U.S. patent application number 09/778029 was filed with the patent office on 2002-01-24 for defining a uniform subject classification system incorporating document management/records retention functions.
Invention is credited to McIntosh, Lowrie.
Application Number | 20020010708 09/778029 |
Document ID | / |
Family ID | 24883934 |
Filed Date | 2002-01-24 |
United States Patent
Application |
20020010708 |
Kind Code |
A1 |
McIntosh, Lowrie |
January 24, 2002 |
Defining a uniform subject classification system incorporating
document management/records retention functions
Abstract
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.
Inventors: |
McIntosh, Lowrie; (Pasadena,
CA) |
Correspondence
Address: |
BLAKELY SOKOLOFF TAYLOR & ZAFMAN
12400 WILSHIRE BOULEVARD, SEVENTH FLOOR
LOS ANGELES
CA
90025
US
|
Family ID: |
24883934 |
Appl. No.: |
09/778029 |
Filed: |
February 5, 2001 |
Related U.S. Patent Documents
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Application
Number |
Filing Date |
Patent Number |
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09778029 |
Feb 5, 2001 |
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09176394 |
Oct 21, 1998 |
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6185576 |
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09176394 |
Oct 21, 1998 |
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08717897 |
Sep 23, 1996 |
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Current U.S.
Class: |
715/229 ;
707/E17.008; 707/E17.058; 715/201; 715/273 |
Current CPC
Class: |
G06F 16/30 20190101;
G06F 16/38 20190101; G06F 16/93 20190101; Y10S 707/99953
20130101 |
Class at
Publication: |
707/500 |
International
Class: |
G06F 015/00; G06F
017/00; G06F 017/21; G06F 017/24 |
Claims
I claim:
1. A computer implemented method for uniformly classifying
documents comprising the steps of: a) assigning to a document to be
classified a set of predetermined class codes from a class
database, said class codes arranged in a hierarchy from general to
specific; b) assigning a retention period to said document; c)
storing the class code and retention period assigned to said
document as part of a record in a document database.
2. The method defined by claim 1 wherein each of said class codes
is selected from terms used in business and government.
3. The method defined by claim 1 further comprising the steps of:
a) assigning to said document a document type; b) storing the
document type assigned to said document as part of said record in
said document database.
4. The method defined by claim 3 wherein said assigned retention
period is based upon the class code and document type assigned to
the document.
5. The method defined by claim 3 wherein said document type is one
of official, informational, vital and sensitive.
6. The method defined by claim 1 further comprising the steps of:
a) assigning to said document a media type and location; b) storing
the media type and location assigned to said document as part of
said record in a document database.
7. The method defined by claim 1 wherein at least one of said class
codes has at least one associated synonym stored in a synonym
database.
8. The method defined by claim 1 further comprising the steps of:
a) searching said document database by class code and b) generating
a display showing matching records.
9. The method defined by claim 7 further comprising the steps of:
a) receiving a term as search parameter; and b) searching said
document database using said search parameter by class code and
generating a display showing records in said document database
where said search parameter matches the class code, and if no
matching records are found, searching said synonym database and
generating a display showing records in said document database
having a class code associated with a synonym which matches said
search parameter.
10. The method defined by claim 7 wherein said synonym database is
customizable at a user workstation for use by a user at said user
workstation.
11. The method defined by claim 9 further comprising the step of:
a) assigning to said document a document access code specifying
permitted user access based on at least one of a chart of accounts
and an organization chart; b) stored the access code in said
document database; c) assigning to a user a user access code based
on said user's position within at least one of said chart of
accounts and said organization chart; d) preventing said user from
accessing records in said document database which do not have a
document access code which matches said user's user access code.
Description
BACKGROUND OF THE INVENTION
[0001] The exponential growth of information within an enterprise
which is stored in individual document form has created a need for
a reliable mechanism to purge individual documents when no longer
legally or otherwise required, as well as locate them in an
efficient manner.
[0002] In an age when the growth of information contained within
documents has been exponential, a missing element is the ability to
determine the proper life cycle for a document, and thus, make it
possible for the document to be purged on a scheduled basis.
However, to safely accomplish this purging process, a document
management system typically requires that a significant amount of
detail be stored with the document.
[0003] Since all retention scheduling is based on the subject
matter of a document, it is essential that the system identify the
subject matter of all documents in a consistent manner.
Additionally, the terms used to identify the subject matter must
conform to the terms used in legislation to identify documents as
well as the terminology in current use within the enterprise.
[0004] The present invention provides a reliable mechanism to
accomplish this task.
[0005] In systems having this capability, the "type" of document
must also be determined. Different types of documents within the
same subject matter area may have different retention requirements.
The system must be able to determine the type of document at the
outset. This "type" information specifies whether a particular
document is "official" or "informational" and whether it is also
"vital" or "sensitive." The type of document determines the level
of protection afforded and has a direct impact on determining the
life-cycle of the document. Additionally, document type impacts the
decision as to the media selected to store it, whether electronic,
paper or film.
[0006] Official documents are those documents identified in a
retention schedule as having either administrative or legislative
retention requirements. Properly, only official documents are
subject to archiving.
[0007] Informational documents (largely copies) have their own
destruction schedule based on need. They are not archived and their
life cycle must not exceed official documents of the same subject.
They are destroyed at the office level when their usefulness is
over. Normally, informational documents have a substantially
shorter life-cycle than official documents pertaining to the same
subject.
[0008] Vital documents are those that are absolutely essential to
the conduct of the enterprise and whose loss would be hugely
expensive or would irrefutably damage continued operations.
[0009] Sensitive documents contain, for example:
[0010] 1. Personnel information which provides confidential
data.
[0011] 2. Information that in the hands of a competitor could be
used to embarrass or cast a bad image on the enterprise with its
customers or the public.
[0012] 3. Marketing, product development or corporate changes that
could sabotage effectiveness.
SUMMARY OF THE INVENTION
[0013] A system is disclosed for providing a true interlingual
mechanism to achieve uniformity when classifying documents by
subject to assist in the management, complying with retention
requirements and long term storage of documents of an organization.
In this connection, as used herein, the term document includes,
without limitation, the hard copy and digitally stored version of
the output of a computer program such as a wordprocessor, microfilm
or microfiche, correspondence of all types and office folders which
themselves may contain documents. Although not a document by this
definition, objects such as furniture and the like may also be
classified by creating a label (in this case, the document) which
contains all of the relevant classification information for the
object. Using generic terminology in a hierarchical structure, use
of the system directs a user of the system to a single
classification for any document. The system captures acronyms,
vernacular and industry specific terms 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 the hierarchical structure capturing differences in
individual perception.
[0014] Legislative terminology describes document retention
requirements by subject. In this connection, two major issues
exist:
[0015] 1. Documents whose retention is covered by legislative
requirements must be retained a prescribed period of time, after a
certain event takes place, e.g., after an audit is completed, when
the document is superseded, when its purpose has been completed
(such as a contract) and for certain corporate documents).
[0016] 2. Legal penalties exist, including fines, where purging of
documents occurs before their legal requirements have been met. On
the other hand, retaining documents longer than their legal
requirement can have both a "sword and a shield" effect where
litigation is concerned.
[0017] With billions of documents being filed every day, the volume
of documents subject to legislative retention offer additional
justification for a system that makes retrieval inexpensive and
predictable. Current practices involving the classification of
documents make it difficult to identify documents by subject.
However, retention legislation identifies documents by subject.
[0018] Accordingly, all documents must be identified by subject and
ultimately destroyed consistently with the enterprise's official
retention schedule.
[0019] In most cases legislation is silent as to the specific media
to be used to "house" a document, This means that legislative
retention requirements apply to all media. For example, if the
paper document is destroyed and it continues to exist on magnetic
media, the retention schedule is not effective and is not being
enforced. This invention provides a reliable structure to
accomplish compliance with all legislative retention
requirements.
[0020] In addition to classifying documents to ensure compliance
with legislatively or other required retention schedules, as a
bi-product, the invention includes the capability of searching for
the location of a particular document. To use the system for the
location of any particular document, a descriptive term is entered
at a query prompt that the user believes best describes the subject
matter of the document in question. If this entry results in a hit,
all information pertaining to the document is then available to
query. An example of a screen display in which such a query may be
made is shown in FIG. 3. For example, entry of a descriptive term
produces a particular subject classification (i.e., a class code as
described below).
[0021] For a typical user, there is just a small set of documents
within his or her responsibility. Thus, once within this relatively
small set of documents, if only those assigned a particular class
code are deemed to be "hits," the user is able to easily select the
correct document from the set of hits. For users whose
responsibility includes a large set of documents such that it would
not be feasible to select a desired document from a list of
documents assigned a particular class code hit list, a full range
of attribute filters would be available to narrow the hits.
Examples of such attribute filters include location (physical
location such as file cabinet or work station), acronym (class
codes, alpha and/or numeric references, i.e., form numbers,
department IDs), organizational unit (cost center number,
department number), subject description (i.e., class code), label
description (e.g., three line description for a particular tangible
asset as shown in FIG. 1. If the entry term does not find a match
in the hierarchical structure, the system will search a synonym
database for a match. If the search of the synonym database also
does not yield the desired document, it must be concluded that the
desired document has not been classified.
[0022] By arranging terms from the general to the specific in a
consistent classification format, the system is able to specify a
physical location for a hard copy of a document by office, box, in
draw and folder, or of a document on magnetic or similar media by
diskette location, hard disk drive location (i.e., computer) or
network drive location (i.e., server) and file name. In this
manner, for each document within a set of records, linking all
relevant administrative document management functions and legal
retention requirements for each document classified in the system
is possible.
[0023] Selective and timely purging of documents is thus made
possible, greatly facilitating the management of information for
both current and prospective use.
BRIEF DESCRIPTION OF THE DRAWINGS
[0024] FIG. 1 is a screen display showing a query screen for
performing a search.
[0025] FIG. 2 is a screen display showing a list of synonyms.
[0026] FIG. 3 is a screen display showing a query screen for
performing a search.
[0027] FIG. 4 is a screen display showing the results of a query of
the type shown in FIG. 3.
[0028] FIG. 5 is a screen display showing a query screen for
performing a search.
[0029] FIG. 6 is a screen display showing the results of a query of
the type shown in FIG. 5.
[0030] FIG. 7 is a screen display showing the results of a query of
the type shown in FIG. 5.
[0031] FIG. 8 is a block diagram showing a high level view of the
functions performed by the invented system.
[0032] FIG. 9 is a block diagram showing the store documents
function.
[0033] FIG. 10 is a block diagram showing the maintain inventory
function.
[0034] FIG. 11 is a block diagram showing the maintain system
function.
[0035] FIG. 12 shows the layout for the entity relationship diagram
shown in FIGS. 12A-12F.
[0036] FIGS. 12A-12C show the first row of Figures forming the
entity relationship diagram.
[0037] FIGS. 12D-12F show the second row of Figures forming the
entity relationship diagram.
[0038] FIG. 13 shows the layout for the logical database model
shown in FIGS. 13A-13L.
[0039] FIGS. 13A-13D show the first row of Figures forming the
logical database model.
[0040] FIGS. 13E-13H show the second row of Figures forming the
logical database model.
[0041] FIGS. 13I-13L show the third row of Figures forming the
logical database model.
[0042] FIG. 14 shows the layout for the physical database model
shown in FIGS. 14A-14L.
[0043] FIGS. 14A-14D show the first row of Figures forming the
physical database model.
[0044] FIGS. 14E-14H show the second row of Figures forming the
physical database model.
[0045] FIGS. 14I-14L show the third row of Figures forming the
physical database model.
DETAILED DESCRIPTION OF THE INVENTION
[0046] This invention is a computer based system which provides a
reliable structure to properly identify and track documents used by
an enterprise throughout their life cycle to provide an efficient
and easy to use mechanism to ensure that document retention
requirements are complied with while enabling the orderly
destruction of documents once their retention requirements have
been satisfied.
[0047] In order to meet all the requirements of a document
management system, it is necessary to develop a technique for
classifying documents by subject. For this reason, the requirements
of a document management system are more disciplined than any other
component of an information resource management environment. One
particular component is a detail tracking mechanism that must be in
place to know where each document is and how many copies exist so
that they all may be destroyed according to schedule.
[0048] Schedules must be rigorously followed. If the documents in
question have to do with a litigation, the court in which the
litigation is pending will test to determine if a true schedule
exists and if records are destroyed in accordance with the
schedule. If a true retention schedule does not exist, the company
can be sanctioned for destroying records related to the case. The
source of protection, and limiting exposure, lies within a
disciplined document management program and enforcement of document
retention policies covering all media.
[0049] Classification is performed when the document is created.
There are a number of reasons for developing software that makes
retrieval easier and control and tracking a bi-product of the
processing which of necessity is already being performed. One
factor which leads to performing document classification at
document creation is placing the responsibility for classifying the
document on the individual creating the document. The individual
creating the document is in the best position to provide its proper
classification. The time it takes to learn proper classifications
for the subject areas involved for the normal user is relatively
short, typically a matter of hours. This small investment in time
substantially reduces the time required for searches to locate
documents for retention schedule compliance and for retrieval.
Learning to classify at the time a document is "saved" enables the
use of the same procedure when a search needs to be performed.
[0050] Almost all search engines in use today rely on various
mechanical techniques and sophisticated algorithms to find
documents that have been saved by an author using "on-the-fly"
techniques for classifying. This invention provides a mechanism for
the author/creator of the document to classify the document
properly, and, in such a form that anyone searching for the
document would, following the same sequence, find the document with
ease. This makes investing a small amount of time on the "save"
side important because it makes the search time much more
productive and far quicker than prior art approaches.
[0051] The selection of terms and what are referred to as classes
used in a hierarchical structure to classify documents must be of
the most generic form possible. Terms used in each class, i.e.,
Major, Primary, Secondary, Tertiary and Quaternary, requires that
each word has a relative relationship and the same value level as
any other word in that grouping. In order to simplify the subject
description, where possible, the first two letters of the word used
in each level of hierarchy is selected as its acronym.
[0052] In a very short period of time, the acronyms become easily
translatable as the individual users have an opportunity to work
with the system. This ease of learning is more easily understood
since the range of subjects in use by a predominance of users is
limited to a very small number, usually between 10 and 15 classes.
Rarely does anyone using a typical work station require global
searches, i.e., searches extending through multiple organizational
units. Such searches would require special security clearance and a
substantial knowledge of system navigation.
[0053] The invention also employs the intelligent use of synonyms,
i.e., a synonym database, as pointers. Synonyms are used to direct
the user to the "official" term for the appropriate classification.
To populate the synonym database, a document inventory is taken to
collect the local terms being used to describe documents. It should
be noted that a detailed inventory of document descriptions
currently existing (i.e., prior to implementation of the invention)
is not needed. However, when a system implementing the invention is
initially used, it is preferable that there be some inventory of
terms (synonyms) in use be available to the new users of the system
to improve acceptance of the system and productivity. This
inventory or synonym database can be created manually, i.e., by
manual entry as part of the Browse Synonym function shown in FIG.
9. The synonym database contains all or a subset of terms in use by
the organization to refer to a particular document instead of the
"official" term used to classify that document. A screen display
used for this purpose is shown in FIG. 2.
[0054] Synonyms are assigned to each level of the hierarchy. This
enables anyone to use a term that they perceive is related to the
subject matter and be directed to a unique official
classification.
[0055] There should be only one location in the hierarchy for any
document. If it appears that there is more than one location, it
generally means that the selected classification is not as precise
as it should be, and it is likely that an additional classification
should be added.
[0056] One of the most important strengths of using a synonym
database to link the elements of the hierarchy is that it makes
possible the use of local vernacular. Changes to the hierarchy are
rare, leaving its structure stable. Almost all changes can be
easily accomplished through changes in synonyms.
[0057] Because of the global scope of this invention, such as its
use on the Internet, the use of foreign language terms in the
synonym database makes it possible for the system to uniformly
classify documents (as well as any other item) using any language
throughout the world. With this range of flexibility, a unique
classification tool exists for any multi-national information
system.
[0058] One of the important aspects of this invention relates to
its record retention components which create a records retention
linkage. This includes tracking and providing a direct linkage to
the terminology used in the U.S. Code of Federal Regulations and to
similar legislative retention requirements of any other country. In
addition to identifying the media, it also catalogs the type of
record.
[0059] The document type determines the essential security
requirements for these documents.
[0060] Use of the invention provides a system that ensures
uniformity by all users when classifying documents by subject,
i.e., a uniform subject classification system. This invention
provides a hierarchically structured, subject oriented database,
populated with terms in current use by the enterprise (i.e., chart
of accounts and organizational chart) and by legislative references
which pertain to the retention of documents. A typical set of class
codes names with class code acronyms in a uniform subject
classification is shown in Appendix I.
[0061] When a document is "saved," as on a magnetic media, or
simply classified manually as in hardcopy documents, the system
provides classification tools that enable the process to "find" the
single proper classification in the hierarchy.
[0062] The "search" process is the reverse, where the search word
(subject description) is entered into the system and the
classification tools lead the user to the proper classification and
then to the document being sought.
[0063] Supplemental databases containing synonyms are available for
each line of the classification scheme. These databases can be
added to by the user and in this way translate acronyms, local
vernacular, abbreviations and foreign terms that reveal the user's
perception of the subject being sought.
[0064] Associated with all documents belonging to the same subject
(referred to as a "File Series") are a body of particular
attributes set forth by legislative or informational
requirements.
[0065] The invention provides a tracking mechanism to enable
protecting, finding and retrieving a document, or group of
documents (file series) when needed and to ultimately locate and
destroy them when their life-cycle has been completed, as specified
by an official retention schedule.
[0066] Using The Uniform Subject Classification System
[0067] I. Build A Classification Structure
[0068] Select terms from legislative, business, government and
other industry sources. Adapt terms used in the Code of Federal
Regulations, state statutes and terms that are industry specific.
Organize selected terms into hierarchical order, i.e., primary
class and sub-classes (i.e., secondary, tertiary, etc.).
[0069] II. Apply Synonyms To The Classification Structure
[0070] Assemble synonyms into a thesaurus and connect the synonyms
with a particular file series (i.e., a line in the class
hierarchy).
[0071] Build a database of local vernacular, acronyms, technical
terms, etc.
[0072] Organize the database into the classification structure
built in step I, appending to the synonym database, as
appropriate.
[0073] Modify major classes, primary classes, secondary classes,
etc. as required to fit the working environment.
[0074] III. Classify Documents
[0075] Determine major classes, e.g.,: Accounting, Administration,
Finance, Marketing, Corporate, Legal, Engineering, etc. Major
classes should be by functional class, not organizational
names.
[0076] Using the first two characters in the class description,
assign functional descriptions from the general to the specific,
under the selected major class, then do the same thing for the
selected primary class, secondary class, etc., until no further
delineation is needed to classify all documents of interest. In
most cases, no more than tertiary or quaternary classes are needed.
For example, a document containing "Employee Expense Accounts"
would be classified as follows:
[0077] AC Accounting (MAJOR)
[0078] PA Payables (PRIMARY)
[0079] EM Employee (SECONDARY)
[0080] which results in the Uniform Subject Classification
Code:
[0081] ACPAEM ACCOUNTING, PAYABLES, EMPLOYEE
[0082] Depending on need, class levels can be adjusted to fit local
conditions.
[0083] AD Administration Level 1
[0084] FA Facilities Level 2
1 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
[0085] With the above class levels, the following are examples of
acronyms which could be employed:
[0086] ADFAOF Administration, Facilities, Offices
[0087] ADFAOFFU Administration, Facilities, Offices,
Furnishings
[0088] ADFUDE Administration, Furnishings, Desk
[0089] ADFUAR Administration, Furnishings, Art
[0090] 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.
[0091] 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.
[0092] IV: Finding Documents using the Uniform Subject
Classification System
[0093] 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.
[0094] To determine what may be available to aid in the creation of
a new job description, enter lid 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.
[0095] 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.
[0096] 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.
[0097] Next, search for job descriptions that are involved with the
budgeting process to identify the terms used in describing the
tasks and skills required:
[0098] Enter the word "budget" as shown in the screen display of
FIG. 5.
[0099] With full security clearance, the system would return:
[0100] "FIBU" or Finance, Budgets.
[0101] as shown in the screen display of FIG. 6.
[0102] From the synonym table, the display would show the contents
of the class table for the item located by the search as
containing:
[0103] "HRJD" or "Human Resources, Job Description"
[0104] as shown in the screen display of FIG. 4.
[0105] 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.
[0106] 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.
[0107] V. Associate The Class Acronym With Retention Data
[0108] 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 CC# 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.
2TABLE I Class Med Rec Start Off RC RCopy No. Acronym Class Code
Name Typ Typ After Ret Ret CC# 124 AD Administration 0 O AR 12 0
125 ADFU Furnishings 0 O CT 12 24 993452 126 ADFUDE Desks 0 O SU 12
24 993452 127 ADFUDEEX Executive 0 O SU 12 36 993452
[0109] In Table I, each row corresponds to a file series.
[0110] The column labeled "No." contains a unique computer
generated numbers used to represent each file series.
[0111] The column labeled "Class Acronym" contains the
classification acronyms.
[0112] The column labeled "Class Code Name" contains the official
terms to describe documents.
[0113] 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.
[0114] The column labeled "Rec Typ" represents record type, i.e.,
Vital (V), Informational (I), Official (O), Sensitive (S).
[0115] 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.
[0116] The column labeled "Off Ret" represents office retention in
months.
[0117] The column labeled "RC Ret" represents records center
retention in months.
[0118] 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.
3TABLE 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
CAPITALASSETS 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 24 36 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 CER 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 CY 12
60 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 STATEMNT
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 V 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 16001.1 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 1.56-5 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 ACPALEVEQ 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 1.6001.1 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 B 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 24 36 55920 26 CFR 1.6001.1 ACTAUN
UNEMPLOYMENT 1 O FA 12 60 72 55945 26 CFR 31.6001.1 AD
ADMINISTRATION 1 O AR 12 0 12 20000 ADMIN. DECISION ADAG
AGENDAS/SCHEDULES 1 O CT 12 36 48 21000 ADMIN. DECISION ADAS
ASSOCIATIONS/ORGANIZATIONS 1 O CT 12 0 12 21000 ADMIN. DECISION
ADBU BULLETINS/PUBLICATIONS 1 O CT 12 24 36 21100 ADMIN. DECISION
ADBUDM DEVELOPMENT MATERIAL 1 O CY 12 6 18 21100 ADMIN. DECISION
ADBUFR FREIGHT BROCHURES 1 O SU 12 24 36 21100 ADMIN. DECISION
ADBUPD PRODUCTION 3 O CT 12 48 60 21000 ADMIN. DECISION ADCH
CHRONOLOGICAL FILES 1 O CT 36 0 36 22000 ADMIN. DECISION ADCO
COMMITTEES/MEETINGS 1 O CT 12 48 50 21000 ADMIN. DECISION ADCQ
COMMUNICATIONS 1 O CY 12 0 12 25000 ADMIN. DECISION ADCR CONSULTANT
INFORMATION 3 O CT 12 0 12 21000 ADMIN. DECISION ADCU
CORRESPONDENCE 1 O CY 12 24 36 22000 ADMIN. DECISION ADCUID
INTERDEPARTMENT 1 O CT 24 0 24 22000 ADMIN. DECISION ADCUIN
INSURANCE 1 O CT 120 0 120 22000 ADMIN. DECISION ADCUMK MARKETING 1
O CT 24 0 24 22000 ADMIN. DECISION ADDP EDP-INFORMATION SYSTEMS 3 O
CT 12 24 36 24000 ADMIN. DECISION ADDPLY TAPE LIBRARY 3 O CY 12 24
36 24100 ADMIN. DECISION ADES EMPLOYEE SUGGESTIONS 1 O CT 24 48 72
20000 ADMIN. DECISION ADIN INSURANCE 3 V CT 12 24 36 26000 ADMIN.
DECISION ADINCL CLAIMS 3 O CY 12 72 84 26000 ADMIN. DECISION ADINCV
COMPANY VEHICLES 3 O CT 12 24 36 26100 ADMIN. DECISION ADISPO
PRINTOUT 1 O CT 12 0 12 26100 ADMIN. DECISION ADLS LEASING 3 V CT
12 24 36 26400 ADMIN. DECISION ADLSOF OFFICE EQUIPMENT 3 O CT 24 36
60 26400 ADMIN. DECISION ADLY LIBRARY 1 O CT 12 12 24 22000 ADMIN.
DECISION ADOA OFFICE AUTOMATION 3 O CT 12 24 36 24000 ADMIN.
DECISION ADOF OFFICE EQUIPMENT 3 O CT 12 24 36 22100 ADMIN.
DECISION ADOR ORGANIZATION CHARTS 1 V SU 12 228 240 22000 ADMIN.
DECISION ADPC PROCEDURES 3 V SU 24 216 240 22700 ADMIN. DECISION
ADPL PLANNING 1 O SU 12 24 36 22700 ADMIN. DECISION ADPO POLICIES 1
O SU 12 228 240 22700 ADMIN. DECISION ADPR PROJECTS 3 O CT 24 36 60
22000 ADMIN. DECISION ADPS PRESENTATION MATERIAL 1 O CT 24 36 60
22000 ADMIN. DECISION ADPU PURCHASING 3 O CT 24 60 84 22800 ADMIN.
DECISION ADPUDS DISTRIBUTION 3 O CY 12 24 36 22800 ADMIN. DECISION
ADRE RECORDS MANAGEMENT 1 O CT 12 24 36 22900 ADMIN. DECISION
ADRERQ REQUESTS 1 O CY 12 12 24 22900 ADMIN. DECISION ADRERS
RETENTION SCHEDULE 1 O CT 36 963 999 22900 ADMIN. DECISION ADRERV
VITAL RECORDS 1 O CT 0 999 999 22900 ADMIN. DECISION ADRG
REPROGRAPHICS 1 O CT 12 24 36 22800 ADMIN. DECISION ADSH SHIPPING 3
O FA 12 24 36 23000 26 CFR 1.6001.1 ADSHBL BILLS OF LADING 1 O CT
84 0 84 23000 26 CFR 1.6001.1 ADSU SUPPLIES 3 O CY 12 0 12 22800
ADMIN. DECISION ADTR TRAVEL INFORMATION 3 O CY 12 24 36 20200
ADMIN. DECISION CO CORPORATE 1 V CY 12 987 999 10000 ADMIN.
DECISION COAC ACQUISITIONS 1 V CT 24 216 240 12000 26 CFR 1.6001.1
COAU AUDITS 1 V FA 12 24 36 15000 26 CFR 1.6001.1 COBD BONDS 1 V CT
24 96 120 12000 ADMIN. DECISION COBO BOARD OF DIRECTORS 3 V CY 24
975 999 10100 CCCP 1500 COBOCM COMMITTEES 3 O CT 24 975 999 10100
CCCPCH 15 SEC1500+ COBOCO COMPENSATION 3 O AR 24 48 72 10100 CCCPCH
15 SEC 1500+ COBOME MEETINGS/MINUTES 1 O CT 24 975 999 10100 CCCPCH
15 SEC 1500+ COBY BY-LAWS 1 V SU 24 0 24 10100 CCCPCH 15 SEC 1500+
COCH CHARTER 1 V SU 24 0 24 10100 CCCPCH 15 SEC 1500+ COCT
CONTRIBUTIONS 3 O CT 12 24 36 13000 26 CFR 1.70A-13 COCTMCH
MEETINGS/MINUTES 1 O CT 24 975 999 13000 CCCPCH 15 SEC 1500+ CODB
DOING BUSINESS AS 1 O CT 999 999 1998 10000 ADMIN. DECISION COER
ELECTION RECORDS 3 O FA 24 216 240 10100 CCCPCH 15 SEC 500+ COHI
HISTORY 1 O CY 12 24 36 10000 ADMIN.DECISION COIN ARTICLES OF
INCORPORATION 1 V CT 120 0 120 10000 CCCPCH 15 SEC 1500+ COME
MERGERS 3 V CT 24 216 240 12000 CCCP 1109 COSE SEALS 1 V CT 120 0
120 10000 ADMIN. DECISION COSH SHAREHOLDERS 3 V SU 24 975 999 16000
CCCPCH 15 SEC 1500+ COSHME MEETINGS 1 V CT 24 975 999 16000 CCCP.
Sec 15:1500+ COSHNO NOTES 1 V CT 24 96 120 16000 ADMIN. DECISION
COSHPR PROXIES 1 O CT 24 96 120 16000 CCCP Sec3 COST STOCK 1 O CT
24 975 999 16100 26 CFR 1.57-5 COSTDI DIVIDENDS 3 O CT 24 96 120
16100 26 CFR 1.6001.1 COSTSB SUBSCRIBERS 3 O AR 24 12 36 16100
ADMIN. DECISION COSTSU SUBSCRIPTIONS 1 O AR 24 96 120 16100 ADMIN.
DECISION EN ENGINEERING 1 O CT 12 24 36 90000 ADMIN. DECISION ENBP
BLUEPRINTS 1 O CT 24 96 120 91000 ADMIN. DECISION ENDA DATA BOOKS 1
O CT 24 96 120 91000 ADMIN. DECISION ENDE DESIGNS 1 O CY 12 987 999
91000 ADMIN. DECISION ENDR DRAWINGS 3 O CT 12 987 999 91000 ADMIN.
DECISION ENFO FORMULAS, TECHNICAL 3 V CT 24 96 120 91100 ADMIN.
DECISION ENIE INDUSTRIAL ENGINEERING 1 O AR 24 0 24 91300 ADMIN.
DECISION ENIEME METHODS IMPROVEMENTS 1 O CT 24 0 24 91300 ADMIN.
DECISION ENMA MAPS 1 O CT 24 216 240 91000 ADMIN. DECISION ENPR
PROJECTS 3 O CT 24 216 240 95000 ADMIN. DECISION ENSC
SPECIFICATIONS 3 O CT 12 987 999 91100 ADMIN. DECISION ENST
STANDARDS 1 V CT 12 987 999 91300 ADMIN. DECISION ENTS TESTING 3 O
CT 12 0 12 96000 ADMIN. DECISION FI FINANCE 1 O FA 12 24 36 70000
26 CFR 1.6001.1 FIAN ANALYSIS/STUDIES 1 O CY 24 12 36 71000 ADMIN.
DECISION FIBU BUDGETS 1 O CT 12 24 36 72000 ADMIN. DECISION FIBUAZ
AUTHORIZATIONS 1 O CT 24 12 36 72000 ADMIN. DECISION FIBUES
ESTIMATES 1 O CT 12 72 84 72000 ADMIN. DECISION FIBUPE PERFORMANCE
ANALYSIS 1 O CT 12 24 36 72000 ADMIN. DECISION FIBUPL PLANNING 1 O
SU 12 24 36 72000 ADMIN. DECISION FIBURD RESEARCH & DEVELOPMENT
1 O CT 24 12 36 72000 ADMIN. DECISION FICA CAPITAL PLAN 1 V FA 12
24 36 72500 26 CFR 1.6001.1 FICAEX EXPENDITURES 3 O FA 24 12 36
72500 26 CFR 1.6001.1 FIEC ECONOMIC ANALYSIS 1 O SU 24 96 120 72200
ADMIN. DECISION FIFI FINANCIAL REPORTS 1 V CT 12 24 36 72200 ADMIN.
DECISION HR HUMAN RESOURCES 1 O AR 12 0 12 30000 ADMIN. DECISION
HRAF AFFIRMATIVE ACTION 1 O CY 12 24 36 31000 41 CFR 60-741.5,52.
HRBE BENEFITS 3 V CT 12 48 60 32000 26 CFR 1.414(F)-1 HRBEBP BONUS
PLAN 3 O CT 12 96 108 32000 ADMIN. DECISION HRBEIN INSURANCE 1 O CT
12 24 36 32100 ADMIN. DECISION HRBEINAU AUTHORIZATIONS 1 O CT 12 72
84 32100 26 CFR 1.6001.1 HRBEINCC COMPANY VEHICLES 1 O CT 0 0 0
32200 26 CFR 1.6001.1 HRBEINCL CLAIMS 1 O CT 12 146 158 32100 26
CFR 1.6001.1 HRBEINDE DENTAL 1 O CT 12 60 72 32100 26 CFR 1.6001.1
HRBEINDI DISABILITY 1 O CT 12 60 72 32100 26 CFR 1.6001.1 HRBEINLI
LIFE 1 O CT 12 48 60 32110 29 USC 626 HRBEINME MEDICAL 1 O CT 12 72
84 32110 26 CFR 1.6001.1 HRBEINPL PLAN 1 O SU 12 48 60 32110 29 USC
626 HRBEINUN UNEMPLOYMENT 1 O CT 12 24 36 33000 CA C.P.S.1132; 26
CFR 31.6001.1 HRBEINWC CA WORKERS' COMPENSATION A 1 O CT 12 108 120
33000 WORKERS' COMPENSATION HRBEIV INVESTMENTS/SAVINGS 1 O CT 12 24
36 32000 26 CFR 1.6001.1 HRBELO EMPLOYEE LOANS 1 O CT 24 48 72
32000 26 CFR 1.6001.1 HRBEMI MANAGEMENT INCENTIVE PLAN 1 O CT 12 96
108 34000 ADMIN. DECISION HRBEPE PENSION PLAN 1 V CY 12 48 60 34000
29 USC 626; 26 CFR 1.6001.1 HRBEPU EMPLOYEE PURCHASE 3 O CY 12 48
60 34000 ADMIN. DECISION HRBERE RETIREMENT PLAN 1 V CY 12 84 96
34000 29 CFR 2610.11; 26 CFR 1.6001.1 HRBESB SAVINGS BOND 3 O CT 24
48 72 34000 ADMIN. DECISION HRBEST STOCK OPTION PLAN 1 V SU 24 48
72 34000 26 CFR 1.6001-1 HRBEVA VACATIONS 3 O CY 12 24 36 34000
ADMIN. DECISION HRED EDUCATION/TRAINING 3 O CY 12 24 36 35000
ADMIN. DECISION HREE EEO 1 O CY 12 987 999 31000 29 CFR 1607.4; 29
CFR 516.5 HREM EMPLOYEES 3 O CT 12 24 36 35000 29 CFR 1627.3 HREMAC
ACTIVE 3 O CT 12 987 999 35000 29 CFR 1627.3 HREMAP APPLICATIONS 1
O CY 12 24 36 35000 29 CFR 1627.3 HREMAPRE RESUMES 1 O CT 60 0 60
35000 ADMIN. DECISION HREMET EMPLOYMENT 3 O CT 12 24 36 35000 29
CFR 1627.3 & 516.2 HREMHI HISTORY 3 O CT 12 36 48 35000 29 CFR
1627.3 HREMMS MILITARY SERVICE 3 O CT 24 12 36 35000 26 CFR
1.6001.1 HREMPA PERFORMANCE APPRAISAL 1 O CY 12 12 24 35000 ADMIN.
DECISION HREMRE RETIRED 3 O CT 12 987 999 35100 29 CFR 516.2 HREMRL
RELOCATIONS 3 O CT 12 146 158 35200 29 CFR 1627.3 HREMSF STAFF
TRANSFERS 3 O CY 12 24 36 35200 26 CFR 1.6001.1 HREMTE TERMINATED 3
O CT 12 24 36 35000 29 CFR 516.2 HREMWS WAGE/SALARY 3 O CY 12 12 24
35000 ADMIN. DECISION HREP EMPLOYEE RELATIONS 1 O CY 0 36 36 36000
ADMIN. DECISION HREPCS CAREER SERVICING 1 O CT 12 36 48 36000
ADMIN. DECISION HREPJE JOB EVALUATION 1 O CY 12 96 108 36000 26 CFR
1.6001.1 HREPSU SURVEYS 1 O CY 12 12 24 36000 ADMIN. DECISION HRJD
JOB DESCRIPTION 1 O CY 12 24 36 35300 ADMIN. DECISION LE LEGAL 1 O
CY 12 0 12 10500 ADMIN. DECISION LEAF AFFIDAVITS 1 O CT 24 116 140
10500 ADMIN. DECISION LECA CASE RECORDS 3 O CT 24 96 120 10500
ADMIN. DECISION LECAAB ARBITRATION, STATE 3 O CY 12 24 36 10500
ADMIN. DECISION LECM COMPLIANCE 1 O CT 36 o 36 10510 ADMIN.
DECISION LECMIG INVESTIGATIONS 1 O CT 36 0 36 10510 ADMIN. DECISION
LECMRE REGULATIONS 1 O CT 60 0 60 10510
ADMIN. DECISION LECMRK RIGHT-TO-KNOW 1 O CT 12 0 12 10510 ADMIN.
DECISION LECO CONTRACTS/AGREEMENTS 1 V CT 12 48 60 10600 ADMIN.
DECISION LECOBS BILLS OF SALE 1 O CT 12 24 36 10600 26 CFR 1.6001.1
LECOLA LABOR 1 O CT 12 987 999 10600 26 CFR 1.6001.1 LECOPA
PROMOTIONAL AGREEMENTS 1 O CY 12 12 24 10600 26 CFR 1.6001.1 LECOSA
SALE OF PRODUCTS 1 O CT 12 36 48 10600 26 CFR 1.6001.1 LECU U.S.
CUSTOMS 1 O CY 12 24 36 10600 ADMIN. DECISION LEDE
DEEDS/ABSTRACTS/TITLES 1 V CT 240 0 240 10600 ADMIN. DECISION LEEA
EASEMENTS/RIGHTS OF WAY 1 V CT 240 0 240 10600 ADMIN. DECISION LEEX
EXPORT REGULATIONS 1 O SU 12 12 24 10600 ADMIN. DECISION LEFD FOOD
AND DRUG ADMINISTRATION 1 O CY 240 0 240 10510 ADMIN. DECISION LELE
LEASES 1 V CT 24 216 240 10600 26 CFR 1.6001.1 LELI LITIGATION 1 O
CT 12 12 24 10700 ADMIN. DECISION LELIAP OPSAAC 1 O CT 24 12 36
10700 ADMIN. DECISION LEMO MORTGAGES 1 V CT 12 24 36 10600 ADMIN.
DECISION LENO NOTARIES 1 O CT 12 0 12 10500 ADMIN. DECISION LEOC
OUTSIDE COUNSEL 1 O CY 12 24 36 10500 ADMIN. DECISION LEPA
PATENTS/TRADEMARKS 1 O CT 12 987 999 10510 ADMIN. DECISION LEPE
PERMITS 1 O CT 24 219 243 10600 ADMIN. DECISION LEPL PRODUCT
LIABILITY CLAIMS 1 O CT 12 60 72 10700 ADMIN. DECISION LETS TRADE
SECRETS 1 V CT 240 0 240 10510 ADMIN. DECISION LEWA WARRANTIES 1 O
CY 12 48 60 10510 ADMIN. DECISION MF MANUFACTURING 1 O AR 24 0 24
40000 ADMIN. DECISION MFAR DRAWINGS 1 O CT 12 60 72 41000 ADMIN.
DECISION MFJR JOB RECORDS 1 O CT 24 36 60 41000 ADMIN. DECISION
MFPC PRODUCTION CONTROL 3 O CT 12 24 36 41000 ADMIN. DECISION
MFPCPS PLANNING/SCHEDULING 3 O CT 24 0 24 41000 ADMIN. DECISION
MFPCWO WORK ORDERS 3 O CT 24 24 48 41000 ADMIN. DECISION MFRM RAW
MATERIALS 3 O CY 12 36 48 42000 ADMIN. DECISION MFSH SHIPPING 3 O
AR 24 12 36 43000 26 CFR 1.6001.1 MFSHCL CLAIMS 1 O CT 12 48 60
43000 ADMIN. DECISION MFSHTA TARIFFS 3 O SU 12 36 48 10600 ADMIN.
DECISION MK MARKETING 1 O CY 12 24 36 80000 ADMIN. DECISION MKAD
ADVERTISING 1 O CY 12 24 36 81000 ADMIN. DECISION MKBD BUSINESS
DEVELOPMENT 1 O CY 12 24 36 81100 ADMIN. DECISION MKBDPT PRODUCT
TESTING 1 O CT 24 0 24 81100 ADMIN. DECISION MKCO COMPETITION 3 O
CY 24 0 24 81100 ADMIN. DECISION MKCR CONSUMER RELATIONS 1 O CY 12
24 36 81200 ADMIN. DECISION MKGR GRAPHICS 3 O AR 12 24 36 82000
ADMIN. DECISION MKMR MARKET RESEARCH 3 O CY 12 24 36 83000 ADMIN.
DECISION MKMRDV DEVELOPMENT 3 O CY 12 6 18 83000 ADMIN. DECISION
MKMRSU SURVEYS 3 O CY 12 6 18 83000 ADMIN. DECISION MKPD PRODUCT
DEVELOPMENT 1 O CY 12 24 36 84000 ADMIN. DECISION MKPR PUBLIC
RELATIONS 1 O CY 12 24 36 85000 ADMIN. DECISION MKSA SALES 1 O CY
12 24 36 81100 ADMIN. DECISION MKSAEX EXPORT 1 O CT 12 24 36 81200
15 CFR 30.11 MKSAPR PRICING 1 O SU 12 36 48 80000 ADMIN. DECISION
OP OPERATIONS 1 O AR 12 0 12 45000 ADMIN. DECISION PDC DISTRIBUTION
CONTROL 3 O CY 12 24 36 45000 ADMIN. DECISION OPDCFG FINISHED GOODS
3 O CY 12 24 36 45100 ADMIN. DECISION OPDR DISASTER RECOVERY
PLANNING 1 V SU 24 975 999 22900 ADMIN. DECISION OPFA FACILITIES 3
O CT 24 48 72 45200 ADMIN. DECISION OPFAPL PLANS 3 O CY 12 24 36
45300 ADMIN. DECISION OPMA MAINTENANCE 3 O CY 12 987 999 45300
ADMIN. DECISION OPOR ORDERS 3 O AR 24 0 24 45100 ADMIN. DECISION
OPQA QUALITY ASSURANCE 3 O CT 60 0 60 46000 ADMIN. DECISION OPQARP
REPORTS 1 O CT 18 6 24 46000 ADMIN. DECISION OPSA
SAFETY/ENVIRONMENTAL HEALTH 3 O CY 12 48 60 47000 29 CFR 1910.20
OPSAAC ACCIDENTS 1 O CY 12 348 360 47100 29 CFR 1904.4 OPSADS
SAFETY RECORDS 1 O CT 999 0 999 47100 ADMIN. DECISION OPSAHM
HAZARDOUS MATERIAL PLAN 3 O SU 120 0 120 47100 29 CFR 1910.120
OPSAHW HAZARDOUS WASTE 3 O CY 12 24 26 47100 29 CFR 1910.120 OPSAIG
INVESTIGATIONS 3 O CY 12 24 36 47110 ADMIN. DECISION OPSATE TESTS 3
O CY 12 12 24 47200 ADMIN. DECISION OPSE SECURITY 3 O CY 12 24 36
48000 ADMIN. DECISION OPSEC COUNTER MEASURES 3 O CT 24 0 24 48000
ADMIN. DECISION RE RESEARCH/DEVELOPMENT 1 O CY 12 24 36 93000
ADMIN. DECISION REIN INGREDIENTS/FORMULAS 3 O SU 24 975 999 93100
ADMIN. DECISION REPR PRODUCTS 3 O CT 24 96 120 93200 ADMIN.
DECISION REPT PROJECTS 3 O CT 24 96 120 93400 ADMIN. DECISION RESP
ENGINEERING/TECH SPECIFICATION 3 O CT 24 96 120 93500 ADMIN.
DECISION RETR TECHNICAL REFERENCES 3 O CT 24 96 120 93600 ADMIN.
DECISION
[0119] VI. Purge Documents Selectively And Within Legal And
Administratively Defined Requirements
[0120] Using predetermined life-cycles (retention schedules) for
each file series, the system identifies documents subject to
purging.
[0121] 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.
[0122] 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.
[0123] The above described system may be implemented entirely in
software as described below.
[0124] Design Details
[0125] 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.
[0126] Overview
[0127] ERS is a client/server application to assist in the
management of valuable corporate information.
[0128] ERS maintains a record retention schedule detailing how
information ought to be stored, where, and for how long.
[0129] The application helps the user classify documents into
groups of similar information.
[0130] ERS provides document security. It can prevent unauthorized
reading of. or writing to official corporate information.
[0131] ERS provides a means to search for documents pertaining to a
specific subject, date range, author, etc.
[0132] The system acts as a pointer to direct users to where
information is stored.
[0133] Definition of User Community
[0134] The ERS application has four categories of user. Each group
of users and their responsibilities are described below.
[0135] Records Manager
[0136] 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:
[0137] Sets policy for record storage. This policy includes what
media to use for long term storage.
[0138] Creates new classes and maintains the retention
schedule.
[0139] Monitors the performance of the entire application.
[0140] Re-classifies documents that have been mis-classified.
[0141] Information Services
[0142] The Data Processing, Management Information Systems, or the
Information Services organization plays a role in the management of
documents. Their responsibilities are defined below:
[0143] 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.
[0144] 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.).
[0145] 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.
[0146] Department Coordinator
[0147] 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:
[0148] Provide training and technical support to users within the
department.
[0149] Monitors the performance of the system regarding
departmental records.
[0150] Creates and sets up new users.
[0151] Enforces record retention policy for official records
created by the department.
[0152] Manages the logistics of moving records to and from a
storage facility.
[0153] User
[0154] The majority of individuals accessing the system will be
categorized as users. Their responsibilities are listed below:
[0155] Properly classifies records they create.
[0156] Enforces record retention policy for informational records
created by them.
[0157] Policies
[0158] 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.
[0159] Users and Class Assignments
[0160] 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.
[0161] No Class Attribute Overrides
[0162] 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.
[0163] Classification Owner
[0164] 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.
[0165] Location and Class Assignment
[0166] 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.
[0167] One Production Database Per User
[0168] 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.
[0169] System Functions
[0170] 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.
[0171] User Functions
[0172] All individuals who have access to the system will be able
to operate the functions defined as follows:
[0173] Application Package File Open Function
[0174] 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.
[0175] Search and Retrieve Feature
[0176] 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).
[0177] Application Package File Save Function
[0178] 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.
[0179] Document Storage Feature
[0180] 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.
[0181] Classification Assignment Feature
[0182] 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.
[0183] Synonym Maintenance Feature
[0184] 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.
[0185] Attribute Maintenance Feature
[0186] 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.
[0187] Stand Alone ERS User Functions
[0188] 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.
[0189] Update Functions
[0190] Inventory Maintenance
[0191] The ability to correct mis-assigned classifications given to
items in inventory. This function assists the user in properly
assigning classifications to documents.
[0192] Inventory Entry
[0193] 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.
[0194] Inventory Request
[0195] 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.
[0196] Synonym Maintenance
[0197] The ability to add, change, or delete user synonyms.
[0198] User Profile Maintenance
[0199] 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.
[0200] Inquiry Functions
[0201] Inventory Retrieval
[0202] 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.
[0203] Reporting Functions
[0204] Inventory Detail Reports
[0205] 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.
[0206] Synonym Reports
[0207] 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.
[0208] Department Coordinator Functions
[0209] 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.
[0210] Update Functions
[0211] User Maintenance
[0212] 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.
[0213] Inventory Maintenance
[0214] The ability to change an inventory item's classification,
location, or media. This update function helps the Department
Coordinator correct mis-assigned classifications and move inventory
items from one location to another.
[0215] 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.
[0216] Reporting Functions
[0217] Inventory Detail Reports
[0218] The ability to display what items are in inventory by
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.
[0219] Inventory Count Reports
[0220] The ability to count the quantity of inventory items 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.
[0221] Center Retention Required
[0222] The purpose this report is to display those items in
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.
[0223] 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.
[0224] Classification Audit Reports
[0225] The purpose of these reports are to display where
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.
[0226] Inventory Requests Report
[0227] The purpose of this report is to display the 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.
[0228] This report would help the Departmental Coordinator manage
the logistics of moving records to and from a storage facility.
[0229] Static Table Listings
[0230] 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.
[0231] Information Services Functions
[0232] 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.
[0233] Update Functions
[0234] There are several update functions that only Information
Services personnel would use. These functions are described
below.
[0235] Database Definition
[0236] The purpose of this function is to describe the various ERS
databases that may be at an organizations and their addresses.
[0237] Function Maintenance
[0238] The purpose of this update is to record what 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.
[0239] Batch Functions
[0240] 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.
[0241] Function Usage Maintenance
[0242] ERS will record who is running what, when, and for 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.
[0243] Security Grants
[0244] 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.
[0245] Records Manager Functions
[0246] 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.
[0247] Update Functions
[0248] Class Maintenance
[0249] Add, change, or delete information about classifications,
abstracts, and retention schedules.
[0250] Synonym Maintenance
[0251] Add, change, and delete synonyms used corporate wide. These
synonyms are also referred to as keywords and official terms.
[0252] Static Table Maintenance
[0253] Add, change or delete rows from any of the 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.
[0254] Reporting Functions
[0255] Class Availability Report
[0256] Display a list of classifications available and applied by
company, departments, cost centers, and user. The purpose of this
report is to determine if departments are potentially mis-using
classifications.
[0257] Function Usage Reports
[0258] List the system function number, title, and the 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.
[0259] Data Dictionary Reports
[0260] Database columns definitions by column name and 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.
[0261] Catalog of Functions
[0262] 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.
4 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. UpdateClass ERS610 Class
Maintenance. Function ERS650 Function Maintenance. UpdateInventory
ERS710 Inventory Entry. ERS720 Inventory Maintenance. 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.
[0263] Generic Description of All Function and Features
[0264] 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.
[0265] 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.
[0266] Menu Functions
[0267] 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:
[0268] Function Access
[0269] 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:
[0270] File
[0271] New
[0272] Open
[0273] Delete
[0274] Close
[0275] Print
[0276] Printer Setup
[0277] Exit
[0278] Edit
[0279] Undo
[0280] Cut
[0281] Copy
[0282] Paste
[0283] Clear
[0284] Find
[0285] Go To
[0286] Search
[0287] Sort
[0288] Filter
[0289] View
[0290] First Page
[0291] Prior Page
[0292] Next Page
[0293] Last Page
[0294] Toolbars
[0295] Date and Time
[0296] Maintenance
[0297] Update 1
[0298] Update 2
[0299] Etc.
[0300] Reports
[0301] Report 1
[0302] Report 2
[0303] Etc.
[0304] Window
[0305] Tile
[0306] Layered
[0307] Cascade
[0308] Arrange Icons
[0309] Window 1
[0310] Window 2
[0311] Etc.
[0312] Help
[0313] Contents
[0314] Search for Help on
[0315] How to Use Help
[0316] About ERS
[0317] Micro Help
[0318] 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.
[0319] Button Bar
[0320] 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.
[0321] Disabled Functions
[0322] The pull down menus will show all functions planned for 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.
[0323] User Access
[0324] 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.
[0325] Reporting Functions
[0326] 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:
[0327] Custom Sub Heading
[0328] The user will have the option to create their own report sub
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.
[0329] Selection Criteria
[0330] The user will have the ability to limit the size of the
report. 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.
[0331] Variable Sorting
[0332] Each report can have more than one method of sorting. The
user will have the ability to select, from a pre-set list, how the
information should be sorted.
[0333] Routing of Output
[0334] Each report can be routed to one of three different places.
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.
[0335] Report Footing
[0336] On the last page of each report will be displayed the sort
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.
[0337] Print After View
[0338] Every report routed to the screen will have the ability to
be printed. This feature will allow the users to view the first
several pages of a report, and then print it, if they desire.
[0339] Micro Help
[0340] 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.
[0341] Usage Tracking
[0342] Just prior to exiting a reporting function, the system will
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.
[0343] Update Functions
[0344] Update functions provide the ability to add, change, or
delete records in the database. The features of update functions
are the following:
[0345] Add, Change, Delete
[0346] A single update function will allow the user to add new
records, change existing ones, or delete records from a table. The
user will not have to select three different update functions from
a menu to maintain one table.
[0347] Point and Shoot
[0348] The user will not have to know key field values such as
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.
[0349] Drop Down Lists
[0350] The user will not have to memorize codes to operate update
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.
[0351] Drag and Drop
[0352] Where ever possible, ERS will allow the user to drag an
object on to a command button to signal that they wish to perform
the command.
[0353] Jumping
[0354] 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.
[0355] Validation
[0356] 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.
[0357] Referential Integrity
[0358] All update functions will use referential integrity rules.
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.
[0359] Confirmation
[0360] 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.
[0361] Micro Help
[0362] 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.
[0363] Usage Tracking
[0364] Just prior to exiting an update function, the system will
post 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.
[0365] Process Model
[0366] The purpose of a business process model is to show the
relationship between people, systems, data, office policy and
procedures, and documents.
[0367] Node Tree Diagrams
[0368] 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.
[0369] Database Design
[0370] 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.
[0371] Entity Definitions
[0372] The nature of each table in the database is described in the
following entity definitions.
5 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 store 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.
[0373] Entity Relationship Diagram
[0374] 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.
[0375] Attribute Definitions
[0376] 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.
6 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 Title Class title and all parent class 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 the
classification. Media Type Code User assigned identification code
for media type. The media type code defines what form the inventory
item is stored in. For example, DISK=hard disk, FLOPPY=floppy disk,
CD=CD ROM, TAPE =magnetic table, FICH=microfich, PAPER=hardcopy.
Office Retention Quantity of months stored on site. Months The
office retention months is the quantity of months an inventory item
is held in an office storage area before it is moved to a long
term, off site storage facility. The office retention plus the
center retention months equals the total retention period for a
classification. Parent Class Owning parent classification. The
Identification parent class identification is the identification
number to the class that owns this one. Record Type Code User
assigned identification code. The record type code defines
importance to a classification. For example, I=informational and
O=official record types. Inventory items assigned a classification
having an official record type can only be deleted by a Department
Coordinator. Retention Reference User assigned identification
number. The retention reference column is used to store the
identification number for the reference document or law governing a
set of classes and their retention periods. For example, `26 CFR
1.6001.1` is a document defining how checks ought to stored.
Retention Start User assigned identification code. Code The
retention start code defines when the retention period of the
document starts. The quantity of months an inventoiy item is held
may start when the document first created, or it may start when the
document is moved to an off site storage facility. Sensitivity Code
User assigned identification code. The sensitivity code defines the
security associated with a classification. For example, TS=top
secrete and CO=confidential are sensitivity codes. Vital Flag Vital
record (Y=yes, N=no). The vital flag is a yes/no column denoting if
the classification involves vital documents. Vital documents are
those records whose loss would have a financial impact on the
organization. Last Changed Date Last Changed By Timestamp Data
Entity Name Entity or long table name. The Dictionary name of the
entity in the logical data model. In most cases, the entity name is
similar to the long name for the table in the database. Attribute
Name Attribute or long column name. The attribute name from the
logical data model. In most cases, this is the long name for the
column. Attribute Definition Attribute description or meaning. The
attribute definition contains the description, meaning, or purpose
of the attribute. Column Name SQL column name. The column name is
the physical name for the attribute in the SQL database. Datatype
SQL column datatype. The datatype is the physical format of the
column in the SQL database. Entity Definition Entity description or
meaning. The entity definition contains the description, meaning,
or purpose of the entity. Null Option SQL null option. The null
option is a flag denoting if a column must always contain data or
not. If the null option equals `Yes` then the column does not have
to contain data all the time. If the null option is set to `No`
then the column must always have data in it. User Defined Data-
type Name Last Changed Date Last Changed By Timestamp Function
Function Number User assigned identification number. The function
number is the unique identification of a function of the system.
Function numbers are assigned by programmers. For example, ERS110
could be a function number assigned to a performance report.
Function numbers 000 to 099 are utility functions, 100 to 199 are
performance or management reports, 200 to 299 are operational
reports, 300 to 399 are audit reports, 400 to 499 are static table
listings, 500 to 599 are user functions, 600 to 699 are interface
functions, 700 to 799 are dynamic table update functions, 800 to
899 are static table update functions, and 900 to 999 are
administration functions. Function Purpose Description or purpose
of function. The function purpose is a text column defining how the
report or update screen ought to be applied by the user. Function
Subject User assigned identification code. Code The function
subject code defines what area of interest, for the user, the
function relates to. For example, MANAGEMENT = management
performance reports. The function subject code uniquely identifies
subjects. Function subjects, types, and titles are used to build
menus. Function Title Title or name of function. The function title
is the name of the function as it appears at the top of the window
or in the menu. For example `User Maintenance` is a function title.
Function Type Code User assigned identification code. The function
type code is a way of grouping like functions together. For example
R=report, U=update, M=menu, T=utility, I=interface are all function
type codes. Function types, subject, and titles can be used to
build menus. Last Changed Date Last Changed By Timestamp Function
Function Number User assigned identification Column number. The
function number is the unique identification of a function of the
system. Function numbers are assigned by programmers. For example,
ERS110 could be a function number assigned to a performance report.
Function numbers 000 to 099 are utility functions, 100 to 199 are
performance or management reports, 200 to 299 are operational
reports, 300 to 399 are audit reports, 400 to 499 are static table
listings, 500 to 599 are user functions, 600 to 699 are interface
functions, 700 to 799 are dynamic table update functions, 800 to
899 are static table update functions, and 900 to 999 are
administration functions. Table Name SQL table name. The table name
is the SQL table or view name that will be used as part of a WHERE
phrase to limit report retrieval. Column Name SQL column name. The
column name is the SQL table or view column name that will be used
as part of a WHERE phrase to limit report retrieval. For example,
DPT_NBR is the department number column name. Column Null Flag
Column contains NULL's, Y=yes, N=no. The column null flag is used
to state if the WHERE phrase should be constructed to search for
null values for the column. For example, if the column name is
DPT_NBR and the column null flag is set to Y=yes, then the WHERE
phrase should be WHERE DPT_NBR = NULL. Column Title Long name or
title of column. The column title is what the users sees when
selecting from a list of columns to use to limit report retrieval.
For example, when the user wishes to pick the DPT_NBR column, they
would see `Department Number`. Column Type SQL datatype (DATE, INT,
CHAR, FLOAT, YESNO). The column type is a code defining the columns
datatype. For example, DATE, INT, CHAR, FLOAT are all column types.
The column type dictates which dialogue box appears displaying
values for the column. Relationship Code Column/value relation
(EQUAL, LIKE, BOTH). The relationship code defines if the
relationship in the WHERE phase could be an equality, a string
search, or both. For example, if the relationship code is EQUAL
then the relationship between the column name and its values in the
WHERE phrase is IN for character type columns, BETWEEN for nun-
null numeric columns, and = for null numeric columns. If the
relationship code is LIKE then the relationship between the column
name and its values is LIKE. If the relationship code is BOTH, then
the user can choose either an equality or string search
relationship. Required Flag Column value required (Y=yes, N=no).
The required flag denotes if the user must use this column to limit
retrieval. This column helps prevent the user from constructing a
report request that extracts every row from the database by forcing
them to have a WHERE phrase on at least one column name. Sequence
Number Sort sequence number. The sequence number is a character
column used to sort the column titles for display on the screen.
The sequence number allows the system to display a list of column
names in some other sort order besides alphabetically by column
title. Last Changed Date Last Changed By Timestamp Function
Function Number User assigned identification Column Last number.
The function number is Used the unique identification of a function
of the system. Function numbers are assigned by programmers. For
example, ERS110 could be a function number assigned to a
performance report. Function numbers 000 to 099 are utility
functions, 100 to 199 are performance or management reports, 200 to
299 are operational reports, 300 to 399 are audit reports, 400 to
499 are static table listings, 500 to 599 are user functions, 600
to 699 are interface functions, 700 to 799 are dynamic table update
functions, 800 to 899 are static table update functions, and 900 to
999 are administration functions. Column Name SQL column name. The
column name is the SQL table or view column name that will be used
as part of a WHERE phrase to limit report retrieval. For example,
DPT_NBR is the department number column name. User Identification
Logon user identification. The user identification is the SQL
database name for the user. Normally, it is the user's first name
initial and full last name. Table Name SQL table name. The table
name is the SQL table or view name that will be used as part ofa
WHERE phrase to limit report retrieval. Column Value Column values
last used. This text column stores the `right hand side` of a SQL
WHERE phrase. It contains the list of values desired for column
when a specific report was last run by a given user. For example,
if a user had requested a set of departments to appear on a report
the last time it was run, then this column would contain that list
of departments. Operator Code Code to indicate exact value or list
of values. Determines whether the user can enter a value or select
from a list of values. Last Changed Date Last Changed By Timestamp
Function Table Name SQL table name. The table name Data Window is
the SQL table or view name that will be used as part of a WHERE
phrase to limit report retrieval. Column Name SQL column name. The
column name is the SQL table or view column name that will be used
as part of a WHERE phrase to limit report retrieval. For example,
DPT_NBR is the department number column name. Data Window Name Data
Window Used for selection of column for SQL table. Last Changed
Date Last Changed By Timestamp Function Sort Function Number User
assigned identification number. The function number is the unique
identification of a function of the system. Function numbers are
assigned by programmers. For example, ERS110 could be a function
number assigned to a performance report. Function numbers 000 to
099 are utility functions, 100 to 199 are performance or management
reports, 200 to 299 are operational reports, 300 to 399 are audit
reports, 400 to 499 are static table listings, 500 to 599 are user
functions, 600 to 699 are interface functions, 700 to 799 are
dynamic table update functions, 800 to 899 are static table update
functions, and 900 to 999 are administration functions. Order By
SQL ORDER BY and/or GROUP BY. The order by column contains the SQL
GROUP BY and/or ORDER BY phrase for the report request. Data Window
Name PowerBuilder Data Window name. The Data Window name is the
name of the PowerBuilder Data Window name that should be displayed
when a particular sort is requested by the user. Different Data
Windows are used for different sorts because there may be different
subtotaling on the same report depending upon how it is sorted.
Default Sort Flag Default sort (Y=yes, N=no). The default sort flag
is a
yes/no column denoting what sort will be applied to the report if
the user does not select one. Order By Title Title or long name of
the sort. The order by title is what the user sees when selecting
from a list of sort sequences to apply to a report. For example,
the order by column value may be ORDER BY CO_NBR, DPT_NBR,
CST_CTR_NBR. The order by title would be `By Company, Department,
and Cost Center Numbers`. Sequence Number Sort sequence number. The
sequence number column is used to sort the order by titles in some
other sequence other than alphabetically by order by title. Last
Changed Date Last Changed By Requires Stored Required stored
procedure name. Procedure The purpose of this column is to record
the name of any stored procedure required to generate a report
output. Some reports, because of their complexity, can not be
created without the use of an SQL stored procedure. If a stored
procedure is needed, its name would be found in this column.
Timestamp Function Sort Function Number User assigned
identification Last Used number. The function number is the unique
identification of a function of the system. Function numbers are
assigned by programmers. For example, ERS110 could be a function
number assigned to a performance report. Function numbers 000 to
099 are utility functions, 100 to 199 are performance or management
reports, 200 to 299 are operational reports, 300 to 399 are audit
reports, 400 to 499 are static table listings, 500 to 599 are user
functions, 600 to 699 are interface functions, 700 to 799 are
dynamic table update functions, 800 to 899 are static table update
functions, and 900 to 999 are administration functions. Order By
SQL ORDER BY and/or GROUP BY. The order by column contains the SQL
GROUP BY and/or ORDER BY phrase for the report request. User
Identification Logon user identification. The user identification
is the SQL database name for the user. Normally, it is the user's
first name initial and full last name. Last Changed Date Last
Changed By Timestamp Function Function Subject User assigned
identification code. Subject Code The function subject code defines
what area of interest, for the user, the function relates to. For
example, MANAGEMENT = management performance reports. The function
subject code uniquely identifies subjects. Function subjects,
types, and titles are used to build menus. Function Subject Long
name, description or title for Description code. The function
subject description is the long name for the subject. For example
management performance reports, operational reports, utility, user
functions are all subject descriptions. Last Changed Date Last
Changed By Timestamp Function Type Function Type Code User assigned
identification code. The function type code is a way of grouping
like functions together. For example R=report, U=update, M=menu,
T=utility, I=interface are all function type codes. Function types,
subject, and titles can be used to build menus. Function Type Long
name, description, or title for Description code. The function type
description is the meaning of the function type code. For example,
report, update, menu, utility, and interface are all function type
descriptions. Last Changed Date Last Changed By Timestamp Function
Usage Start Date Date/time function started being Usage used. The
usage start date is the date and time the update or report was
activated. Function Number User assigned identification number. The
function number is the unique identification of a function of the
system. Function numbers are assigned by programmers. For example,
ERS110 could be a function number assigned to a performance report.
Function numbers 000 to 099 are utility functions, 100 to 199 are
performance or management reports, 200 to 299 are operational
reports, 300 to 399 are audit reports, 400 to 499 are static table
listings, 500 to 599 are user functions, 600 to 699 are interface
functions, 700 to 799 are dynamic table update functions, 800 to
899 are static table update functions, and 900 to 999 are
administration functions. User Identification Logon user
identification. The user identification is the SQL database name
for the user. Normally, it is the user's first name initial and
full last name. Rows Processed Quantity of rows retrieved or
updated. The quantity of rows retrieved for a reporting function or
the quantity of rows inserted, updated, or deleted for an update
function. Usage End Date Date/time function stopped being used. The
usage end date is the date and time the function completed
processing the rows. The difference between the usage start and end
dates is the seconds required to retrieve the report rows or post
the changes to the database for an update function. Last Changed
Date Last Changed By Timestamp Inventory Inventory System assigned
identification Identification number. The inventory identification
is the unique identifier for a document. It is a system assigned
integer, not user assigned. 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.
Author Document written-by user identification. Identification for
writer of the document. It can be any value. 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. Created By Logon user
identification. The user identification is the SQL database name
for the user. Normally, it is the user's first name initial and
full last name. Original File Name PC file name and extension. The
name of the computer file from which the inventory item originated.
Inventory Label First line of label. The inventory Line 1 label
consists of three columns that appear on the label for the
document, file folder, or box. The first label line typically
contains a name. For example, vendor name, customer name, person
name, etc. for the document. Inventory Label Second line of label.
The Line 2 inventory label consists of three columns that appear on
the label for the document, file folder, or box. The second label
line typically contains a geography. Inventory Label Third line of
label. The inventory Line 3 label consists of three columns that
appear on the label for the document, file folder, or box. The
third label line typically contains numbers or dates. For example,
part numbers, purchase order numbers, contract numbers, employee
numbers, etc. Location System assigned identification
Identification number. The location identification is the unique
identifier for a shelf or drawer within an aisle or file cabinet in
a storage area. It is a system assigned integer, not user assigned.
Media Type Code User assigned identification code for media type.
The media type code defines what form the inventory item is stored
in. For example, DISK=hard disk, FLOPPY=floppy disk, CD=CD ROM,
TAPE=magnetic table, FICH=microfich, PAPER=hardcopy. Record Type
Code User assigned identification code. The record type code
defines importance to a classification. For example,
I=informational and O=official record types. Inventory items
assigned a classification having an official record type can only
be deleted by a Department Coordinator. Storage Date Date entered
into the Electronic Records System. The storage date is the date
and time the inventory item was placed into the system. Series Code
Code to flag special documents. A 10 character code applied by the
user to help flag documents that are special to them. System Entry
Date Date Inventory was entered into the system. It can never be
changed. Last Changed Date Last Changed By Timestamp Inventory
Inventory System assigned identification Abstract Identification
number. The inventory identification is the unique identifier for a
document. It is a system assigned integer, not user assigned.
Abstract Long description of inventory item. The abstract column
contains a long textual description of the inventory item. 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. Office Retention Quantity of
months stored on site. Months The office retention months is the
quantity of months an inventory item is held in an office storage
area before it is moved to a long term, off site storage facility.
The office retention plus the center retention months equals the
total retention period for a classification. Last Changed Date Last
Changed By Timestamp Inventory Inventory System assigned
identification Request Identification number. The inventory
identification is the unique identifier for a document. It is a
system assigned integer, not user assigned. User Identification
Logon user identification. The user identification is the SQL
database name for the user. Normally, it is the user's first name
initial and full last name. Request Type Code User assigned
identification code. The request type code is a user created code
to define what needs to be done to an inventory item. Request type
codes are M=Change Media R=Retrieve from storage facility, S=sent
to storage facility, T=Retire inventory item. Location System
assigned identification Identification number. The location
identification is the unique identifier for a shelf or drawer
within an aisle or file cabinet in a storage area. It is a system
assigned integer, not user assigned. Media Type User assigned
identification code Requested for media type. The media type code
defines what form the inventory item is stored in. For example,
DISK=hard disk, FLOPPY=floppy disk, CD=CD ROM, TAPE=magnetic table,
FICH=microfich, PAPER=hardcopy. Request Date Date inventory request
was created. The request date is the date and time a user has
requested and inventory item be moved from one media to another.
Last Changed Date Last Changed By Timestamp Inventory Class
Identification System assigned identification Statistics number.
The class identification is the unique identifier for the
classification. This integer is a system assigned value, not user
assigned. Location System assigned identification Identification
number. The location identification is the unique identifier for a
shelf or drawer within an aisle or file cabinet in a storage area.
It is a system assigned integer, not user assigned. Record Type
Code User assigned identification code. The record type code
defines importance to a classification. For example,
I=informational and O=official record types. Inventory items
assigned a classification having an official record type can only
be deleted by a Department Coordinator. Collection Date Date
statistics were collected. The date the count of inventory items
was collected. The quantity of inventory items by class and record
type will be collected once a month or once a quarter. Inventory
Quantity Quantity of inventory items found. The inventory quantity
contains the number of inventory items found for a class and record
type at a given point in time. Last Changed Date Last Changed By
Timestamp Location Location System assigned identification
Identification number. The location identification is the unique
identifier for a shelf or drawer within an aisle or file cabinet in
a storage area. It is a system assigned integer, not user assigned.
Location Long name, description, or title. Description The location
description is the meaning of a location number. For example,
`Third drawer down` or `Fourth shelf up` are location descriptions.
Location Number User assigned identification number. The location
number is the user assigned identifier for a file cabinet drawer or
shelf. Location Type Code User assigned identification code for
location type. The location type code is a user assigned code for
the type of document storage facility. For example, BL=Building,
FA=File area, PR=Property, SH=Shelf, AI=Aisle. Parent Location
Parent or owner of location. The Identification parent location
identification is the unique identifier for building or file area
that owns the location. Last Changed Date Last Changed By Timestamp
Location Type Location Type Code User assigned identification code
for location type. The location type code is a user assigned code
for the type of document storage facility. For example,
BL=Building, FA=File area, PR=Property, SH=Shelf, AI=Aisle. Archive
Facility Archive facility (offsite storage) Flag Y/N flag. The
archive facility flag is a yes/no column used to define if the
location is found in an archive facility. An archive facility would
be an offsite warehouse, for example. Location Type Long name or
title of location Description type. The location description is the
meaning of the location type code. Level Number Location hierarchy
level number. The level number defines what level of the location
hierarchy this location can be found. Level one is the top level of
the hierarchy and level number five is the bottom. Last Changed
Date Last Changed By Timestamp Media Type Media Type Code User
assigned identification code for media type. The media type code
defines what form the inventory item is stored in. For example,
DISK=hard disk, FLOPPY=floppy disk, CD=CD ROM, TAPE=magnetic table,
FICH=microfich, PAPER=hardcopy. Media Type Long name, description,
or title. Description The media type description adds meaning to
the media type code. For example, `Hardcopy` and `Magnetic Tape`
are media type descriptions. ERSExpress Access File name required
yes/no. The Flag purpose of this column is to record whether a
document being entered for a given media type should have a file
name entered also. For example, if a document is entered into the
system that has a media type of `hard disk` , and the file name
required
flag is set to `yes`, then the system will prompt the user to input
a file name for the document. If the file name required flag is set
to `no` then the system will not prompt the user for a file name
when they input information about a document. Last Changed Date
Last Changed By Timestamp Object Object Name Name of database
object (table or Identification view). The object name is the SQL
database name for a table or view. Identification Last system
assigned identification number. The identification column contains
the last or highest integer value assigned to the identification
column in the table. For example, if the table name was tbl_dpt and
the identification column contains 145, then the highest
identification number assigned thus far to departments is 145. Last
Changed Date Last Changed By Timestamp Filler 1 This is a character
field of 255 bytes used to pad one row in the identification table
out to one page long. This technique is use because SQLServer only
has page locking, not row locking. Filler 2 This is a character
field of 255 bytes used to pad one row in the identification table
out to one page long. This technique is use because SQLServer only
has page locking, not row locking. Filler 3 This is a character
field of 255 bytes used to pad one row in the identification table
out to one page long. This technique is use because SQLServer only
has page locking, not row locking. Filler 4 This is a character
field of 255 bytes used to pad one row in the identification table
out to one page long. This technique is use because SQLServer only
has page locking, not row locking. Filler 5 This is a character
field of 255 bytes used to pad one row in the identification table
out to one page long. This technique is use because SQLServer only
has page locking, not row locking. Filler 6 This is a character
field of 255 bytes used to pad one row in the identification table
out to one page long. This technique is use because SQLServer only
has page locking, not row locking. Filler 7 This is a character
field of 255 bytes used to pad one row in the identification table
out to one page long. This technique is use because SQLServer only
has page locking, not row locking. Filler 8 This is a character
field of 151 bytes used to pad one row in the identification table
out to one page long. This technique is use because SQLServer only
has page locking, not row locking. Organization 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.
Organization Code User assigned identification code. The
organization code is a user assigned identification for a company,
department, or cost center. Organization Name Long name,
description, or title. The organization name is the meaning for the
organization code. For example, `Account Payable`, `Payroll` ,
`Inside Sales` are all organization names for cost centers.
Organization Type User assigned organization type Code code. The
organization type code defines if an organization is a company,
department, or cost center. Parent Organization Parent owner for
organization. Identification The parent organization identification
is the unique identification for a company, or department that owns
the organization. Last Changed Date Last Changed By Timestamp
Organization Organization Type User assigned organization type Type
Code code. The organization type code defines if an organization is
a company, department, or cost center. Organization Type Long name,
description, or title. Description The organization type
description is the meaning of the organization type code. Level
Number Organization hierarchy level number. The level number
defines at what level of the organization hierarchy this
organization (company, department, or cost center) can be found.
Level number one is the top of the hierarchy and level number five
is the bottom. Last Changed Date Last Changed By Timestamp Record
Type Record Type Code User assigned identification code. The record
type code defines importance to a classification. For example,
I=informational and O=official record types. Inventory items
assigned a classification having an official record type can only
be deleted by a Department Coordinator. Record Type Long name,
description, or title. Description The record type description adds
meaning to the record type code. Record Type Office policy for
record type. The Procedure record type procedure states the office
policy associated with the record type. For example, `Inventory
items assigned a classification having an official record type can
only be deleted by a Department Coordinator`. Last Changed Date
Last Changed By Timestamp Request Type Request Type Code User
assigned identification code. The request type code is a user
created code to define what needs to be done to an inventory item.
Request type codes are M=Change Media, R=Retrieve from storage
facility, S=sent to storage facility, T=Retire inventory item.
Request Type Long name, description, or title. Description The
request type description defines the meaning for the request type
code. Last Changed Date Last Changed By Timestamp Retention
Retention Reference User assigned identification Reference number.
The retention reference column is used to store the identification
number for the reference document or law governing a set of classes
and their retention periods. For example, `26 CFR 1.6001.1` is a
document defining how checks ought to stored. Abstract Long
description of reference. The abstract column contains a paragraph
about the reference. This paragraph states the policy for storing a
type of document. Last Changed Date Last Changed By Timestamp
Retention Retention Start User assigned identification code. Start
Code The retention start code defines when the retention period of
the document starts. The quantity of months an inventory item is
held may start when the document first created, or it may start
when the document is moved to an off site storage facility.
Retention Start Long name, description, or title. Description The
retention start description adds meaning to the retention start
code. It is the office policy stating when the retention period
begins for a document. Last Changed Date Last Changed By Timestamp
Sensitivity Sensitivity Code User assigned identification code. The
sensitivity code defines the security associated with a
classification. For example, TS=top secrete and CO=confidential are
sensitivity codes. Sensitivity Long name, description, or title.
Description The sensitivity description adds meaning to the
sensitivity code. Last Changed Date Last Changed By Timestamp
Synonym Synonym System assigned identification Identification
number. The synonym identification is the unique identifier for the
synonym. This integer is a system assigned value, not user
assigned. Synonym Name Name of synonym. The synonym name is the
name of the synonym. Synonyms are alternate means to refer to a
classification. Synonyms can be class codes, class names, or any
value the user wishes. User Identification Logon user
identification. The user identification is the SQL database name
for the user. Normally, it is the user's first name initial and
full last name. 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. Keyword Flag Corporate keyword (Y=yes, N=no). The keyword
flag denotes if this synonym is a Corporate synonym. All synonyms
have to be related to a Corporate keyword. Last Changed Date Last
Changed By Timestamp User User Identification Logon user
identification. The user identification is the SQL database name
for the user. Normally, it is the user's first name initial and
full last name. Default Location System assigned identification
Identification number. The location identification is the unique
identifier for a shelf or drawer within an aisle or file cabinet in
a storage area. It is a system assigned integer, not user assigned.
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. Mail Stop User's mail stop. Physical mailing
address of an ERSuser in the company. Output Directory Directory
path for extract files. The output directory is the disk drive and
directory name where the user would like extract files placed. If
the user elects to have a report exported into a spread sheet, then
the spread sheet will be placed in the output directory. Last
Changed Date Last Changed By Timestamp User 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. User
Identification Logon user identification. The user identification
is the SQL database name for the user. Normally, it is the user's
first name initial and full last name. 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. Default Class Flag Default class (Y=yes,
N=no). Denotes default class if none is selected. Last Assigned
Date Date last used. The date and time the class was last assigned
by the user to a document. This column can help determine if a user
has ever assigned this class to a document. Last Changed Date Last
Changed By Timestamp
[0377] Logical View
[0378] FIG. 13 is a logical view of the database. It shows all the
entities or tables and their attributes or columns. The purpose of
this diagram is to provide a more detailed picture of the database
and its contents.
[0379] Standard Abbreviations
[0380] The following lists the standard abbreviations for database
object and column names. Several of these abbreviations will be
merged together to derive a name. For example, the user tables will
be named `tbl_usr`. The user's last name column will be called
lst_nme`.
[0381] abs abstract
[0382] acc access
[0383] adr address
[0384] ctr center
[0385] chg change
[0386] cd code
[0387] cst cost
[0388] cls class
[0389] col column
[0390] cre created
[0391] d DataWindow object
[0392] db database
[0393] dw DataWindow control
[0394] def default
[0395] dsc description
[0396] dir directory
[0397] dte date
[0398] dur duration
[0399] end end
[0400] flg flag
[0401] fst first
[0402] fcn function
[0403] grp group
[0404] hst history
[0405] idn identification
[0406] inv inventory
[0407] key key
[0408] lst last
[0409] loc location
[0410] log logon
[0411] mail mail
[0412] med media
[0413] mth month
[0414] nbr number
[0415] nme name
[0416] off office
[0417] obj object
[0418] ord order
[0419] org organization
[0420] out output
[0421] par parent
[0422] phn phone
[0423] psw password
[0424] pro procedure
[0425] pcs processed
[0426] pps purpose
[0427] rec record
[0428] rel relationship
[0429] rqs request
[0430] rqr require
[0431] ret retention
[0432] row rows
[0433] snt sensitivity
[0434] seq sequence
[0435] srt sort
[0436] str start
[0437] sts status
[0438] sto storage
[0439] stp stop
[0440] sub subject
[0441] syn synonym
[0442] tbl table
[0443] tm time
[0444] tle title
[0445] trg trigger
[0446] typ type
[0447] udt user defined datatype
[0448] usg usage
[0449] usp user stored procedure
[0450] usr user
[0451] vtl vital
[0452] vw view
[0453] vwb base view
[0454] w window
[0455] wrd word
[0456] Triggers
[0457] Triggers are business rules embedded in the database. These
rules are activated every time a row is added, changed, or delete
for a table. They can be used insure referential integrity, enforce
security, and/or calculate values for columns. The triggers defined
for this system are described below by table. Note, that
referential integrity triggers are not listed. They are too
numerous to display, but will be part of the application.
[0458] Class Table
[0459] Insert Trigger--Two rows should be added to the synonym
table. The values for the synonym table are as follows:
[0460] Row 1
7 Synonym Name The class code User Identification `SA` Parent
Synonym Name The class code of the parent classification Keyword
Flag `Y`
[0461] Row 2
8 Synonym Name The classification title User Identification `SA`
Parent Synonym Name The class code Keyword Flag `N`
[0462] When inserting a row into the class table, add two rows to
the class synonym table. The values for the class synonym table
should be the following:
[0463] Row 1
9 Synonym Name The class code User Identification `SA` Class
Identification The class identification
[0464] Row 2
10 Synonym Name The class title User Identification `SA` Class
Identification The class identification
[0465] Update Trigger--See if the class code is being changed. If
it is, then update the synonym name in the synonym table and the
synonym name in the class synonym table.
[0466] When updating a row in the class table, see if the class
title is being changed. If it is, then update the synonym name in
the synonym table and the synonym name in the class synonym
table.
[0467] When updating a row in the class table, see if the parent
classification identification is being changed. If it is, then
update the parent synonym name in the synonym table.
[0468] Delete Trigger--Delete the corresponding rows in the synonym
table and the class synonym table where the following is true:
[0469] Synonym name equals class code and user identification
equals `SA` or
[0470] Synonym name equals classification title and user
identification equal `SA`
[0471] Function Table
[0472] Delete Trigger--Create a cascading delete that will remove
the function form all other tables.
[0473] Update Trigger--If the function type is changed for `REPORT`
to something else, a search for the function column and function
sort tables should be performed. If there are any rows in these
tables, then they ought to be deleted.
[0474] Function Column Table
[0475] Insert Trigger--The function type column in the function
table must be set to `REPORT`. If the function is not a report,
then it should not have rows in the function column or sort
table.
[0476] The relationship code can only have values of `EQUAL`,
`LIKE` or `BOTH`. Also the column type values can only be `CHAR`,
`INT`, `DATE`, and `FLOAT`.
[0477] Update Trigger--The relationship code can only have values
of `EQUAL`, `LIKE`or `BOTH`. Also the column type values can only
be `CHAR`, `INT`, `DATE`, and `FLOAT`.
[0478] Function Sort Table
[0479] Insert Trigger--There can only be one row having a default
sort flag value of `Y` for yes for each function.
[0480] Update Trigger--There can only be one row having a default
sort flag value of `Y` for yes for each function.
[0481] Function Usage Table
[0482] Insert Trigger--The usage start date must be less than the
usage end date.
[0483] Update Trigger--The usage start date must be less than the
usage end date.
[0484] Location Table
[0485] Insert Trigger--If the level number for the location type is
one, then the parent location identification equals the location
identification. If the level number of the location type is not
equal to one, then the parent location identification can not be
equal to the location identification.
[0486] If the level number is not equal to one, then the level
number must be equal to one minus the level number for the parent
location.
[0487] Object Table
[0488] Insert Trigger--The object purpose can not be null if the
object type code is `V` for view.
[0489] Insert Trigger--The object purpose can not be null if the
object type code is `V` for view.
[0490] Object Identification Table
[0491] Insert Trigger--Insure that the object type column value in
the object table is set to `U` for user table.
[0492] Update Trigger--Insure that the object type column value in
the object table is set to `U` for user table.
[0493] Organization Table
[0494] Insert Trigger--If the level number for the organization
type is one, then the parent organization identification equals the
organization identification. If the level number of the
organization type is not equal to one, then the parent organization
identification can not be equal to the organization identification.
If the level number is not equal to one, then the level number must
be equal to one minus the level number for the parent
organization.
[0495] Update Trigger--If the level number for the organization
type is one, then the parent organization identification equals the
organization identification. If the level number of the
organization type is not equal to one, then the parent organization
identification can not be equal to the organization
identification.
[0496] If the level number is not equal to one, then the level
number must be equal to one minus the level number for the parent
organization.
[0497] User Table
[0498] Insert Trigger--When inserting a new user, create rows for
the user class table. Copy the user class rows for the person doing
the inserting and place them into the user class table for the new
user. The processing steps are:
[0499] Retrieve the user ID of the individual inserting a new row
into the user table.
[0500] Take the user ID found in the previous step and read the
user class table for the person doing the inserting. Retrieve their
set of classifications and access codes.
[0501] Insert the classifications and access codes found in the
previous step under the ID of the new user.
[0502] Ignore the processing describe above if the user doing the
inserting is SA.
[0503] Delete Trigger--Create a cascading delete that will remove
the user for all other tables.
[0504] User Class Table
[0505] Insert Table--There can only be one row having a default
class flag value of `Y` for yes for each user.
[0506] If an individual is inserting a new row into the user class
table, then that individual must have read or write access to that
same class. The new row can not have write access to the class if
the individual doing the inserting only has read access. Ignore
this logic if the person doing the inserting is SA.
[0507] Update Table--There can only be one row having a default
class flag value of `Y` for yes for each user.
[0508] If the access code is being changed from R=read to W=write
then the individual making the change must have write access to
that same class. Ignore this logic if the person doing the changing
is SA.
[0509] User Database Table
[0510] Insert Trigger--There can only be one row having a default
database flag value of `Y` for yes for each user.
[0511] Update Trigger--There can only be one row having a default
database flag value of `Y` for yes for each user.
[0512] User Defined Datatypes
[0513] User defined datatypes are common formats that will be
applied to columns. The attributes for each datatype in this system
are listed below.
[0514] udt_integer
[0515] integer System generated identification numbers.
[0516] udt_ndt
[0517] varchar(40) Names, descriptions and titles 40 chars or
less.
[0518] udt_name
[0519] char(20) First, Last Names, other names 20 chars or
less.
[0520] udt_label
[0521] char(25) Labels.
[0522] udt_text
[0523] varchar(255) Long descriptions, text, explanations,
summaries etc.
[0524] udt_identifier
[0525] char(20) Any type of database object identifier.
[0526] udt_yesno
[0527] char(1)Any yes/no column.
[0528] udt_phone
[0529] char(13) Full length phone number--Do not store dashes.
[0530] udt_code_a
[0531] char(1) Codes and other data of various lengths.
[0532] udt_code_b
[0533] char(2)
[0534] udt_code_c
[0535] char(6)
[0536] udt_code_d
[0537] char(8)
[0538] udt_code_e
[0539] char(10)
[0540] udt_code_f
[0541] char(12)
[0542] udt_code_g
[0543] char(15)
[0544] Physical Database Model
[0545] The physical database model displays all the SQL attributes
about each column in the application. It is the combination of the
logical view, abbreviations, triggers, and user defined datatypes.
The physical database model is presented in FIG. 14.
[0546] Physical Attributes
[0547] The following table displays the SQL attributes (column
name, datatype, null option, etc.) for each column being
stored.
11 Entity Column Alternate Foreign Prime Column Name Attribute Name
Name Key Key Key Datatype Null Option Access Access Code acc_cd
(PK) char(1) NOT NULL Access Description dsc (AK1) varchar(40) NOT
NULL Last Changed Date 1st_chg_dte datetime NULL Last Changed By
1st_chg_by char(20) NULL Timestamp timestamp timestamp NULL Class
Class cls_idn (PK) int NOT NULL Identification Abstract abs
varchar(255) NOT NULL Class Code cls_cd (AK1) char(10) NOT NULL
Classification Title tle varchar(40) NOT NULL Classification Title
tle_ext varchar(40) NOT NULL Extended Center Retention ctr_rtnt_mth
int NOT NULL Months Organization org_idn (FK) int NOT NULL
Identification Created By cre_by char(20) NOT NULL Media Type Code
med_typ_cd (FK) char(6) NOT NULL Office Retention ofc_rtnt_mth int
NOT NULL Months Parent Class prnt_cls_idn (FK) int NOT NULL
Identification Record Type Code rec_typ_cd (FK) char(1) NOT NULL
Retention rtnt_rfr (FK) varchar(40) NOT NULL Reference Retention
Start rtnt_str_cd (FK) char(2) NOT NULL Code Sensitivity Code
sntv_cd (FK) char(2) NOT NULL Vital Flag vtl_fk char(1) NOT NULL
Last Changed Date 1st_chg_dte datetime NULL Last Changed By
1st_chg_by char(20) NULL Timestamp timestamp timestamp NULL Data
Entity Name ent_nine (PK) varchar(40) NOT NULL Dictionary Attribute
Name att_nme (PK) varchar(40) NOT NULL Attribute att_def
varchar(255) NOT NULL Definition Column Name col_nme varchar(40)
NOT NULL Datatype dtyp char(20) NOT NULL Entity Definition ent_def
varchar(255) NOT NULL Null Option null opt char(20) NOT NULL User
Defined udt_nme char(20) NOT NULL Datatype Name Last Changed Date
1st_chg_dte datetime NOT NULL Last Changed By 1st_chg_by char(20)
NOT NULL Timestamp timestamp timestamp NULL Function Function
Number fxn_nbr (PK) char(8) NOT NULL Function Purpose prps
varchar(255) NOT NULL Function Subject fxn_subj_cd (FK) char(10)
NOT NULL Code Function Title tle (AK1) varchar(40) NOT NULL
Function Type fxn_typ_cd (FK) char(1) NOT NULL Code Last Changed
Date 1st_chg_dte datetime NULL Last Changed By 1st_chg_by char(20)
NULL Timestamp timestamp timestamp NULL Function Function Number
fxn_nbr (FK) (PK) char(8) NOT NULL Column Table Name tbl_nme (FK)
(PK) char(20) NOT NULL Column Name col_nme (FK) (PK) char(20) NOT
NULL Column Null Flag null_flg char(1) NOT NULL Column Title tle
varchar(40) NOT NULL Column Type typ char(20) NOT NULL Relationship
Code rel_cd char(6) NOT NULL Required Flag rqr_flg char(1) NOT NULL
Sequence Number seq_nbr int NOT NULL Last Changed Date 1st_chg_dte
datetime NULL Last Changed By 1st_chg_by char(20) NULL Timestamp
timestamp timestamp NULL Function Function Number fxn_nbr (FK) (PK)
char(8) NOT NULL Column Last Used Column Name col_nme (FK) (PK)
char(20) NOT NULL User Identification usr_idn (FK) (PK) char(30)
NOT NULL Table Name tbl_nme (FK) (PK) char(20) NOT NULL Column
Value col_val varchar(255) NOT NULL Operator Code oprcd char(2) NOT
NULL Last Changed Date 1st_chg_dte datetime NULL Last Changed By
1st_chg_by char(20) NULL Timestamp timestamp timestamp NULL
Function Table Name tbl_nme (PK) char(20) NOT NULL Data Window
Column Name col_nme (PK) char(20) NOT NULL Data Window dw_nme
varchar(40) NOT NULL Name Last Changed Date 1st_chg_dte datetime
NULL Last Changed By 1st_chg_by char(18) NULL Timestamp timestamp
timestamp NULL Function Function Number fxn_nbr (FK) (PK) char(8)
NOT NULL Sort Order By ord_by (PK) varchar(200) NOT NULL DataWindow
dw_nme varchar(40) NOT NULL Name Default Sort Flag dft_srt_flg
char(1) NOT NULL Order By Title tle varchar(255) NOT NULL Sequence
Number seq_nbr int NOT NULL Last Changed Date 1st_chg_dte datetime
NULL Last Changed By 1st_chg_by char(20) NULL Requires Stored
rqr_usp char(20) NULL Procedure Timestamp timestamp timestamp NULL
Function Function Number frn_nbr (FK) (PK) char(8) NOT NULL Sort
Last Used Order By ord_by (FK) (PK) varchar(200) NOT NULL User
Identification usr_idn (FK) (PK) char(30) NOT NULL Last Changed
Date 1st_chg_dte datetime NULL Last Changed By 1st_chg_by char(20)
NULL Timestamp timestamp timestamp NULL Function Function Subject
fxn_subj_cd (PK) char(10) NOT NULL Subject Code Function Subject
dsc (AK1) varchar(40) NOT NULL Description Last Changed Date
1st_chg_dte datetime NULL Last Changed By 1st_chg_by char(20) NULL
Timestamp timestamp timestamp NULL Function Function Type
fxn_typ_cd (PK) char(1) NOT NULL Type Code Function Type dsc
varchar(40) NOT NULL Description Last Changed Date 1st_chg_dte
datetime NULL Last Changed By 1st_chg_by char(20) NULL Timestamp
timestamp timestamp NULL Function Usage Start Date usg_str_dte (PK)
datetime NOT NULL Usage Function Number fxn_nbr (FK) (PK) char(8)
NOT NULL User Identification usr_idn (FK) (PK) char(30) NOT NULL
Rows Processed row_prcs int NOT NULL Usage End Date usg_end_dte
datetime NOT NULL Last Changed Date 1st_chg_dte datetime NULL Last
Changed By 1st_chg_by char(20) NULL Timestamp timestamp timestamp
NULL Inventory Inventory inv_idn (PK) int NOT NULL Identification
Organization org_idn (AK1) (FK) int NOT NULL Identification Author
athr (IE1) varchar(40) NOT NULL Class cls_idn (FK) int NOT NULL
Identification Created By cre_by (FK) char(30) NULL Original File
orgn_file_nme varchar(40) NULL Name Inventory Label inv_lbl_ln_1
(AK1) char(25) NOT NULL Line 1 Inventory Label inv_lbl_ln_2 (AK1)
char(25) NOT NULL Line 2 Inventory Label inv_lbl_ln_3 (AK1)
char(25) NOT NULL Line 3 Location loc_idn (FK) int NOT NULL
Identification Media Type Code med_typ_cd (AK1) (FK) char(6) NOT
NULL Record Type Code rec_typ_cd (AK1) (FK) char(1) NOT NULL
Storage Date strg_dte (IE3) datetime NOT NULL Series Code ser_cde
(IE2) char(10) NOT NULL System Entry Date sys_ntry_dte datetime NOT
NULL Last Changed Date 1st_chg_dte datetime NULL Last Changed By
1st_chg_by char(20) NOT NULL Timestamp timestamp timestamp NULL
Inventory Inventory inv_idn (FK) (PK) int NOT NULL Abstract
Identification Abstract abs text NULL Center Retention ctr_rtnt_mth
int NOT NULL Months Office Retention ofc_rtnt_mth int NOT NULL
Months Last Changed Date 1st_chg_dte datetime NULL Last Changed By
1st_chg_by char(20) NULL Timestamp timestamp timestamp NULL
Inventory Inventory inv_idn (FK) (PK) int NOT NULL Request
Identification User Identification usr_idn (FK) (PK) char(30) NOT
NULL Request Type rqst_typ_cd (FK) (PK) char( I) NOT NULL Code
Location loc_idn (FK) int NULL Identification Media Type med_typ_cd
(FK) char(6) NULL Requested Request Date rqst_dte datetime NOT NULL
Last Changed Date 1st_chg_dte datetime NULL Last Changed By
1st_chg_by char(20) NULL Timestamp timestamp timestamp NULL
Inventory Class cls_idn (FK) (PK) int NOT NULL Statistics
Identification Location loc_idn (FK) (PK) int NOT NULL
Identification Record Type Code rec_typ_cd (FK) (PK) char(1) NOT
NULL Collection Date colc_dte (PK) datetime NOT NULL Inventory
Quantity inv_qty int NULL Last Changed Date 1st_chg_dte datetime
NULL Last Changed By 1st_chg_by char(20) NULL Timestamp timestamp
timestamp NULL Location Location loc_idn (PK) int NOT NULL
Identification Location dsc varchar(50) NOT NULL Description
Location Number nbr (AK1) char(10) NOT NULL Location Type
loc_typ_cd (FK) char(2) NOT NULL Code Parent Location prnt_loc_idn
(FK) int NOT NULL Identification Last Changed Date 1st_chg_dte
datetime NULL Last Changed By 1st_chg_by char(20) NULL Timestamp
timestamp timestamp NULL Location Location Type loc_typ_cd (PK)
char(2) NOT NULL Type Code Archive Facility arch_fac_flg char(1)
NOT NULL Flag Location Type dsc (AK1) varchar(40) NOT NULL
Description Level Number lvl_nbr int NOT NULL Last Changed Date
1st_chg_dte datetime NULL Last Changed By 1st_chg_by char(20) NULL
Timestamp timestamp timestamp NULL Media Type Media Type Code
med_typ_cd (PK) char(6) NOT NULL Media Type dsc (AK1) varchar(40)
NOT NULL Description ERS Express ers_expr_acc char(1) NOT NULL
Access Flag _flg Last Changed Date 1st_chgdte datetime NULL Last
Changed By 1st_chg_by char(20) NULL Timestamp timestamp timestamp
NULL Object Object Name obj_nme (PK) char(20) NOT NULL
Identification Identification idn int NOT NULL Last Changed Date
1st_chg_dte datetime NOT NULL Last Changed By 1st_chg_by char(20)
NOT NULL Timestamp timestamp timestamp NOT NULL Filler 1 filler_1
char(255) NOT NULL Filler 2 filler_2 char(255) NOT NULL Filler 3
filler_3 char(255) NOT NULL Filler 4 filler_4 char(255) NOT NULL
Filler 5 filler_5 char(255) NOT NULL Filler 6 filler_6 char(255)
NOT NULL Filler 7 filler_7 char(255) NOT NULL Filler 8 filler_8
char(103) NOT NULL Organization Organization org_idn (PK) int NOT
NULL Identification Organization Code org_cd (AK1) char(10) NOT
NULL Organization org_nme varchar(40) NOT NULL Name Organization
Type org_typ_cd (FK) char(2) NOT NULL Code Parent prnt_org_idn (FK)
int NOT NULL Organization Identification Last Changed Date
1st_chg_dte datetime NULL Last Changed By 1st_chg_by char(20) NULL
Timestamp timestamp timestamp NULL Organization Organization Type
org_typ_cd (PK) char(2) NOT NULL Type Code Organization Type dsc
(AK1) varchar(40) NOT NULL Description Level Number lvl_nbr int NOT
NULL Last Changed Date 1st_chg_dte datetime NULL Last Changed By
1st_chg_by char(20) NULL Timestamp timestamp timestamp NULL Record
Record Type Code rec_typ_cd (PK) char(1) NOT NULL Type Record Type
dsc varchar(40) NOT NULL Description Record Type pcdr varchar(255)
NOT NULL Procedure Last Changed Date 1st_chg_dte datetime NULL Last
Changed By 1st_chg_by char(20) NULL Timestamp timestamp timestamp
NULL Request Request Type rqst_typ_cd (PK) char(1) NOT NULL Type
Code Request Type dsc (AK1) varchar(40) NOT NULL Description Last
Changed Date 1st_chg_dte datetime NULL Last Changed By 1st_chg_by
char(20) NULL Timestamp timestamp timestamp NULL Retention
Retention rtnt_rfr (PK) varchar(40) NOT NULL Reference Reference
Abstract abs varchar(255) NOT NULL Last Changed Date 1st_chg_dte
datetime NULL Last Changed By 1st_chg_by char(20) NULL Timestamp
timestamp timestamp NULL Retention Retention Start rtnt_str_cd (PK)
char(2) NOT NULL Start Code Retention Start dsc (AK1) varchar(255)
NOT NULL Description Last Changed Date 1st_chg_dte datetime NULL
Last Changed By 1st_chg_by char(20) NULL Timestamp timestamp
timestamp NULL Sensitivity Sensitivity Code sntv_cd (PK) char(2)
NOT NULL Sensitivity dsc (AK1) varchar(40) NOT NULL Description
Last Changed Date 1st_chg_dte datetime NULL Last Changed By
1st_chg_by char(20) NULL Timestamp timestamp timestamp NULL Synonym
Synonym syn_idn (PK) int NOT NULL Identification Synonym Name
syn_nme (AK) varchar(40) NOT NULL User Identification usr_idn (AK)
(FK) char(30) NOT NULL Class cls_idn (AK) (FK) int NOT NULL
Identification Keyword Flag key_wrd_flg char(1) NOT NULL Last
Changed Date 1st_chg_dte datetime NULL Last Changed By 1st_chg_by
char(20) NULL Timestamp timestamp timestamp NULL User User
Identification usr_idn (FK) (PK) char(30) NOT NULL Default Location
loc_idn (FK) int NOT NULL Identification Organization org_idn (FK)
int NOT NULL Identification Mail Stop mail_stop char(10) NULL
Output Directory out_dir varchar(255) NULL Last Changed Date
1st_chg_dte datetime NULL Last Changed By 1st_chg_by char(20) NULL
Timestamp timestamp timestamp NULL User Class Class cls_idn (FK)
(PK) int NOT NULL Identification User Identification usr_idn (FK)
(PK) char(30) NOT NULL Access Code acc_cd (FK) char(1) NULL Default
Class Flag dft_cls_flg char(1) NOT NULL Last Assigned 1st_asgn_dte
datetime NULL Date Last Changed Date 1st_chg_dte datetime NULL Last
Changed By 1st_chg_by char(20) NULL Timestamp timestamp timestamp
NULL
[0548] System Requirements
[0549] The purpose of this section of the document is to define the
minimum hardware and software needed to run and maintain the
application. This section is divided into three parts; Client
Workstation, Developers Workstation, and Server. The requirements
defined below assume that there are no other applications running
on this equipment at the same time.
[0550] Client Workstation
[0551] The client workstation is the personal computer run by the
average user. Its purpose is to create word processing documents,
spreadsheets, presentations, and to run the ERS application.
[0552] Hardware
[0553] Processor
[0554] 486/66 MHz processor, or faster.
[0555] Memory
[0556] 16 Meg. of memory or more.
[0557] Hard Disk
[0558] 500 Meg. of available disk space or more.
[0559] Access to a common network drive containing the application
software.
[0560] Monitor
[0561] VGA color monitor.
[0562] Printer
[0563] Access to a LASER printer, 300 dpi resolution or higher.
[0564] Network Card
[0565] Must be compatible with available cabling, network software,
and PC hardware.
[0566] Keyboard
[0567] Mouse
[0568] Software
[0569] Operating System
[0570] Microsoft DOS, release 6.22.
[0571] Microsoft Windows for Workgroups, release 3.11.
[0572] Network Software such as Novell or Windows for
Workgroups.
[0573] Application Packages Microsoft Office containing Word,
Excel, and PowerPoint.
[0574] Developer Workstation
[0575] The developer workstation is used to construct and maintain
the application. It contains all the tools needed to modify the
source code for the system.
[0576] Hardware
[0577] Processor
[0578] Pentium 100 MHz processor, or faster.
[0579] Memory
[0580] 24 Meg. of memory or more.
[0581] Hard Disk
[0582] 1 Gig. of available disk space or more.
[0583] Access to a common network drive containing the application
software.
[0584] CD ROM
[0585] 4x speed, or faster.
[0586] Tape Drive
[0587] 250 Meg tape backup, or larger.
[0588] Monitor
[0589] 17" VGA color monitor.
[0590] Printer
[0591] Access to a laser printer, 300 dpi resolution or higher.
[0592] Network Card
[0593] Must be compatible with available cabling, network
[0594] software, and PC hardware.
[0595] Modem
[0596] 28.8 FAX/Modem, or faster.
[0597] Keyboard
[0598] Mouse
[0599] Software
[0600] Operating System
[0601] Microsoft DOS, release 6.22.
[0602] Microsoft Windows for Workgroups, release 3.11.
[0603] Network Software such as Novell or Windows for
Workgroups.
[0604] Application Packages
[0605] Microsoft Office containing Word, Excel, and PowerPoint.
[0606] Microsoft Project, release 4.0.
[0607] Development Tools PowerSoft PowerBuilder, release 4.0.4.
[0608] MetaSolv PowerFrame, release 4.0.
[0609] Norton Desktop for Windows, release 3.0.
[0610] Logic Works ERWin for PowerBuilder, release 2.5.
[0611] Embarcadero Technologies DBArtisan, release 2.02.
[0612] Embarcadero Technologies Rapid SQL, release 1.02.
[0613] Blue Sky Software RoboHelp, release 3.0.
[0614] PC Install for Windows 3.X.
[0615] Saros Mezzanine Developers Tool Kit.
[0616] Saros Document Manager.
[0617] Server
[0618] The server supports the user community and developers. It
acts as the centralized storage point for the system's database and
archived documents. The server should support two modems for remote
access trouble shooting, demonstrations, and training sessions. The
amount of disk space requested should be enough to support two
versions of the database.
[0619] Hardware
[0620] Processor
[0621] Two Pentium 100 MHz processors, or faster.
[0622] Memory
[0623] 64 Meg. of memory or more.
[0624] Hard Disk
[0625] 1 Gig. of available disk space or more.
[0626] Access to a common network drive containing the application
software.
[0627] CD ROM
[0628] 4x speed, or faster.
[0629] Tape Drive
[0630] 250 Meg tape backup, or larger.
* * * * *