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A Technical Guide to ERMS Bill Manago, CRM • What You Need to Plan For Implementing an Electronic Records Management System Out of the Box What you should and should not expect Classification Schema Record series, file plans, folder types Disposition Rules Creating rules, assigning rules Access Controls Access to records, access to system functions End-User Trainer The new records managers • Automate Record Life-Cycle Management • Out of the Box • Do ERMS work out-of-thebox? • • • • Yes ? No? Maybe? Partly? • Out of the Box Boiler plate functions and system interfaces • • • Database tables Record repository Integrations with business application • • • Administrator console System configurations System parameters • • • End-User web interface Record declaration Search and retrieval • Record Repository For managed records Business Applications SAP Enterprise-wide dedicated records repository MOSS HR Manage in place DMS • Federated Searching For managed records SAP Index Email MOSS Index Index Database Metadata Capability for users to select which repository or combination of repositories to search for records. HR DMS Index Index • Database Tables Tables: • • • Categories Folders Documents • Boxes Users Rooms Rules Sessions • Others • • • • Relational DBs: • SQL Server Oracle IBM DB2 • Others • • • Example Database Table • Database Configuration - 1 Corp Corporate LA HDQS CHI Centrally Managed NYC • Database Configuration - 2 Synchroniz e •Chicago •Repositor Corporate y HDQS •Los Angeles •Repositor y •New York •Repositor y Multi/Distributed • Business Application Integrations • Email Integration • Administrator Console • One Size Does Not Fit All Configuration vs Customization Configurable • • • • • Things you can change No costs Modify out of the box behavior (limitations) Standard reports Standard bar code labels Customization • • • • • • You must pay Changes made to the code Custom behavior Database scripts Custom reports Custom bar code labels Nomenclatur e •Label items using your taxonomy Displays •Data Entry, Search and Retrieval, Hit Lists Functional Features •Available to different classes of Menu users Displays •Options selectable by end users • Admin Landing Page • System Configurations • System Parameters • Administrator Data Entry • Default Admin Search and Retrieval • Configure Search and Retrieval Screens • End-User Web Interface • End-User Web Interface Opening Page • End-User Web Interface Record Search Screen • End-User Web Interface Full Text Search Screen • End-User Web Interface Hit List • End-User Web Interface Document Profile • Organizational File Plan • Records Retention Schedule • Record Series SERIES 0318 – REPORTS 0318-01 Record Category Name: AIS Audit Records Disposition Authority: N1-218-00-4 item 023 Transfer or Accession to NARA Indicator: No Vital Record Indicator: Yes Vital Records Review and Update Cycle Period: Weekly. Record Category Description: Consisting of AIS Security Officer or Terminal Area Security Officer weekly audit records of audit actions performed on all AIS as required by applicable policy which are maintained by any JS/combatant command activity Disposition Instructions: Cut off monthly, hold 1 month, then destroy. Note: One folder created for each month Expected Behavior: Folder becomes due for cutoff at the end of the month. Cutoff folder is due for destruction 1 month after cutoff. If the RMA automatically calculates cutoff at the record level and does not require the organization to create folders, do not create the "January AIS Audit Records" folder listed below. Instead, provide information to the testers regarding what date the RMA uses to calculate the cutoff eligibility for the records (e.g., Date Filed, Date Published). • File Plan Hierarchy Category Sub-Category File Folders Sub-Category File Folders File Folders • Example Record Category • Standardized File Plan •Retention Rules Record Category Name: Overtime reports and related documents Disposition Authority: N1-218-00-7 item 28 Transfer or Accession to NARA Indicator: No Vital Record Indicator: No Record Category Description: Overtime reports and related documents which are maintained by JS/combatant command comptroller as the official record copy Disposition Instructions: Cut off at end of FY, hold 3 years, then destroy Note: One folder created for each FY Expected Behavior: Folder becomes due for cutoff at the end of the Fiscal Year. Cutoff folder is due for destruction 3 years after cutoff. If the RMA automatically calculates cutoff at the record level and does not require the organization to create folders, do not create the "FY08 Overtime Reports" folder listed below. Instead, provide information to the testers regarding what date the RMA uses to calculate the cutoff eligibility for the records (e.g., Date Filed, Date Published).. •Retention Rules •Example Retention Rule •Retention Rule Assignment Disposition Rule Category Sub-Category File Folders Sub-Category File Folders Record Record File Folders Record Disposition Rule •Retention Rule Assignment • Access vs Permissions What users What users can see. can do. •Access Controls • Classification Marking • Supplemental Marking • Group Security • Office Security • Location Security • Project Member • Individual Security At least one NO No NOs •Permissions • Copy • Move • Insert/Up Load • Edit/Modify • Download • Create New • View On Hold • Edit on Hold •User Accounts • User ID / number • Name (format) • Login • Office • Role/Permissions • Group/Access • Clearance Level • Supplemental Markings • Record Declaration • Business Applications • EDMS • Shared Drives • Personal Drives • Email Systems • Social Media Providers • Record Declaration • Example Record Profile • Record Declaration Decisions • Delete from source • Allow duplicates • Single instances • Multiple instances • Email stubbing • Official record copy or • Official record copies • The Role of Metadata • Add business context • Finding aid • Aids authenticity • Extracted by system • Manual data entry • The Issue with Metadata The more the metadata, the easier search and retrieval. The more the metadata, the heavier the burden on users. • Email Records Content Media or Medium Email Archiving. Records Management • Email • Email • Email Archiving Assign retention based on category Approval process • Destruction certificates • Limited audit trail • Disposition Processing Process 1 Process 2 Process 3 Process 4 Assign Retention Find Candidates Approve Disposition Execute Disposition • Disposition Processing - Pull • You do the work • Manual processing • Query for candidates • Aggregate the candidates • Seek approvals • Perform disposition actions • Create disposal reports • Disposition Processing - Push • ERM does the work • Scheduled services • On-line notifications • On-line approvals • Automated disposition • Automated reports • Create disposal reports • Disposition Actions • Review • Cutoff • Archive • Transfer • Destroy • Permanent • ERM Admin Training • 2-3 Days • Administrative functions • Screen layouts • System configurations • System parameters • Search and retrieval • Report capabilities • Disposition Processing • Legal holds • ERM User Training • 2-3 hours • Record declaration • Metadata requirements • Search and retrieval • Advance searches • Check out/check in • Electronic Recordkeeping Bill Manago, CRM •Questions? Director, Records Management CA, Inc. 954.482.2977 [email protected]