1. A Technical Guide to ERMS Bill Manago, CRM

2. 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 Access Controls Access to records, access to system functions End-User Trainer The new records managers Disposition Rules Creating rules, assigning rules

3. Automate Record Life-Cycle Management

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

5. Database tables Record repository Integrations with business application Administrator console System configurations System parameters End-User web interface Record declaration Search and retrieval Out of the Box Boiler plate functions and system interfaces

6. Enterprise-wide dedicated records repository Manage in place Record Repository For managed records SAPMOSSDMS Business Applications HR

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

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

9. Example Database Table

10. Database Configuration - 1 Corporate HDQS Corp LACHINYC Centrally Managed

11. Database Configuration - 2 Chicago Repositor y Los Angeles Repositor y New York Repositor y Corporate HDQS Multi/Distributed Synchroniz e

12. Business Application Integrations

13. Email Integration

14. Administrator Console

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

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

32. Example Record Category

33. Standardized File Plan

34. 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

36. Example Retention Rule

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

38. Retention Rule Assignment

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

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

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

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

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 Email Archiving. Media or Medium Records Management

50. Email

52. Email Archiving Assign retention based on category Approval process Destruction certificates Limited audit trail

53. Disposition Processing Process 1 Assign Retention Process 2 Find Candidates Process 3 Approve Disposition Process 4 Execute Disposition

54. You do the work Manual processing Query for candidates Aggregate the candidates Seek approvals Perform disposition actions Create disposal reports Disposition Processing - Pull

55. ERM does the work Scheduled services On-line notifications On-line approvals Automated disposition Automated reports Create disposal reports Disposition Processing - Push

56. Review Cutoff Archive Transfer Destroy Permanent Disposition Actions

57. 2-3 Days Administrative functions Screen layouts System configurations System parameters Search and retrieval Report capabilities Disposition Processing Legal holds ERM Admin Training

58. 2-3 hours Record declaration Metadata requirements Search and retrieval Advance searches Check out/check in ERM User Training

59. Electronic Recordkeeping

60. Questions? Bill Manago, CRM Director, Records Management CA, Inc. 954.482.2977 william.manago@ca.com