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Document Management Requirements

From: Judith Slein <slein@wrc.xerox.com>
Date: Tue, 17 Sep 1996 13:05:10 PDT
Message-Id: <2.2.32.19960917200510.002e9fdc@pop-server.wrc.xerox.com>
To: w3c-dist-auth@w3.org
Here are the document management requirements notes I promised to circulate.
These are functional requirements that large corporations would expect a
document repository to provide.  So someday we would like them to be able to
get at this functionality in a standard way using HTTP.  

These are my notes on a long document (that I have only in paper form)
called "Requirements for an Enterprise Document Management System" published
by the Black Forest Group and AIIM in January 1995.  The Black Forest Group
was (is?) a consortium of large global corporations and academic researchers
with the aim of applying new technologies to business problems.  AIIM is the
Association for Information and Image Management.  DMA (Document Management
Alliance, a consortium of document management users and vendors) is
affiliated with AIIM and used this requirements document as the basis for
their work.

Our authoring and versioning requirements papers touch on some of the same
categories of requirements identified here (Versioning, Catalog,
Organization, Search, etc.) but not others (Workflow, Security,
Administration, etc.)  In the areas we do expect to specify, there are
interesting details here.

--Judy

Black Forest Functional Requirements 

DOCUMENT CREATION / EDITING / VIEWING / DELETING

Create a simple document (one whose content was all created by the same
application)
Create a compound document (one with content created by more than one
application)
Create a virtual document (one with multiple components that can be
independently managed)
        multiple authors
        security at the component level
        components reside in a container
Create documents of any format
Import
Retrieve for editing
Retrieve for viewing
View content
View one or more pages at a time
        next page
        previous page
        first page
        last page
        nth page
View catalog data
OCR
multiple renditions
Delete document (If stored in more than one container, only the link is
deleted unless this is the last link)
Undelete

VERSIONING

Replace current version
Save as a new version
Locking
Get name of the person who holds the lock
Get date / time of most recent save
Label a version
Comment a version
View version history
Format may change between versions
Check in / check out
Delete all versions
Delete selected versions
Delete current version
Undelete

CATALOG

Standard catalog fields for a document:  creator, creation date / time, type
(document), keywords and phrases, version number, authors, security, title,
description, retention
Standard catalog fields for a container: creator, creation date / time, type
(container), last access date, last user to access, keywords and phrases,
security, title, description
Catalog attributes should be customizable at the document / user and
container / user level, so that different users can have different views of
a document's or container's catalog data
Modify catalog data
Attributes of a container should be independent of the attributes of objects
stored in that container

ORGANIZATION

Hierarchical containers (independent of physical file system)
Create container
Catalog container
Delete container
Documents can appear in multiple containers (by reference)
Documents of any formats can be stored in a container
Documents can be moved between containers
View contents of container
View catalog attributes of contained objects
Sort on any catalog attribute
View container's catalog data
View containers in which a given object is stored

SEARCH

Search on content and / or catalog attributes
Search for containers and / or documents
Required operators:  AND, NOT, Not Equal, MAX, MIN, OR
Must be able to search on the following attributes:  creator, creation date,
authors, keywords and phrases, title, document type, retention date, any set
of user defined fields
Wild cards
Support refining searches
Must be able to search the content of one or more documents:  proximity
search, adjacency, relational, Boolean
Content searches should support ranking results
It should be possible to search content of compound documents
Limit search to a set of containers

WORKFLOW

Create Annotations
        Text or graphic, highlighting, audio, video
        Attach to position in document
Viewable by multiple concurrent users
Multiple users can annotate a document concurrently
Manage annotations as separate from content
Must be linked to document
Independent of document format
Delete Annotations
Copy / Paste annotations
View annotations
View creator of annotation
View annotations by a given creator
Search annotations within a document or a library
Search annotations by type, by text content
Create master digital signature
Delete master digital signature
        Does NOT cause instances of the signature that are attached to
documents to be removed
Apply digital signature
Review digital signature

DOCUMENT SERVICES

Print

Print one or a set of documents
Print all pages or selected pages from a document
Print annotations separately from document
Print annotations at their proper location in the document
Print search results
Print catalog data for search result set or for objects in a container

Mail

Mail a copy of the document
Mail a reference to the document
Mail with or without annotations

Fax

Fax one or a set of documents
Fax all pages or selected pages from a document
Fax annotations separately from document
Fax annotations at their proper location in the document

Routing

Inbox / Outbox
Get one or more documents from inbox
View contents of inbox
Filter contents of inbox
Route document to a user or group
Route a document along a path
Return document to a management system that moves it according to business rules

Conversion

SECURITY

Encryption for digital signatures
Only the owner or SA can delete a master digital signature
Only the owner can apply a digital signature
View privileges on digital signatures
Define new users and assign to groups (SA)
Browse user list (SA)
View password (???) (SA)
Change password (SA)
Define groups (SA)
Browse group list (SA)
View users in group (SA)
View users not in group (SA)
Classifications of privileges for groups:  Public, Audit, Admin,
Pseudo-Admin, Application
Container / Document security for groups:  No Access, View, Catalog, Edit,
Delete, Application Admin, Library Admin, Doc Creation, mail, print, fax
Annotation security for groups:  No Access, View, Add, Delete
Security at the component level for virtual documents
Change document security over time
Encryption for documents
Encryption for annotations

RETENTION SCHEDULE / ARCHIVING / BACKUP / RESTORE

Create schedule for deletion based on any of the following:
        last accessed date
        author
        any catalog value or set of catalog values
        manual selection
Monitor deletions
Audit deletions
Notify based on schedule for deletion
Move infrequently used materials to alternative storage locations or devices
        Automatically
        Transparent to online users
        Configurable
Configurable archiving
Evaluate for archiving based on: authors, creation date, document type,
keywords, last edit date, retention date, any catalog value
Incremental and full backups
Scheduled backups or manually initiated backups
Restore specific data or files from backup

OTHER SYSTEM ADMINISTRATION

Configure / reconfigure software and hardware components

Monitor events

Select events to examine
Real-time
Historical
Must be able to monitor:  deletion of documents, accesses to documents, fax,
print, mail of documents, modifications to catalog values, logon/logoff by
user ID and group ID, failed attempts to logon, CPU activity of servers,
file storage space utilization, database transactions

Reports

Generate predefined reports
Generate ad hoc reports
Export reports in standard file formats for off-the-shelf applications
Reports should include:  system configuration and configuration changes,
archived files, document storage maps, user configurations, deleted documents

Notification

Mail waiting in folder
Resource utilization conditions
Failed logon attempts exceed threshold
File deletions exceed threshold

Administer, configure, monitor file storage

Support magnetic, optical, CD ROM for online access, optical and tape
offline access
Support configurable caching
        Parameters include last accessed date / time, frequency of access,
required delivery
Real-time reports on:  disk space, optical platter utilization, access
frequency and time to access files on each device, file movement statistics

ARCHITECTURE

Open
Be able to share documents with other systems
No proprietary formats
plug-and-play
APIs
OO
Standards-compliant
Scaleable
Easy to add devices
Easy to add capacity to existing devices
Easy to add input devices
Easy to add output devices
Extensible
Easy to add functions, applications without custom code
Distributed
LAN / WAN connectivity
Real-time access to distributed libraries
Mobile access to document libraries

Name:		Judith A. Slein
E-Mail:		slein@wrc.xerox.com
Phone:  	8*222-5169
Fax:		(716) 265-7133
MailStop:	128-29E
Received on Tuesday, 17 September 1996 19:04:40 GMT

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