrievable and viewable in the same search process. The Collaborator Platform prevent the addition of electronic records to a closed volume

The Collaborator Platform automatically record the opening and closing dates of a volume as metadata attributes. The Collaborator Platform ensure that the act of opening a new volume automatically closes the preceding volume. The Collaborator Platform allow any volume that has been temporarily re-opened to remain open after the authorised user who opened it has logged off. The Collaborator Platform automatically add new records classified against a folder to the currently open (the most recent) volume, without requiring the user to explicitly choose a volume. The Collaborator Platform allow an authorised user to open a previously closed volume for the addition of records. The Collaborator Platform maintain full structural integrity of the series, folder, volume and record structure always, regardless of maintenance activities

Disposal

The Collaborator Platform allow authorised users to view/change disposal instructions.

Setting-up Disposal Schedules

The Collaborator Platform provide a mechanism for the definition and amendment of a base of retention and disposal rules (called disposal schedules), each of which can be allocated to series, folders and records. The Collaborator Platform provide for the use of a disposal authority number (unique identifier) for each disposal schedule. The Collaborator Platform capable of restricting the ability to define and maintain disposal schedules in the rule base, to authorised users. The Collaborator Platform enable an authorised user to re-define an existing disposal schedule in the disposal schedule rule base and ensure that the re-definition takes force on all the objects to which that schedule is already allocated. The Collaborator Platform capable of maintaining a history of changes to disposal rules. The Collaborator Platform able to import and export a set of disposal schedules.

The Collaborator Platform support disposal schedules which consist of:

Retention periods that is triggered by the effective date of an event type
Event types
Disposal instructions

The Collaborator Platform support the allocation of disposal instructions as part of a disposal schedule which include:

Review;
Export;
Transfer; and
Destruction

The Collaborator Platform support staged disposal by enabling the definition of multiple stages within a single disposal schedule.

Allocating Disposal Schedules

The Collaborator Platform provide a mechanism for the allocation of a pre-defined disposal schedule to each series, folder and specified document/record types in the Collaborator Platform, by selecting from the current defined set of schedules in the rule base. The Collaborator Platform capable of restricting the ability to allocate and re-allocate disposal schedules to folders and series, to authorised users. The Collaborator Platform support the ability to allocate a disposal schedule to a pre-defined document/record type at configuration by authorised users. The Collaborator Platform support automatic inheritance of a disposal instruction

The Collaborator Platform allow an authorised user to override a disposal schedule. The Collaborator Platform allow a disposal hold to be placed on a folder or group of folders by an authorised user. The Collaborator Platform prevent any folder or record which has a disposal hold placed on it from being deleted by an Administrator, outside of the disposal process. The Collaborator Platform capable of reporting on folders and records which have a disposal hold placed on them and enable such a hold to be removed by an authorised user only. The Collaborator Platform maintain a history of disposal schedule rules that have been applied to each folder, series or document/record type as metadata with the folder, series or document/record type.

Disposal Execution

The Collaborator Platform ensure that all functions of the disposal management mechanism are restricted to authorised users.

The Collaborator Platform prevent the destruction or deletion of any electronic record (which has been declared) other than:

Destruction in accordance with a disposal schedule
Deletion by an Administrator as part of an audited procedure

The Collaborator Platform dispose of the record as a whole unit, in one operation. The Collaborator Platform automatically track the commencement and progress of retention periods. The Collaborator Platform seek confirmation before implementing disposal actions. The Collaborator Platform ensure that all functions of the disposal management mechanism are restricted to authorised users. The Collaborator Platform capable of notifying an authorised user if a superseded record is to be destroyed when replaced with a new version.

Reviewing Disposal Instructions

The Collaborator Platform make all metadata for a folder or series scheduled for review available to the reviewer. The Collaborator Platform make all the contents of a folder or series scheduled for review available to the reviewer on request, within access control restrictions. The Collaborator Platform ensure that immediate destruction after a review occurs within the normal disposal process and that there is no separate delete functionality outside the normal disposal process, except where it is possible to re-allocate a disposal schedule to that series or folder that enables immediate destruction.

Export/Transfer

The Collaborator Platform able to export electronic folders, folder and series metadata, all their constituent electronic records and the record metadata, for import to another component, or for transfer to the National/Provincial Archives Repository for permanent preservation.

The Collaborator Platform can export:

All folders which qualify under the disposal action
All volumes in the folder(s) which are to be exported
All records in all folders and volumes which are to be exported
All metadata associated with folders, volumes and records which are to be exported

The Collaborator Platform able to export whole electronic folders and groups of folders, and all associated records in one sequence of operations, such that:

The content and appearance of the electronic records are not degraded
All components of an electronic record, when the record consists of more than one component, are exported as an integral unit e.g. an e-mail message with associated file attachment
All metadata associated with an electronic record is clearly linked to the record to which it belongs, so that the correct metadata can be re-associated with the correct record in the receiving system
All structural links between records, volumes, folders and series are retained in such a way that the structure of all linked components qualifying for export can be re-built in a receiving system

The Collaborator Platform able to export and transfer records that are associated with more than one folder, where this is achieved by means of a pointer, ensuring that:

In a folder to be exported, a physical rather than virtual instance of the record is exported, resulting in an exported record and not an exported pointer
In a folder that is not to be exported, the evident association of the record with that folder, and access to the content of the record, remains unaltered
Where associated with two or more folders qualifying for export, all associations between the record and all exported folders are retained in the exported data

The Collaborator Platform able to include a copy of audit trail data that is associated with records, volumes and folders as part of the export or transfer process and The Collaborator Platform exclude non-relevant audit trail data. The Collaborator Platform able to export metadata for folders, volumes and records in an XML format.

The Collaborator Platform able to export records:

In their native format
Or in a current format to which they have been migrated
or in an XML format by:
- Capturing an appropriate rendition as part of the record capture process
- Rendering the record as part of the export process
- Exporting directly to another package that can render the record within a controlled environment

The Collaborator Platform able to export all types of records which it can capture, regardless of the presence of the generating application software. The Collaborator Platform able to export all folders and groups of folders, which qualify for export at any one time, in one single sequence of steps. The Collaborator Platform produce a report detailing any failure to export or transfer any element of electronic records, volumes and folders and associated metadata that are being processed in the disposal management mechanism, and The Collaborator Platform report: identify any records which have generated processing errors during export or transfer, and any folders, volumes or records that have not successfully been exported. The Collaborator Platform enable folders, volumes and records to be exported more than once.

The Collaborator Platform support a two-staged transfer process, consisting of:

Export of qualifying folders, volume and records from the system
Subsequent destruction of the exported folders, volumes and records following confirmation of export

The Collaborator Platform retain all electronic folders, volumes and records that have been exported in the transfer process, at least until confirmation of a successful export (i.e. pause the second stage of the process until confirmation of successful import to the recipient system following the first stage).

Destruction

The Collaborator Platform seek confirmation of destruction from an authorised user as a mandatory step in the disposal process, before any action is taken on folders, volumes or records; and The Collaborator Platform enable cancellation of the disposal process at this point if confirmation is not given. The Collaborator Platform ensure that any function to delete records, volumes or folders on an ad hoc basis (outside of the disposal process) is restricted to only the highest level of Administrator and The Collaborator Platform ensure that a second confirmation is required before any deletion is enacted. The Collaborator Platform distinguish between an ad hoc delete function and the destruction function within the disposal process, so that each can be individually and discretely allocated to differing sets of authorised users as separate functions.

Where records are stored on re-writeable media, The Collaborator Platform enable the complete obliteration of records, volumes, folders and groups of folders so that they cannot be restored:

By operating system features
By specialist data recovery facilities

Where records are stored on write-once media, The Collaborator Platform prevent access to the records so that access cannot be restored:

By normal use of The Collaborator Platform
By standard operating system utilities
By any other application

The Collaborator Platform capable of retaining a minimum set of metadata associated with destroyed folders, as specified in NARS’ minimum mandatory metadata set. Where destruction is initiated from a higher level in the hierarchy, The Collaborator Platform ensure that the correct minimum metadata is individually retained for all folders in all series that are destroyed. Where an Administrator deletes a folder, The Collaborator Platform ensure that the correct minimum metadata is retained; and The Collaborator Platform ensure that the Administrator can enter the reason for destruction in an appropriate metadata field. The Collaborator Platform provide a facility for an Administrator to optionally archive and then delete minimum metadata for destroyed folders. Where a pointer system is used, The Collaborator Platform maintain complete referential integrity following all destruction processes, consistent with all the requirements in this section. The Collaborator Platform ensure that, when a destruction process is applied to any record for which The Collaborator Platform also stores alternative renditions, all renditions of the record are also destroyed.

Physical Folders

The Collaborator Platform support the management of physical folders in a manner which is closely integrated with the management of electronic folders and electronic records. The Collaborator Platform enable the definition of physical folders and volumes, and the allocation of physical folders to a series. The Collaborator Platform enable the definition of hybrid folders and hybrid volumes, which are part physical and part electronic, and the allocation of a hybrid folder to a series. The Collaborator Platform support the use of metadata for physical and hybrid folders and the inheritance of metadata from a series consistent with inheritance by an electronic folder.

The Collaborator Platform support the capture and presentation of metadata for physical and hybrid folders as set out in NARS’ minimum mandatory metadata set. The Collaborator Platform allow a different metadata element set to be configured for physical folders rather than that for electronic folders, so that physical folder metadata can include information on the location of the folder; and The Collaborator Platform record the fact of changes to such metadata in the audit trail. The Collaborator Platform allow both the physical and electronic folder associated together as a hybrid to use the same folder title or File Plan identification, but with an added indication that one is a paper and the other an electronic folder. The Collaborator Platform ensure that the creation of a new volume within either of an electronic or a physical folder which are associated together as a hybrid, automatically creates a new volume in the companion electronic or physical folder.

Markers

The Collaborator Platform support the creation of markers i.e. a metadata profile of a physical record held outside The Collaborator Platform, and their allocation to electronic folders. The Collaborator Platform allow the definition of a metadata element set for markers separately from the metadata element set for electronic records; and The Collaborator Platform marker metadata include information about their physical location. The Collaborator Platform able to associate a marker with one or more electronic folders. The Collaborator Platform able to record the fact of a change made to metadata about a marker in the audit trail.

Retrieval & Access Control

The Collaborator Platform able to search for and retrieve markers and physical folders, and electronic records and folders, by a single integrated search. The Collaborator Platform ensure that retrieval of a complete electronic folder also retrieves all markers associated with that folder. The Collaborator Platform ensure that retrieval of an electronic folder, or physical folder which is part of a hybrid folder, also retrieves the companion electronic or physical folder associated with the hybrid. The Collaborator Platform ensure that both electronic and physical folders of a hybrid folder are allocated the same access controls. The Collaborator Platform able to control user access to metadata about markers and physical folders, consistent with access controls for electronic records and folders.

Tracking & Circulation

The Collaborator Platform support the production of barcodes for locating and tracking physical folders and volumes.

The Collaborator Platform support check-out and check-in facilities for physical folders and volumes:

Recording a specific user or location to which a physical folder or volume is checked-out
Recording the date on which this occurred
Displaying this information where the physical folder is retrieved by another user, unless
Restricted by access controls or protective marking

The Collaborator Platform support a bring forward (pend) facility for physical folders and volumes, enabling a user to:

Enter and bring forward (pend) or reserve date for a physical folder or volume
Generating a consequent message for transmission to the current holder of that folder or another authorised user, according to configuration

The Collaborator Platform support a bring forward (pend) facility for electronic folders, enabling a user to:

Enter and bring forward (pend) date for an electronic folder, so that the user:
Receives an automatic reminder bringing the electronic folder to attention at the date to be brought forward

The Collaborator Platform support an ordering facility, enabling a user to request a physical folder located at another user or a storage facility.

Disposal

The Collaborator Platform support the allocation of a disposal schedule to a physical folder. The Collaborator Platform ensure the same disposal schedule is always applied to both electronic and physical folders associated together as a hybrid folder. The Collaborator Platform ensure that any review decisions made on an electronic folder that is associated as a hybrid with a physical folder, are also applied to the physical folder. The Collaborator Platform able to export physical folder metadata and retain all their associations with series and electronic folders associated as a hybrid, once exported. The Collaborator Platform able to export markers (metadata) and retain all their associations with electronic folders and other electronic records, once exported. Where an electronic folder containing markers is to be destroyed or transferred, The Collaborator Platform ensure that the markers are destroyed /transferred at the same time as the contents of the electronic folder. Where a hybrid folder is to be destroyed, exported or transferred, The Collaborator Platform require an authorised user to confirm that the physical folder of the hybrid has been destroyed, ‘exported’ or transferred before processing the electronic folder. The Collaborator Platform supports the maintenance of a minimum metadata ‘stub’ to denote the former existence of a folder, The Collaborator Platform ensure that minimum metadata is maintained for a physical folder that has been destroyed, and for both electronic and physical folders in a hybrid folder

Search & Retrieve

The Collaborator Platform report on folders that have reached the end of their retention period. The Collaborator Platform retrieve a record based on values in user-defined metadata. The Collaborator Platform search for a folder, any document or record within the File Plan.

The Collaborator Platform capable of doing searching on:

Index data/metadata
Full text (i.e. content within a document)
Multi-media specific properties
A combination of text and indexed data
Any combinations of metadata fields
Any combination of text and metadata
Any combination of text and images
Content of notes and annotations
Audit trail data
E-mails and attachments
Databases external to the ECM database(s)
ECM databases and Internet in one search
Internet

The Collaborator Platform capable of doing the following search:

Boolean
Wild card
Proximity
Fuzzy
Within search results

The Collaborator Platform allow the saving of search criteria, for reuse. The Collaborator Platform allow the saving of search results. The Collaborator Platform highlight search results. The Collaborator Platform allow easy moving between highlighted hits. The Collaborator Platform provide the number of hits, according to the search criteria. The Collaborator Platform provide an indication of the relevancy to the search criteria. The Collaborator Platform display document content in a search viewer. The Collaborator Platform support advanced search and retrieval query languages.

IDARS

The Collaborator Platform prompt the migration of a record to near-line and/or off-line storage when user-defined thresholds for the record type are reached. The Collaborator Platform provide for exceptions on a document basis when migrating a record to near-line storage. The Collaborator Platform provide user-defined attributes for the files/records migrated to near-line and/or off-line storage, other than the document or record management component’s attributes. The Collaborator Platform allow retrieval of archived documents based on the values of user-defined metadata. The Collaborator Platform control who may create, view or modify the contents of, or delete an archived file. The Collaborator Platform have the capability to describe the relationship between files or documents that have been archived. The Collaborator Platform archive early drafts of an electronic document to near-line or off-line storage as requested or at pre-determined intervals. The Collaborator Platform provide a separate archival table for the archival of index entries. The Collaborator Platform provide an option to migrate inactive documents other media. The Collaborator Platform record and display the fact that a document or record was transferred to near-line or off-line storage. The Collaborator Platform automatically migrate a document or record from on-line to near-line to off-line storage based on user-defined thresholds. The Collaborator Platform retrieve a document or record from on-line, near-line or off-line storage for viewing. The Collaborator Platform automatically migrate a retrieved document or record back to near-line or off-line storage according to predetermined criteria.