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Test Script: 22 – Document management

This script tests:-

• EDRMS document management capability

1. REQUIREMENTS TESTED BY THIS SCRIPT

1.1 Fully Tested Requirements

B2.01 (M)

The EDRMS must either

provide document management facilities as an integral part of the system or must be capable of integration with one or both of:

an electronic document management system capable of passing management control of documents within its own filestore(s) to an ERMS at time of declaration

an electronic document management system capable of transferring declared documents as records to an ERMS directly from the EDM system

B2.02 (M)

Where an ERMS is integrated with an EDMS, it must in principle be capable of integration with new EDM systems and new versions of existing integrated EDMS.

B2.03 (M)

The EDRMS must enable a newly created document to be captured and declared by the EDRMS in one operation.

B2.04 (M)

The EDRMS must enable a newly created document to be captured and not declared by the EDRMS.

B2.05 (M)

The EDRMS must enable a document already existing in the document management environment or capability to be declared as a record in one operation.

B2.06 (M)

The EDRMS must support the creation of versions of electronic documents which are closely bound together, and must manage version control to support progressive drafting and ensure continual integrity of the document as a whole.

B2.07 (M)

Where more than one version of the document has been created, the EDRMS product set must support the ability to declare:

the most recent version one specified version only

all existing versions, and hold all of these as a single electronic record

B2.08 (M)

The EDRMS product set must be capable of allowing versions of a document to be created, as part of drafting process, without automatically creating a new record on each occasion.

B2.09 (M)

The EDRMS product set must support the ability to define different templates for electronic documents, and the allocation of different metadata elements sets for each template. Examples of distinct types are: 

pre-defined forms report layouts

standard letter formats

B2.10 (M)

The EDRMS product set must be capable of configuring the mapping of electronic document metadata to electronic record metadata, to ensure that an electronic record always possesses correct and authentic metadata as defined by the accompanying records management metadata standard and in accordance with ERMS functional requirements.

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B2.12 (M)

When declaring a record, the EDRMS product set must give precedence to the process of capturing metadata in accordance with ERMS functional requirements above metadata from the document management environment or capability, where any potential conflict arises.

B2.13 (M)

The EDRMS product set must ensure that any metadata captured in the document management environment or capability, that will be carried over into records management metadata, is managed in accordance with ERMS functional requirements to ensure authenticity.

B2.14 (M)

When declaring a record, the EDRMS product set must give precedence to the access controls for the record in accordance with ERMS functional requirements above access controls applying in the document management environment or capability, where any potential conflict arises.

B2.15 (M)

The EDRMS product set must not allow a concept of ownership which, within the document management environment or capability gives rights that must not be allowed within the records management environment or capability, to apply to a declared record

B2.16 (M)

The EDRMS product set must not allow a declared record to be checked out, where this implies any capability to amend the record content in any way.

B2.17 (HD)

The EDRMS product set should be capable of managing documents and records within the same class and folder structure.

B2.18 (M)

Where the EDRMS product set is capable of managing documents and records within the same class and folder structure, it must make a clear and immediately visible distinction between documents declared as records and those that are not.

B2.19

(M) Where the EDRMS product set is capable of managing documents and records within the _{same class and folder structure, it must provide options for:}

automatically declaring all undeclared documents in a specified folder or folders as records

automatically deleting all undeclared documents in a specified folder or folders

automatically deleting all undeclared documents in a specified folder or folders that are older than a specified period of time.

B2.20 (M)

Where the EDRMS product set is capable of managing documents and records within the same class and folder structure, it must:

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

B2.21 (HD)

The EDRMS product set should support a personal workspace for each user, used for storing drafts of document which are not yet (and which may never be) declared as records.

1.2 Partially Tested Requirements

N/A

2. PREREQUISITE OPERATIONS.

2.1 Environment

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System date set to 24/05/2008

2.2 Static Data

See 4. Initial Data Structures & Values

3. TEST EXECUTION STEPS

Requirement

Step Operation Step

done

Req no OK?

010 Check that all pre-requisite operations have been completed, as detailed in Section 2. System date set to 24/05/2008.

Print all required confirmatory start details for this test script.

020 Log on as User4

030 Determine with the supplier whether the EDRMS provides EDM facilities:

As an integral part of the EDRMS or as:

An EDM system capable of passing management control of documents within its own filestore to the ERMS at time of declaration

An EDM system capable of passing declared records from its own filestore to the ERMS filestore

B2.01

040 If the second or third option (step 030) is taken, determine with the supplier whether the ERMS is capable of integration with EDM systems other than the product pairing undergoing test.

B2.02

050 Determine with the supplier the extent to which a personal workspace is provided within the EDRMS for the drafting of documents not yet declared as records.

B2.21 HD

051 Log On as RecMgr. 060 Create classes:

Hospital Management and

Hospital Management \ Bed Blocking

061 Log On as User4. 070 Create folder:

Hospital Management \ Bed Blocking \ Identification

080 Create and declare the record: DocBB01

(source: DocBB01.ppt)

in the folder:

Note whether the user is able to enter metadata, and note elements available.

(B2.03)

(B2.11)

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090 Create (but do not declare) the document: DocBB02

(source: DocBB02.doc)

in the folder:

(B2.04)

(B2.17HD)

in the folder:

(B2.04)

(B2.17HD)

(source: DocBB04.xls)

in the folder:

(B2.04)

(B2.17HD)

in the folder:

Note whether the user is able to enter metadata, and note elements available.

(B2.04)

(B2.17HD) (B2.11)

130 Declare the following document as a record:

Hospital Management \ Bed Blocking \ Identification.Part1 \ DocBB02

(only one version of the document exists)

Determine whether the user is able to enter metadata, and note the elements available.

B2.05

(B2.11)

140 Determine with the supplier whether check-out / check-in facilities are available.

If available, use check-out facilities to carry out steps 150-230 (versions).

If not, go to step 240.

Note: step 193 includes declaration of DocBB05 document versions - Version 1 was created before this step, so may still want to declare that document.

(B2.16)

150 *Conditional Step*

Create (but do not declare) a second version of the document: Hospital Management \ Bed Blocking \ Identification.Part1 \ DocBB03

(B2.06)

Create (but do not declare) a third version of the document:

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Examine metadata of each version of the document:

to identify metadata that specifies version details.

(B2.06)

Create (but do not declare) a second version of the document: Hospital Management \ Bed Blocking \ Identification.Part1 \ DocBB04

(B2.06)

Create (but do not declare) a fourth version of the document: Hospital Management \ Bed Blocking \ Identification.Part1 \ DocBB04

Retrieve folder

Note whether documents DocBB03, DocBB04 and DocBB05 are visibly distinguishable from the declared record DocBB02.

(B2.17HD)

(B2.18)

Create (but do not declare) a second version of the document: Hospital Management \ Bed Blocking \ Identification.Part1 \ DocBB05 (B2.06) (B2.07) (B2.11) 191 *Conditional Step*

Create (but do not declare) a fourth version of the document: Hospital Management \ Bed Blocking \ Identification.Part1 \ DocBB05

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193 *Conditional Step* Declare each version of:

as separate records.

Determine whether the user is able to enter metadata, and note the elements available.

Declare the most recent (i.e. the third) version of the document: Hospital Management \ Bed Blocking \ Identification.Part1 \ DocBB03

Do not declare any of the earlier document versions.

Determine whether the user is able to enter metadata, and note the elements available. (B2.07) (B2.08) (B2.11) 210 *Conditional Step*

Declare only the third version of the document:

Do not declare any earlier or later document versions.

Determine whether the user is able to enter metadata, and note the elements available. (B2.07) (B2.08) (B2.11) 220 *Conditional Step*

Create (but do not declare) the document: DocBB06

in the folder:

Note whether the document DocBB06 is visibly distinguishable from records DocBB02, DocBB04 and DocBB05 in their declared

versions. (B2.04) (B2.08) (B2.17HD) (B2.18) 230 *Conditional Step*

If check-out facilities are available, attempt to check-out the record: Hospital Management \ Bed Blocking \ Identification.Part1 \ DocBB02

If it was possible to check-out the record, attempt to amend the record content.

(B2.16)

240 Determine with the supplier any divergence in mapping record metadata from documents in the EDM or EDRMS system, at time of declaration, from that noted in the ERMS test process.

B2.10

B2.12 B2.13

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250 Determine with the supplier any divergence in the behaviour of access controls, available in the EDM facilities, from that noted in the ERMS test process.

B2.14

260 Determine with the supplier any implications of an ‘ownership’ concept, available in the EDM facilities, from that noted in the ERMS test process.

B2.15

270 Determine with the supplier any EDM facilities for pre-defining templates, which define different types of electronic document that possess different metadata element sets (rather than different behaviours).

B2.09

280 Determine with the supplier any facilities for managing electronic documents that have not been declared as records, but that are co-located with electronic records in the same folder, in particular options for:

a) automatically declaring all undeclared documents in specified folder(s) as declared records

b) automatically deleting all undeclared documents in specified folder(s)

c) automatically deleting all undeclared documents in specified folder(s) that are older than a specified period of time

(B2.19)

290 Create the folder:

Hospital Management \ Bed Blocking \ March Statistics

Create and declare the record: DocBB10

in the folder:

Hospital Management \ Bed Blocking \ March Statistics 300 Create the folder:

Hospital Management \ Bed Blocking \ May Statistics

in the folder:

Management \ Bed Blocking \ May Statistics

301 Create (but do not declare) the document DocBB13

in the folder:

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Hospital Management \ Bed Blocking \ April Statistics

in the folder:

Hospital Management \ Bed Blocking \ April Statistics 311 Create a word processing document, containing the text:

"This is DocBB09."

and save the file as "DocBB09.doc" on the desktop.

The creation date for this document is 24/05/2008. 320 System Date should be set to 24/11/2008.

(If required, log on as SysAdmin to set date.)

330 If required, log on as User4. 340 Create (but do not declare) the document

DocBB09

(source: DocBB09.doc, created in step 311)

in the folder:

Check metadata to confirm creation date is 24/05/2008.

350 System Date should be set to 24/12/2008. (If required, log on as SysAdmin to set date.)

360 If required, log on as User4. 370 *Conditional Step A*

If the EDRMS product set is capable of managing documents and records within the same class and folder structure, it must provide an option for automatically declaring all undeclared documents in a specified folder or folders as records.

Use this option to automatically declare all undeclared documents in the folder:

(B2.19)

380 *Conditional Step A*

Retrieve and examine the folder:

Hospital Management \ Bed Blocking \ March Statistics Determine if all the contents are declared records.

Note: the document DocBB11 should have been declared as a record automatically.

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390 *Conditional Step B*

If the EDRMS product set is capable of managing documents and records within the same class and folder structure, it must provide an option for automatically deleting all undeclared documents in a specified folder or folders.

Use this option to automatically delete all undeclared documents in the folder:

Hospital Management \ Bed Blocking \ May Statistics

(B2.19)

400 *Conditional Step B*

Hospital Management \ Bed Blocking \ May Statistics Determine if all the contents are declared records.

Note: the document DocBB13 should have been deleted automatically.

(B2.19)

410 *Conditional Step C*

If the EDRMS product set is capable of managing documents and records within the same class and folder structure, it must provide an option for automatically deleting all undeclared documents in a specified folder or folders that are older than a specified period of time.

Use this option to automatically delete all undeclared documents that are more than six months old (i.e. created before 24/06/2008) in the folder:

Hospital Management \ April Statistics.

(B2.19)

420 *Conditional Step C*

Hospital Management \ Bed Blocking \ April Statistics Confirm that document DocBB08 has been deleted, but that the record DocBB07 and the document DocBB09 are still present.

(B2.19)

Hospital Management \ Bed Blocking \ June Statistics

in the folder:

(B2.20)

in the folder:

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Hospital Management \ Bed Blocking \ July Statistics

in the folder:

(B2.20)

in the folder:

Hospital Management \ Bed Blocking \ July Statistics 441 Log on as SysAdmin.

450 Allocate Schedule 2 to the folder:

Allocate Schedule 3 to the folder:

(B2.20)

460 Initiate disposal mechanism.

470 If the EDRMS product set is capable of managing documents and records within the same class and folder structure, it must:

provide a notification, within the disposal management

mechanism, where undeclared records exist within a folder to be exported, and enable them to be declared as records

export only the records within that folder

Carry out the export of the folder:

If an option is given, which will enable undeclared documents to be declared as records as part of the export process, then perform two separate export actions to check the different scenarios:

a) do not declare documents as part of the export process b) declare documents as part of the export process

Note: This folder contains DocBB14 (a record) and DocBB15 (an undeclared document).

If no additional options are available, perform a standard export and note the outcome.

In each case assess whether only records (and not documents) are exported as expected.

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480 If the EDRMS product set is capable of managing documents and records within the same class and folder structure, it must:

in a transfer process, automatically destroy any remaining documents when the records are destroyed following confirmation of successful export

Carry out the transfer of the folder:

Hospital Management \ Bed Blocking \ July Statistics and confirm destruction.

Note: This folder contains DocBB16 (a record) and DocBB17 (an undeclared document).

Note whether all undeclared documents are destroyed with the transferred records as expected.

If no additional options are available, perform a standard export and note the outcome.

(B2.20)

490 Print all required confirmatory end results for this test script.

500 Check operation of all above steps and review requirement(s).

4. INITIAL DATA STRUCTURES & VALUES

4.1 Fileplan

See separate spreadsheet

As at Test Script 20, Table 6.1, with amendments depending upon which other optional modules are supported and tested.

5. INTERMEDIATE DATA

N/A

6. RESULTS TABLES

6.1 Fileplan

As at Table 4.1, with the addition of the following: Hospital Management C Bed Blocking C Identification F DocBB01 R DocBB02 R DocBB03 D Version 1 DocBB03 D Version 2 DocBB03 R Version 3 DocBB04 D Version 1 DocBB04 D Version 2

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DocBB04 D Version 4 DocBB05 R Version 1 DocBB05 R Version 2 DocBB05 R Version 3 DocBB05 R Version 4 DocBB06 D March Statistics F DocBB10 R

DocBB11 D Record if B2.19 supported April Statistics F

DocBB07 R

DocBB08 D Deleted if B2.19 supported

DocBB09 D

May Statistics F

DocBB12 R

DocBB13 D Deleted if B2.19 supported June Statistics F Exported

DocBB14 R Exported

DocBB15 D

July Statistics F Transferred DocBB16 R Transferred DocBB17 D Destroyed