Defining a uniform subject classification system incorporating document management/records retention functions6185576Abstract An interlingual mechanism to achieve uniformity when classifying anything by subject. Using generic terminology in an especially oriented hierarchical structure, it directs the user to a single classification. The system captures acronyms, vernacular and industry-specific, as well as foreign terms, into a thesaurus that can be modified and appended as classification needs change. The system "learns" as synonyms are added to "family groups", capturing differences in individual perception. Searching for an entity is quickly successful by reversing the process. To ask the system for the location of any item, a descriptive term is entered that the individual believes best describes the object in question. If this entry results in a "hit", all information pertaining to the item is then available to query. If the entry term does not find a match in the generic structure, the system will search the synonym data base for a match. By arranging "generic terms" in a classified format, the system provides a single location for each record series and enables linking all relevant administrative document management functions and legal retention requirements. Selective and timely purging of documents is thus made possible, greatly facilitating the management of information for both current and prospective use. Claims What is claimed is: Description BACKGROUND OF THE INVENTION
AD Administration Level 1
FA Facilities Level 2
BU Buildings Level 3
OF Offices Level 4
FU Furnishings Level 5
AR Art Level 6
DE Desk Level 6
With the above class levels, the following are examples of acronyms which could be employed: ADFAOF Administration, Facilities, Offices ADFAOFFU Administration, Facilities, Offices, Furnishings ADFUDE Administration, Furnishings, Desk ADFUAR Administration, Furnishings, Art The particular acronym which would be employed in any given situation would depend on how many levels are needed to identify particular items of interest so that they can be efficiently retrieved. For example, in some situations just two or three levels are sufficient because the number of items which are classified at that level of detail is sufficiently small such that a user can see on a single screen display all potential hits from which the desired item may be selected. In other situations, more levels may be needed where there are numerous items that satisfy a particular class code. In these examples, the document would be a label affixed to the artwork or the desk. Such labels may also be affixed to a document or folder or box containing documents and/or folders. Additional data appearing on the label, referred to as "label lines," providing specific descriptions beyond the class itself. Label line descriptions are extensions of the class code and are searchable using well known automated search techniques. Labels are a part of the record when attached with the same retention value as the record which normally is then case when the label is associated with a particular folder. It should be noted that labels do not have a retention value when attached to an asset such as a desk. IV: Finding Documents using the Uniform Subject Classification System To illustrate this step, assume that it is desired to find job descriptions for an employee's new assignment as Budget Analyst, a newly created position. To determine what may be available to aid in the creation of a new job description, enter the term "job description" in an inventory label search field to determine the location for all Job Descriptions. In this connection, the label search field is part of a query screen display, an example of which is shown in FIG. 1. A typical response to the query provides the acronym of "HRJD", or "Human Resources, Job Descriptions" as shown in the screen display of FIG. 3. Next, assuming that any job description for an Analyst would help in creating the new job description, a search on the word "Analyst" within the "HRJD" segment of the hierarchy displays "HRJDSA" for job descriptions related to a range of Systems Analysts positions as shown in the screen display of FIG. 4 and "HRJDMA" for job description of a Marketing Analyst also shown in the screen display of FIG. 4. Next, search for job descriptions that are involved with the budgeting process to identify the terms used in describing the tasks and skills required: Enter the word "budget" as shown in the screen display of FIG. 5. With full security clearance, the system would return: "FIBU" or Finance, Budgets. as shown in the screen display of FIG. 6. From the synonym table, the display would show the contents of the class table for the item located by the search as containing: "HRD" or "Human Resources, Job Description" as shown in the screen display of FIG. 4. From the synonym table, a display would show the "folder" contents as containing a job description for "Manager, Budget Planning " as shown in the screen display of FIG. 7. By inspection, the searcher would select the analyst job descriptions as well as the one for "Manager" that might help in preparing the new description. V. Associate The Class Acronym With Retention Data Once steps I-III have been performed, it is possible to generate a report for each classification with the information shown in Table I. The information in the Med Typ, Rec Typ, Start After, Off Ret and RC Ret columns is initialized for each new document added to the system based on the class code. That is, for each class code, this information is stored in a class table and is predetermined based on business and government regulations. The information in the RCopy CC4 column is obtained from a location table and is preset with a location code based on the workstation from which the data for the record was entered. By changed the data in the class table or location table, all documents associated with that class code or location would be changed as well. However, all of this information can be changed for individual documents, and once changed for a particular document, changes at the class table or location table level are not reflected in the records for such documents.
TABLE I
Class
Class Code Med Rec Start Off RC RCopy
No. Acronym Name Typ Typ After Ret Ret CC#
124 AD Admini- 0 O AR 12 0
stration
125 ADFU Furnish- 0 O CT 12 24 993452
ings
126 ADFUDE Desks 0 O SU 12 24 993452
127 ADFUDEEX Executive 0 O SU 12 36 993452
In Table I, each row corresponds to a file series. The column labeled "No." contains a unique computer generated numbers used to represent each file series. The column labeled "Class Acronym " contains the classification acronyms. The column labeled "Class Code Name" contains the official terms to describe documents. The column labeled "Med Typ" represents media type, i.e., paper, magnetic, microfiche, etc. Each media type in the example is represented by a number, for example, 0 for paper, 1 for magnetic, 2 for microfilm, 3 for microfiche, 4 for CD-ROM. The column labeled "Rec Typ" represents record type, i.e., Vital (V), Informational (I), Official (O), Sensitive (S). The column labeled Start After contains the date starting the retention, e.g., annual review (AR), completed (CT), superseded (SU), current year (CY) and final audit (FA). The retention start date marks the beginning of the "clock" as related to "upon the completion of the audit" when the record is superseded, or beginning when the contract has been completed, or when a license has expired. As a result, the creation date has little relevance to the legislative requirement for retention. The column labeled "Off Ret" represents office retention in months. The column labeled "RC Ret" represents records center retention in months. The column labeled "RCopy CC#" represents record responsibility copy cost center number. This is the cost center number as identified in the Chart-of-Accounts for the organization. This cost center is the only cost center which can send documents in this file series to a long term storage facility (for archival). All other holders of copies of such documents (i.e., informational copies) would have been instructed to destroy such copies at the office level according to a predefined schedule for destruction of such documents, which as previously noted, would predate scheduled destruction of the official copy of the document. An expanded example of a retention schedule appears in Table II.
TABLE II
REPRESENTATIVE CLASSIFIED RETENTION SCHEDULE
WITH CITATIONS AND REFERENCES
CLASS MED REC START OFF
RC TOT R COPY
ACRONYM CLASS CODE NAME TYP TYP AFTER RET
RET RET CC# REFERENCE
AC ACCOUNTING 1 O FA 12
0 12 55000 26 CFR 1.6001.1
ACAJ ADJUSTMENTS 1 O CY 12
24 36 55260 26 CFR 1.6001.1
ACAJIT INVENTORY 1 O CY 12
36 48 55260 ADMIN. DECISION
ACAJITCN CONSOLIDATIONS 1 O CY 12
12 24 55260 26 CFR 1.6001.1
ACAJITMN MAINTENANCE 1 O CY 36
0 36 55260 ADMIN. DECISION
ACAJITWH WAREHOUSE 1 O CT 84
0 84 55260 26 CFR 1.6001.1
ACAJRB REIMBURSEMENTS 1 O CY 12
24 36 55800 26 CFR 1.6001.1
ACAS ASSETS 1 V CY 24
36 60 55300 26 CFR 1.6001.1
ACASAM AMORTIZATIONS 1 O FA 24
36 60 55330 26 CFR 1.6001.1
ACASAP APPROPRIATIONS 1 O CT 12
12 24 55330 26 CFR 1.6001.1
ACASCA CAPITAL ASSETS 1 V FA 24
216 240 55330 26 CFR 1.6001.1
ACASCACC COMPANY VEHICLES 1 O CT 120
0 120 55330 26 CFR 1.6001.1
ACASDE DEPRECIATING 1 O FA 12
24 36 55340 26 CFR 1.312-15
ACASIT INVENTORY 3 V FA 24
36 60 55440 26 CFR 1.6001.1
ACASITSP SPECIAL ACCOUNTS 1 O FA 12
12 24 55440 26 CFR 1.6001.1
ACASITSU SURPLUS 1 O CT 12
24 36 55440 26 CFR 1.6001.1
ACASITWH WAREHOUSE 1 O FA 12
72 84 55440 26 CFR 1.6001.1
ACASITWHDI DISBURSEMENTS 1 O FA 12
60 72 55440 26 CFR 1.6001.1
ACASPR APPRAISALS 1 O SU 24
216 240 55200 26 CFR 1.6001.1
ACASVE VEHICLES 2 O CT 24
36 60 55440 26 CFR 1.6001.1
ACAU AUDIT 1 O FA 24
36 60 56000 26 CFR 1.6001.1
ACAUEX EXTERNAL 1 O FA 24
36 60 56000 26 CFR 1.6001.1
ACAUIN INTERNAL 1 O FA 24
36 60 56100 26 CFR 1.6001.1
ACAZ AUTHORIZATIONS 1 O CT 24
48 72 55260 ADMIN. DECISION
ACAZAV TRAVEL 2 O CT 24
0 24 55290 ADMIN. DECISION
ACAZAVDO DOMESTIC 2 O CT 12
24 36 55290 ADMIN. DECISION
ACAZAVIN INTERNATIONAL 2 O CT 12
24 36 55290 ADMIN. DECISION
ACBA BANKING 2 O CY 24
12 36 55500 ADMIN. DECISION
ACBACH CHECKS 1 O FA 12
48 60 55500 26 CFR 1.6001.1
ACBACHCO CHECK COPIES 1 O CT 36
48 84 55500 26 CFR 1.6001.1
ACBACHPC PETTY CASH 1 O CT 36
48 84 55500 26 CFR 1.6001.1
ACBACHPY PAYROLL 3 O CY 12
48 60 55550 29 CFR 516.2,.5,.6
ACBACHRE REQUEST 1 O CT 2
0 2 55500 ADMIN. DECISION
ACBACO CASH OPERATIONS 3 O CT 12
60 72 55570 26 CFR 1.6001.1
ACBADP DEPOSIT SLIPS 1 O CY 12
60 72 55570 26 CFR 1.6001.1
ACBADR DRAFTS 1 O CT 12
0 12 55570 26 CFR 1.6001.1
ACBALC LETTERS OF CREDIT 1 V CT 12
60 72 55570 26 CFR 1.6001.1
ACBARE RECONCILIATIONS 3 O FA 18
24 42 55570 26 CFR 1.6001.1
ACBARM BANK REMITTANCE 1 O CT 36
0 36 55570 26 CFR 1.6001.1
ACBARS RESOLUTIONS 1 O CT 12
24 36 55500 26 CFR 1.6001.1
ACBAST STATEMENTS 1 O FA 12
84 96 55570 26 CFR 1.6001.1
ACBASTDO DOMESTIC 1 O FA 12
24 36 55570 26 CFR 1.6001.1
ACBASTFO FOREIGN 1 O FA 12
48 60 55570 31 CFR 103.32
ACBI BALANCE SHEETS/INCOME 2 O FA 24
456 480 77000 26 CFR 1.6001.1
STATEMENT
ACBIAN ANALYSIS 1 O FA 24
456 480 77000 26 CFR 1.6001.1
ACBIPL PROFIT & LOSS 1 O FA 24
456 480 77000 26 CFR 1.6001.1
ACCA CAPITAL EXPENDITURES 1 V FA 12
24 36 55440 26 CFR 1.6001.1
ACCARE REQUESTS 1 O CT 24
446 470 55440 ADMIN. DECISION
ACCAWP WORKING PAPERS 1 O CT 24
446 470 55440 ADMIN. DECISION
ACCH CHART OF ACCOUNTS 1 O CY 12
987 999 55000 ADMIN. DECISION
ACCO COST ACCOUNTING 1 O CY 12
24 36 55700 26 CFR 1.6001.1
ACCR CREDIT 1 O FA 48
60 108 55800 26 CFR 1.6001.1
ACCRAD ADJUSTMENTS 1 O FA 12
48 60 55800 31 CFR 103.33
ACCRAL APPROVAL 1 O CY 12
48 60 55800 ADMIN. DECISION
ACCRAP APPLICATIONS 1 O FA 24
36 60 55800 31 CFR 103.33
ACCRCO COLLECTIONS 1 O CT 24
24 48 55800 29 CFR 516.2
ACCRCODO DOUBTFUL ACCOUNTS 1 O CT 12
108 120 55800 26 CFR 1.6001.1
ACCRDO DEPOSITS 1 O CY 24
0 24 55800 ADMIN.DECISION
ACCRMM MEMOS 1 O CY 12
36 48 55800 26 CFR 1.6001.1
ACCRRT REMITTANCES 1 O CY 24
48 72 55800 26 CFR 1.6001.1
ACIN INVOICES 1 O CY 24
48 72 55100 ADMIN. DECISION
ACINEX EXPORT 1 V CY 24
48 72 55100 ADMIN. DECISION
ACIV INVESTMENT CREDITS 1 V CY 12
24 36 77000 26 CFR 1.46.1 &
1.6001.1
ACJV JOURNAL VOUCHERS 1 V FA 24
216 240 55440 26 CFR 1.6001.1
ACLE LEDGERS 1 V FA 12
987 999 55440 26 CFR 1.6001.1
ACLEAS CAPITAL ASSETS 3 V FA 12
48 60 55440 26 CFR 1.6001.1;
1.312-15
ACLEBA BANK 3 V FA 24
96 120 55440 26 CFR 1.6001.1
ACLEBO BOND 3 V FA 24
96 120 55440 26 CFR 1.6001.1
ACLECA CASH 3 O FA 12
48 60 55440 26 CFR 1.6001.1
ACLECC COST & CONTROL 3 O CY 12
36 48 55440 26 CFR 1.6001.1
ACLECH CHECK REGISTER 3 O FA 12
60 72 55440 26 CFR 1.6001.1
ACLECM CREDIT MEMOS 3 O FA 12
24 36 55440 26 CFR 1.6001.1
ACLECU CREDIT UNION 3 V FA 12
60 72 55440 26 CFR 1.6001.1
ACLEDI DIVIDEND 3 V CT 24
96 120 55440 26 CFR 1.56-2
ACLEDR DRAFTS 3 O FA 12
48 60 55440 26 CFR 1.6001.1
ACLEEX EXPENSE 3 O CT 12
36 48 55440 26 CFR 1.6001.1
ACLEGL GENERAL LEDGER 3 V CY 12
987 999 55440 26 CFR 1.6001.1
CCCP 3001
ACLEIN INVOICES 3 V FA 12
48 60 55440 26 CFR 1.6001.1
ACLEIS INSURANCE 3 V CT 12
72 84 55440 ADMIN. DECISION
ACLEIV INVENTORY 3 V FA 24
216 240 55440 26 CFR 1.6001.1
ACLENO NOTE REGISTER 3 V CT 24
12 36 55440 ADMIN. DECISION
ACLEPA PAYABLE 3 O CY 12
987 999 55440 26 CFR 1.6001.1
ACLEPB PAYROLL 3 V CT 12
24 36 55550 29 CFR 516.2,.5,.6
ACLEPE PERSONNEL 3 O CT 24
96 120 55440 29 CFR 1627.3
ACLEPR PROPERTY ACCOUNTS 3 V FA 24
216 240 55440 26 CFR 1.6001.1
ACLEPU PURCHASING 3 O FA 12
24 36 55440 26 CFR 1.6001.1
ACLERE RECEIVABLE 3 V CT 84
0 84 55440 ADMIN. DECISION
ACLESA SALES 3 V CT 12
24 36 55440 ADMIN. DECISION
ACLESE SECURITIES 3 V FA 24
96 120 77000 26 CFR 1.6001.1
ACLEST CAPITAL STOCK 3 V FA 24
96 120 10000 26 CFR 1.57-5
ACLESU SUBSIDIARY 3 V CT 12
24 36 55440 26 CFR 1.6001.1
ACPA PAYABLES 3 O CY 12
24 36 55100 26 CFR 1.6001.1
ACPAEM EMPLOYEE EXPENSES 3 O FA 12
24 36 55100 26 CFR 1.274-5
ACPAEMCC CREDIT CARDS 3 O CY 12
48 60 55100 26 CFR 1.274-5
ACPAFR FREIGHT 3 O FA 12
24 36 55150 26 CFR 1.6001.1
ACPAIN INVOICES 3 O FA 24
48 72 55150 26 CFR 1.6001.1
ACPALE LEASING 1 O FA 12
24 36 55100 26 CFR 1.6001.1
ACPALEVE VEHICLES 1 O FA 24
36 60 55100 26 CFR 1.6001.1
ACPALEVEQU QUESTIONNAIRES 1 O FA 24
36 60 55100 26 CFR 1.6001.1
ACPANO NOTES, PAYABLE 1 O CT 24
12 36 55100 26 CFR 1.6001.1
ACPAPP PREPAID EXPENSES 1 O CT 12
0 12 55100 ADMIN. DECISION
ACPATC TELEPHONE BILLS 1 O CY 12
24 36 55100 26 CFR 1.6001.1
ACPAVE VENDORS 1 O CY 12
24 36 55100 26 CFR 1.6001.1
ACPAVO VOUCHERS 1 O CY 12
60 72 55100 26 CFR 16001.1
ACPB PAYROLL 3 O FA 18
18 36 55300 29 CFR 516.2
ACPBDE DEDUCTIONS 3 O CT 12
36 48 55300 26 CFR 31.6001.1
ACPBTI TIME SHEETS 1 O CT 12
60 72 55300 29 CFR 516.2,.5,.6
ACPBWX W-2'S &ALL GOVNMT PAYROLL RP 1 O FA 12 24
36 55300 29 CFR 516.2
ACRC RECONCILIATIONS 3 O FA 12
24 36 55800 26 CFR 1.6001.1
ACRE RECEIVABLES 3 V CT 12
24 36 55900 26 CFR 1.6001.1
ACREAJ ADJUSTMENTS 3 O CT 12
108 120 55900 ADMIN. DECISION
ACREBI BILLING 3 V CT 12
108 120 55900 29 CFR 516.2
ACRT REMITTANCES 3 O CY 24
48 72 55910 ADMIN. DECISION
ACTA TAX 1 O FA 12
48 60 55920 26 CFR 1.6001.1
ACTACO CORPORATE 1 V CY 12
24 36 55920 26 CFR 1.6001.1
ACTAFE FEDERAL 1 V FA 12
24 36 55920 26 CFR 1.6001.1
ACTAFO FOREIGN 1 V FA 24
96 120 55930 29 CFR 516.2
ACTALO LOCAL 1 V FA 12
24 36 55920 26 CFR 1.6001.1
ACTAPB PAYROLL 1 V FA 12
24 36 55950 26 CFR 1.6001.1
ACTAPR PROPERTY 1 V FA 12
24 36 55940 26 CFR 1.6001.1
ACTASA SALES 1 V FA 12
24 36 55960 26 CFR 1.6001.1
ACTAST STATE 1 V FA 12
VI. Purge Documents Selectively And Within Legal And Administratively Defined Requirements Using predetermined life-cycles (retention schedules) for each file series, the system identifies documents subject to purging. The system automatically identifies the "owner" of the document and the location of all copies, both Official and Informational. Such ownership is determined by virtue of the ownership of the file series of the document which in turn is determined by the functional responsibility of the cost center in the Chart-of-Accounts (organizationally). As noted above, the system captures the location and the cost center when the user "saves" a created (or modified) document based on information in the class table and location table. By use of the system a report may be produced identifying the selected document's key attributes allowing the "owner" to review the document and authorize the purge process, or any other access to or modification of a file series and records in the file series. The above described system may be implemented entirely in software as described below. Design Details The following is a description of an implementation of an Electronic Records System (ERS) according to the present invention as a computer program designed to assist in the management and long term storage of an organization's documents. Overview ERS is a client/server application to assist in the management of valuable corporate information. ERS maintains a record retention schedule detailing how information ought to be stored, where, and for how long. The application helps the user classify documents into groups of similar information. ERS provides document security. It can prevent unauthorized reading of or writing to official corporate information. ERS provides a means to search for documents pertaining to a specific subject, date range, author, etc. The system acts as a pointer to direct users to where information is stored. Definition of User Community The ERS application has four categories of user. Each group of users and their responsibilities are described below. Records Manager The Records Manager is responsible for the overall performance of the system. The manager has the greatest amount of authority and access. The responsibilities of the Records Manager are the following: Sets policy for record storage. This policy includes what media to use for long term storage. Creates new classes and maintains the retention schedule. Monitors the performance of the entire application. Re-classifies documents that have been mis-classified. Information Services The Data Processing, Management Information Systems, or the Information Services organization plays a role in the management of documents. Their responsibilities are defined below: Under the direction of the Records Manager, move documents from one media to another. For example, Information Services will be responsible for moving documents from disk to tape or microfiche. Also Information Services will be responsible for moving documents from one location to another. Movement of records will apply to only those media they deal with (Tapes, microfiche, etc.). Information Services will be responsible for maintaining the technical environment. This includes setting up databases, insuring that all users and servers are configured properly, etc. Department Coordinator The Department Coordinator is sometimes referred to as a `Super User`. They have more authority and system access than a normal user, but less than the Records Manager. The responsibilities of the Department Coordinator are the following: Provide training and technical support to users within the department. Monitors the performance of the system regarding departmental records. Creates and sets up new users. Enforces record retention policy for official records created by the department. Manages the logistics of moving records to and from a storage facility. User The majority of individuals accessing the system will be categorized as users. Their responsibilities are listed below: Properly classifies records they create. Enforces record retention policy for informational records created by them. Policies There are a number of office policies and procedure that need to be followed in order for ERS to be a successful application. Some of these policies are documented below. Users and Class Assignments Any user can assign any class to a document. They will not be prevented by the ERS application from assigning classes outside their area of the organization. However, audit reports will be made available to the Departmental Coordinators and Records Manager to help insure that classes are being used properly. No Class Attribute Overrides Each class has attributes. There attributes are retention period, record type (official, informational), sensitivity, and vital flag, etc. Users can not override these values with their own when storing a document. If they need different attribute values than what is associated with a given class, then they should contact the Record Manager. The Record Manager may then create a sub class having the attribute values desired by the user. Classification Owner There will be one cost center that owns each classification. A classification will no be the responsibility of two or more cost centers. The cost center the owns a classification is responsible for all the documents that have been assigned to that classification. The cost center must insure that the inventory of documents is correct and properly maintained. Location and Class Assignment If a document is assigned a classification at the major level, then it can not be located in any archive facility. For example, if a document is classified as `AC` for accounting, then it can not be stored at a off site storage facility. If the same document was classified as `ACAP` for accounting, accounts payable, then it could be stored at a warehouse. One Production Database Per User A user can have access to several ERS databases. One for production work and one database for training, for example. However, no user will have write access to two production databases. There will be no support for across production database searches. System Functions All the capabilities of the system can be described as functions. Functions fall into five types. They are reports, updates, inquires, interfaces, utilities. These functions are described below by the group of user who will access them. User Functions All individuals who have access to the system will be able to operate the functions defined as follows: Application Package File Open Function From a word processing, spreadsheet, or presentation software package, a user will be able to pull down the package's File menu and activate the Open menu item. This will access ERS, automatically. The features of this function are described below. Search and Retrieve Feature The user will have the ability to retrieve and open a document by searching for its classification, synonym, or other attributes such as author, title, and/or date. If multiple documents are found that satisfy the users search criteria, a list of these documents will be displayed for the user to pick from. The documents being searched may be found on the users hard drive, shared network drive, or archive facility (Mezzanine). Application Package File Save Function From a word processing, spreadsheet, or presentation software package, a user will be able to pull down the package's File menu and activate the Save or Save As menu items. This will access ERS, automatically. The features of this function are described below. Document Storage Feature The users will have the ability to store at document on their hard drives, shared network drives, or archive facility (Mezzanine). Regardless of where the user stores the document, they will have the ability to manage their documents with ERS classifications and synonyms. Classification Assignment Feature Users will be able to assign any classification directly to the document. Or, users can select a corporate synonym (official term or keyword) to be applied to the document. Behind the scenes, ERS will assign the classification associated with the corporate synonym to the document. Also, the user may wish to assign one of their own synonyms to the document. ERS will automatically translate from the user's synonym to the appropriate corporate synonym and assign the classification to the document. Synonym Maintenance Feature Users will have the ability to add, change, or delete their own synonyms. They may create synonyms different than the corporate synonyms. However, user created synonyms must be related to corporate synonyms. User synonyms will be children of a corporate synonym. Attribute Maintenance Feature When saving a document, a user will have the ability to store other attributes about the document. These attributes are title, subject, author, date created, etc. Stand Alone ERS User Functions Not all the functions the user needs can be accessed via an application package such as Microsoft Word. There will need to be a stand alone ERS application (.EXE) the user can run. The functions contained within this facility are described below. Update Functions
Inventory Maintenance The ability to correct mis-assigned
classifications given to items in inventory.
This function assists the user in properly
assigning classifications to documents.
Inventory Entry The ability to add an item to inventory and
to assign it a classification. This function is
needed to store items that are not word
processing documents, spread sheets, or
presentations. Such items might be Write,
text, or bit mapped files.
Inventory Request The ability to request via the system that an
inventory item be (1) moved to an off site
storage facility, (2) retrieved from an off site
storage facility, (3) changed from one media
type to another.
Synonym Maintenance The ability to add, change, or delete user
synonyms.
User Profile Maintenance This update function would allow a users to
change information the system stored about
them. Such information as phone number,
mail stop, spread sheet directory name, and
location would be fields a user could
change. The function would not allow them
to change their user group or create a new
user.
Inquiry Functions
Inventory Retrieval The ability to search and view a document in
inventory. This function is needed to
retrieve items that are not word processing
documents, spread sheets, or presentations.
Such items might be Write, text, or bit
mapped files.
Reporting Functions
Inventory Detail Reports The ability to display what items are in
inventory by retirement date, or by class, or
by age. The purpose of these reports is to
help the user (1) re-assign classification
codes (if needed), (2) retire inventory items.
Synonym Reports Listings of the user's synonyms by
classification or corporate synonym. The
purpose of these reports is to help the users
determine which of their synonyms they no
longer need.
Department Coordinator Functions The Department Coordinator would have access to the same functions as the normal user. However, in their stand alone ERS application they would access to these additional functions. Update Functions
User Maintenance The ability to add, change, or delete information
about a user, the group they belong to, and the
classes they can assign to a document.
Inventory The ability to change an inventory item's
Maintenance classification, location, or media. This update
function helps the Department Coordinator correct
mis-assigned classifications and move inventory
items from one location to another.
When changing an inventory items media, this will
create a media request. A media request is a note to
Information Services that items found on hard disk
need to be moved to CD
Reporting Functions
Inventory Detail The ability to display what items are in inventory by
Reports department and cost center, or by retirement date, or
by class, or by media type and age. The purpose of
these reports is to help the Department Coordinator
(1) retire inventory items, (2) move inventory items
from one location to another.
Inventory Count The ability to count the quantity of inventory items
Reports by age, or by department and cost center, or by
retirement date, or by classification. The purpose
these reports is to help the Department Coordinator
(1) understand how many items are inventory and
their age, (2) determine if classifications are being
properly used, and (3) manage the retirement
process.
Center Retention The purpose this report is to display those items in
Required inventory that are approaching the end of their
office retention period and starting their center
retention period. These inventory items may
require a media change and/or location change.
This report would be used to issue inventory
requests for media change. This report would help
the Department Coordinator manage the logistics of
moving records to and from a storage facility.
Classification Audit The purpose of these reports are to display where
Reports classifications may be mis used. The reports should
list (1) the documents assigned classifications that
are not approved by the Departmental Coordinator
for application by the user, and (2) the documents
only assigned a major classification.
Inventory Requests The purpose of this report is to display the
Report documents that need to be (1) placed in a off site
storage facility, (2) retrieved from an off site
storage facility, and/or (3) under go a media change.
This report would help the Departmental
Coordinator manage the logistics of moving records
to and from a storage facility.
Static Table Listings The ability to list the contents of various static
tables such as record type, sensitivity codes,
retention start codes, synonyms, classes, users, user
groups, organization structure, media types, and
locations.
Information Services Functions The Information Services organization needs some of the same functions of the Department Coordinator, but not all. Information Services needs to be able to maintain inventory locations and media. They will also need the same inventory reports and media life reports available to the Department Coordinator. In addition, the following functions would be available to only Information Services users. Update Functions There are several update functions that only Information Services personnel would use. These functions are described below.
Database Definition The purpose of this function is to describe the
various ERS databases that may be at an
organizations and their addresses.
Function The purpose of this update is to record what
Maintenance functions are in the system, which tables or
database objects they access, which user groups can
run them. This update would also maintain how a
report is sorted and what columns can be used in its
selection criteria.
Batch Functions The following functions are intended to run once a day in the evening hours. The overall purpose of these functions is to keep the various ERS servers in sync with one another and healthy.
Function Usage ERS will record who is running what, when, and for
Maintenance how long. This usage activity can create a large
volume of data in a short period of time. For this
reason, there will be a batch job available to remove
usage activity prior to a certain date. In this
fashion, the Records Manager can select to keep
usage information for only one quarter, for
example.
Security Grants The purpose of this batch job would be to re-do all
the security grants on all the database objects
(tables, view, etc.) to match what is defined in the
function and user group tables. This batch job
would be run during implementation of a new
release of ERS.
Records Manager Functions The Records Manager would have access to all the functions available to the normal user and the Department Coordinator. However, the Records Manager would have access to the following additional functions in their stand alone ERS application. Update Functions
Class Maintenance Add, change, or delete information about
classifications, abstracts, and retention schedules.
Synonym Add, change, and delete synonyms used corporate
Maintenance wide. These synonyms are also referred to as
keywords and official terms.
Static Table Add, change or delete rows from any of the
Maintenance application's static tables. Static tables would
include record type. sensitivity codes, retention start
codes, synonyms, classes, users, user groups,
companies, departments, and cost centers, media
types, buildings, aisles, and locations, etc.
Reporting Functions
Class Availability Display a list of classifications available and
Report applied by company, departments, cost centers, and
user. The purpose of this report is to determine if
departments are potentially mis-using
classifications.
Function Usage List the system function number, title, and the
Reports quantity of times it was accessed by department,
cost center, and user. The purpose of this report is
to support a activity analysis or charge back.
Data Dictionary Database columns definitions by column name and
Reports table name. The purpose of these reports is to
educate the record manager and developers as to
what is stored in the database and where.
Catalog of Functions The purpose of the catalog of functions is to display a summarized list of all the update and reporting capabilities of the system by type, subject, name, and description.
Type Subject Name Description
Reports Class ERS110 Class Authority Report.
ERS120 Class Usage Report.
ERS130 Classification Audit Report.
Dictionary ERS150 Data Dictionary Report.
Function ERS210 Function Usage Report.
ERS220 Function/Object Relationship.
ERS230 Function/Column Relationship.
ERS240 Function/Sort Relationship.
Inventory ERS250 Center Retention Required.
ERS255 Inventory Detail Report.
ERS260 Inventory Count Report.
ERS265 Inventory Request Report.
ERS270 Inventory Retirement Required.
ERS275 Inventory Retrieval.
Synonym ERS310 Synonym Report.
User ERS340 Group Function Access Report.
ERS350 User Class Access Report.
Tables ERS410 Location Report.
ERS415 Location Type Report.
ERS420 Media Type Report.
ERS425 Organization Report.
ERS430 Organization Type Report.
ERS435 Record Type Report.
ERS440 Retention Reference Report.
ERS445 Retention Start Report.
ERS450 Sensitivity Report.
Batch Function ERS510 Function Usage Maintenance.
Inventory ERS520 Inventory Statistics Maintenance.
Security ERS510 Grant Creation.
Update ERS610 Class Maintenance.
Class Function ERS650 Function Maintenance.
Update ERS710 Inventory Entry.
Inven- ERS720 Inventory Maintenance.
tory ERS730 Inventory Re-Classification.
ERS730 Inventory Request.
Synonym ERS750 Keyword Maintenance.
ERS760 Synonym Maintenance.
User ERS810 User Maintenance.
ERS820 User Profile Maintenance.
Tables ERS905 Database Definition.
ERS910 Location Maintenance.
ERS915 Location Type Maintenance.
ERS920 Media Type Maintenance.
ERS925 Organization Maintenance.
ERS930 Organization Type Maintenance.
ERS935 Record Type Maintenance.
ERS940 Retention Reference Maintenance.
ERS945 Retention Start Maintenance.
ERS950 Sensitivity Maintenance.
Utilities Inventory ERS010 Application Package, File Open.
ERS020 Application Package, File Close.
ERS030 Application Package, File Save.
Generic Description of All Function and Features The purpose of this section of the document is to describe, in a generic fashion, what the system will be able to do. This section defines the functions and features of the application. Any system is made up of functions. Functions are software that produce menus, reports, updates, interfaces, and utility activities. Features are the capabilities of each function. For example, reporting functions have the capability to output their information to the screen, the printer, or to an extract file for easy entry into a spread sheet. These output routing capabilities are all features of a reporting function. Menu Functions The purpose of menus is to provide access to all other functions of the system. Pull down menus are placed at the top of each window. The features of all menus are described below: Function Access All menus will provide access to the various functions of the system. An example of the pull down menus and their options would be the following:
File
New
Open
Delete
Close
Print
Printer Setup
Exit
Edit
Undo
Cut
Copy
Paste
Clear
Find
Go To
Search
Sort
Filter
View
First Page
Prior Page
Next Page
Last Page
Toolbars
Date and Time
Maintenance
Update 1
Update 2
Etc.
Reports
Report 1
Report 2
Etc.
Window
Tile
Layered
Cascade
Arrange Icons
Window 1
Window 2
Etc.
Help
Contents
Search for Help on
How to Use Help
About ERS
Micro Help As a user points to a menu option and holds the left mouse
button down, they will see a one line description of that
menu option at the bottom of the window.
Button Bar A bar of push buttons will be located just below the menu
at the top of the window. The push buttons will contain
icons symbolizing frequently used functions or menu
options. Thereby a user can access a function one of two
ways. The first method is by pulling down the appropriate
menu and clicking on the option desired. The second
means of accessing a function would be to click on the icon
for the function found on the button bar.
Disabled The pull down menus will show all functions planned for
Functions the application at all times. However, some of the
functions will appear in gray letters. These will be the
functions that are not completed and are not available for
use. As the system development effort continues, more and
more of these functions will be enabled and will appear in
black letters. In this fashion, a user can see all the
functions of the system, and what is available for use today.
User Access The functions an individual user can access will depend
upon the level of security. Certain users will have all of
their menu options enabled, others will not. The functions
each user can access will be assigned by the Records
Manager.
Reporting Functions Reports are functions used to output information. Reporting functions can produce output in tabular listings, graphs, or spread sheets formats. This output can be sent to the screen, a printer, or a file directory. The features of reporting functions are the following:
Custom Sub The user will have the option to create their own report sub
Heading heading that will appear at the top of each page. The sub
heading can be used to document the items selected or their
purpose for running the report.
Selection The user will have the ability to limit the size of the report.
Criteria They will be able to select one or more columns on the
report and state what values they would like to have
retrieved for those columns. For example, if department
number is a column on a report, then a user will be able to
state which departments should appear on the report.
For inventory related reports, users will have the ability to
do string search on the title and description of items.
Variable Each report can have more than one method of sorting.
Sorting The user will have the ability to select, from a pre-set list,
how the information should be sorted.
Routing of Each report can be routed to one of three different places.
Output The report can be viewed on the screen, sent to a printer, or
placed in comma delimited file. The comma delimited file
can be read by Lotus or Excel spread sheet software.
Report On the last page of each report will be displayed the sort
Footing sequence and selection criteria used to create the report. In
this fashion, the reader of the report will know that the
report may not contain all the information in the system.
Print After Every report routed to the screen will have the ability to be
View printed. This feature will allow the users to view the first
several pages of a report, and then print it, if they desire.
Micro Help Every object of the window used to specify report sub-
headings, selection criteria, sorting, and routing will have a
help message associated with it. The help message will
offer a one line description of the object.
Usage Just prior to exiting a reporting function, the system will
Tracking post to the database the name of the reporting function run,
rows retrieved, the user's ID, date, and time. In this
fashion, tracking of reporting function usage and charge
back activities can be supported.
Update Functions Update functions provide the ability to add, change, or delete records in the database. The features of update functions are the following:
Add, A single update function will allow the user to add new
Change, records, change existing ones, or delete records from a
Delete table. The user will not have to select three different
update functions from a menu to maintain one table.
Point and The user will not have to know key field values such as
Shoot department numbers, building numbers, or document
numbers. In each update function, they will be shown a list
of records that can be updated. Then, they can point to an
existing record to change it, or delete it. By displaying a
list of existing records in a table first, the user can scroll
through them and decide which one they would like to
update.
Drop Down The user will not have to memorize codes to operate update
Lists functions. If a code field value is asked for on a data entry
window, it will be displayed in a drop down list box along
with its description. For example, if a user must input an
cost center number, then they will be given a drop down list
box containing cost center number and names to choose
from.
Drag and Where ever possible, ERS will allow the user to drag an
Drop object on to a command button to signal that they wish to
perform the command.
Jumping If several windows are used to collect all the data being
entered into a table or group of tables, then the user will
have the ability to jump from one window to another. For
example, an update function could consist of three
windows. The first could be a list of documents to update.
The second window could be all the descriptive
information about the document. The third window could
be used to input key words or phases about the document.
The user would not be forced into going from the first, to
the second, and then to the third window. They would be
given push buttons to jump from the first window to the
third, and from the third to the second window. In this
fashion, the user would not be forced into traversing
through several windows in a pre-set pattern to enter the
data.
Validation Each field will be validated at the time the user moves the
cursor from one field to another on a data entry window.
This will prevent the user from entering several fields of
erroneous information before realizing that any of it is
wrong.
Referential All update functions will use referential integrity rules.
Integrity These rules will prevent deletion of code values being used
else where in the system. For example, a user will not be
able to delete a department number from the department
table if it is being used to describe a document in the
inventory table.
Confirmation At the bottom of each data entry window, in an update
function, would be several push buttons. These buttons
would be used to signal the computer to write the
transaction out to the database, or cancel the transaction.
Each time one of these buttons is pressed, the user will see
a message a the bottom of the window confirming the
computer's actions.
Micro Help Each object and field in a data entry window will have a
help text associated with it. This one line of help message
will appear at the bottom of the screen when the object or
field is clicked on.
Usage Just prior to exiting an update function, the system will post
Tracking to the database the name of the update function run, the
quantity of records processed, the user's ID, date, and time.
In this fashion, tracking of update function usage and
charge back activities can be supported.
Process Model The purpose of a business process model is to show the relationship between people, systems, data, office policy and procedures, and documents. Node Tree Diagrams A component of a business process model is a node tree diagram. FIG. 8 shows the major activities associated with an application. FIGS. 9 through 11 show the node tree diagrams for ERS. Database Design The application will store its information in a set of relational tables. The total size of the database is expected to be approximately 500 Megs of disk space for a 300,000 inventory items. There will be roughly 1,200 total users, about 300 will be activity at any point in time. Entity Definitions The nature of each table in the database is described in the following entity definitions.
Entity Name Entity Definition
Access The purpose of this entity is to store the
access codes and descriptions. Access
codes are select, update, insert, and deleted.
Class The purpose of this entity is to store the all
the information about a classification. This
information contains classification code,
title, retention periods, record type,
sensitivity, etc.
Data Dictionary The purpose of this entity is to store entity,
attribute, and physical column information.
This entity is used to support data
dictionary reporting.
Function The purpose of this entity is to store a valid
list of system functions. System functions
are window objects such as reports,
updates, inquiries, interfaces, etc.
Function Column The purpose of this entity is to store a valid
list of columns than can be used to limit
retrieval of a reporting function.
Function Column Last Used The purpose of the last used function
column entity is to record the selection
criteria chosen by a specific user when a
report was run. This entity supports storing
the last query parameters applied by a user
for a given report.
Function Data Window
Function Sort The purpose of this entity is to store a valid
list of storing options that can be applied to
a reporting function.
Function Sort Last Used The purpose of the last used function sort
entity is to record what sort sequence a user
requested the last time they ran a specific
report. This entity support recalling the
last query for a report and user.
Function Subject The purpose of this entity is to define what
area of interest, for the user, the function
relates to.
Function Type The purpose of this entity is to store a valid
list of function types. Function types are
used to group functions together. Function
types are reports, updates, interfaces, etc.
Function Usage The purpose of this entity is to track who
has accessed a function of the system and
when. This entity could be used as a basis
for activity analysis and usage charge back
costing.
Inventory The purpose of this entity is to store
information about an item in inventory.
The information includes title, date stored,
media, classification, etc.
Inventory Abstract
Inventory Request The purpose of this entity is to store
requests to move inventory from one form
of media to another. For example, request
to move documents from disk to tape.
Once the media has been moved, the
request is deleted. No past history of
media requests are stored.
Inventory Statistics The purpose of this entity is to store the
quantity of items in inventory for each
class, record type, level one location, and
month. These statistics can be used to
determine if classifications are being
properly applied.
Location The purpose of this entity is to store a valid
list of locations. Locations can be storage
areas, buildings, property, shelves, drawers,
etc.
Location Type The purpose of this entity is to store valid
location types. Location types are
building, floor, aisle, storage area, shelf,
property number, drawer, etc. The location
type also denotes what level of the
hierarchy the location can be found.
Media Type The purpose of this entity is to stare a valid
list of media types and descriptions. Media
are hardcopy, disk, tape, CD, microfiche,
etc.
Object Identification The purpose of this entity is to store the last
identification number assigned to a table.
For example, the last class identification
assigned to the class table.
Organization The purpose of this entity is store a valid
list of companies, departments, and cost
centers.
Organization Type The purpose of this entity is to store a valid
list of organization types. For example,
company, department, cost center are all
organization type. This entity also defines
what level of the organization hierarchy the
organization will be found on.
Record Type The purpose of this entity is to store the
valid record types and their descriptions.
Valid record types would be official and
informational.
Request Type the purpose of this entity is to store a valid
list of inventory request type codes and
descriptions. Inventory request types are to
change media or to move to or from offsite
storage.
Retention Reference The purpose of the retention reference
entity is to store the text of the law or
regulation that governs a set of classes and
their retention periods.
Retention Start The purpose of this entity is to store a valid
list of retention type codes and
descriptions. Retention types define when
a record's retention period begins.
Sensitivity The purpose of this entity is to store a valid
list of sensitivity codes and descriptions.
Sensitivities are confidential, secrete, etc.
Synonym The purpose of this entity is to store
alternative names for a classification. A
synonym may be a classification code, a
portion of the classification name, or a
commonly used alternative to the
classification name.
User The purpose of this entity is to store a list
of valid users for the system.
User Class The purpose of this entity is to store every
classification the user has access to and
may assigned to documents. The classes
are initially set up by the Departmental
Coordinator.
Entity Relationship Diagram FIG. 12 is the entity relationship diagram. Its purpose is to provide a high level view of the database and its structure. The diagram shows each table in the system and how it relates to other tables. The solid lines between entities denotes identifying relationships. The dotted lines denotes non-identifying relationships. Attribute Definitions Following are the attribute definitions. Attributes are the columns that can be found in each entity or table within the database. The definitions are sorted by entity name and attribute name.
Entity Name Attribute Name Attribute Definition
Access Access Code User assigned identification code.
The access code defines what a
user can do to a database object.
Access codes are S = Select,
U = Update, I = Insert,
D = Delete. If a user
has an access code of I or D
then they can automatically do U
or S. If a user has an access code
of U then they can also do S.
Access Description Long name, description, or title for
code. The access description
stores the meaning of the access
code. For example, insert, update,
delete, and select are all
descriptions of access codes.
Last Changed Date
Last Changed By
Timestamp
Class Class Identification System assigned identification
number. The class identification is
the unique identifier for the
classification. This integer is a
system assigned value, not user
assigned.
Abstract Description of classification. The
abstract is the legal definition of
the classification.
Class Code User assigned identification code.
The class code is a 10 character
user assigned classification code.
The first two characters of the
class code are the major class. The
third and fourth characters are the
primary class. The fifth and sixth
characters are the secondary class.
Characters 7-8 represent the next
relationship level. Characters 9-10
represent the last relationship
level.
Classification Title Long name or title for class. The
classification title is the name of
the class code.
Classification Class title and all parent class
Title Extended titles. The extended classification
title contains the titles of all the
parent classifications plus this
classification's title. For example,
if this classification code is ACAP,
then the extended classification
title is `Accounting, Payables`.
Center Retention Quantity of months in offsite
Months storage. The center retention
months is the quantity of months
an inventory item is held in a
records center or off site storage
facility. The office retention plus
the center retention months equals
the total retention period for a
classification.
Organization System assigned identification
Identification number. The organization
identification is the unique
identification for a company,
department, or cost center. The
integer value is system assigned,
not user assigned. Organizations
own users and classifications.
Created By User ID of person who created the
class. The created by column
contains the user identification of
the Records Manager who created
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