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A Technical Guide to ERMS

A Technical Guide to ERMS. Bill Manago, CRM. What You Need to Plan For. 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.

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A Technical Guide to ERMS

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  1. A Technical Guide to ERMS • Bill Manago, CRM

  2. What You Need to Plan For Out of the BoxWhat you should and should not expect Classification SchemaRecord series, file plans, folder types Disposition Rules Creating rules, assigning rules • Implementing an Electronic Records Management System Access ControlsAccess to records, access to system functions End-User Trainer The new records managers

  3. Automate Record Life-Cycle Management

  4. Out of the Box • Do ERMS work out-of-the- box? • Yes ? • No? • Maybe? • Partly?

  5. 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

  6. Record Repository For managed records Business Applications • Enterprise-wide dedicated records repository SAP MOSS HR DMS Manage in place

  7. Federated Searching SAP MOSS HR DMS • For managed records Index Index Index Index Email Index Database Metadata Capability for users to select which repository or combination of repositories to search for records.

  8. Database Tables • Relational DBs: • SQL Server • Oracle • IBM DB2 • Others • Tables: • Categories • Folders • Documents • Boxes • Users • Rooms • Rules • Sessions • Others

  9. Example Database Table

  10. Corp Database Configuration - 1 LA CHI NYC Corporate HDQS Centrally Managed

  11. Chicago • Repository • Los Angeles • Repository Database Configuration - 2 • New York • Repository Synchronize Corporate HDQS Multi/Distributed

  12. Business Application Integrations

  13. Email Integration

  14. Administrator Console

  15. Nomenclature • Label items using your taxonomy One Size Does Not Fit All • Displays • Data Entry, Search and Retrieval, Hit Lists • Functional Features • Available to different classes of users • Menu Displays • Options selectable by end users 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

  16. Admin Landing Page

  17. System Configurations

  18. System Parameters

  19. Administrator Data Entry

  20. Default Admin Search and Retrieval

  21. Configure Search and Retrieval Screens

  22. End-User Web Interface

  23. End-User Web Interface Opening Page

  24. End-User Web Interface Record Search Screen

  25. End-User Web Interface Full Text Search Screen

  26. End-User Web Interface Hit List

  27. End-User Web Interface Document Profile

  28. Organizational File Plan

  29. Records Retention Schedule

  30. 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).

  31. Category File Plan Hierarchy Sub-Category Sub-Category File Folders File Folders File Folders

  32. Example Record Category

  33. Standardized File Plan

  34. 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)..

  35. Retention Rules

  36. Example Retention Rule

  37. Category Retention Rule Assignment Sub-Category Sub-Category File Folders File Folders File Folders Disposition Rule Disposition Rule Record Record Record

  38. Retention Rule Assignment

  39. Access vs Permissions • What users • can see. What users can do.

  40. Access Controls • Classification Marking • Supplemental Marking • Group Security • Office Security • Location Security • Project Member • Individual Security At least one NO No NOs

  41. Permissions • Copy • Move • Insert/Up Load • Edit/Modify • Download • Create New • View On Hold • Edit on Hold

  42. User Accounts • User ID / number • Name (format) • Login • Office • Role/Permissions • Group/Access • Clearance Level • Supplemental Markings

  43. Record Declaration • Business Applications • EDMS • Shared Drives • Personal Drives • Email Systems • Social Media Providers

  44. Record Declaration

  45. Example Record Profile

  46. Record Declaration Decisions • Delete from source • Allow duplicates • Single instances • Multiple instances • Email stubbing • Official record copy • or • Official record copies

  47. The Role of Metadata • Add business context • Finding aid • Aids authenticity • Extracted by system • Manual data entry

  48. The Issue with Metadata The more the metadata, the easier search and retrieval. The more the metadata, the heavier the burden on users.

  49. Email Records Content Media or Medium Email Archiving. Records Management

  50. Email

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