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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?
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Yes ?
No?
Maybe?
Partly?
• Out of the Box
Boiler plate functions and system interfaces
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Database tables
Record repository
Integrations with
business application
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Administrator console
System configurations
System parameters
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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:
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Categories
Folders
Documents
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Boxes
Users
Rooms
Rules
Sessions
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Others
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Relational DBs:
•
SQL Server
Oracle
IBM DB2
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Others
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• 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
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Things you can change
No costs
Modify out of the box
behavior (limitations)
Standard reports
Standard bar code labels
Customization
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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
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Access vs Permissions
What users
What users
can see.
can do.
•Access Controls
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Classification Marking
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Supplemental Marking
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Group Security
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Office Security
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Location Security
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Project Member
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Individual Security
At least one
NO
No NOs
•Permissions
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Copy
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Move
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Insert/Up Load
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Edit/Modify
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Download
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Create New
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View On Hold
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Edit on Hold
•User Accounts
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User ID / number
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Name (format)
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Login
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Office
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Role/Permissions
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Group/Access
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Clearance Level
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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
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Destruction certificates
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Limited audit trail
• Disposition Processing
Process 1
Process 2
Process 3
Process 4
Assign Retention
Find Candidates
Approve Disposition
Execute Disposition
• Disposition Processing - Pull
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You do the work
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Manual processing
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Query for candidates
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Aggregate the candidates
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Seek approvals
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Perform disposition actions
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Create disposal reports
• Disposition Processing - Push
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ERM does the work
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Scheduled services
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On-line notifications
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On-line approvals
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Automated disposition
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Automated reports
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Create disposal reports
• Disposition Actions
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Review
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Cutoff
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Archive
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Transfer
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Destroy
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Permanent
• ERM Admin Training
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2-3 Days
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Administrative functions
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Screen layouts
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System configurations
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System parameters
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Search and retrieval
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Report capabilities
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Disposition Processing
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Legal holds
• ERM User Training
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2-3 hours
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Record declaration
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Metadata requirements
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Search and retrieval
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Advance searches
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Check out/check in
• Electronic Recordkeeping
Bill Manago, CRM
•Questions?
Director, Records Management
CA, Inc.
954.482.2977
[email protected]