Managing The 21st Century Archive

Managing the 21st Century Archive

By : Bill Fairfull

Publication Date: May 18, 2015

Copyright: Simplicity Solutions Group 2015

www.simplicitysolutionsgroup.com | [email protected]| 800.229.7088

www.simplicitysolutionsgroup.com | [email protected] | 800.229.7088

1 Simplicity Solutions Group – Managing the 21st Century Archive

Managing the 21st Century Archive – Records Management

Technology

Overview

The end goal of this information is to deliver a forward looking plan that realizes the potential

in the immediate future and provides pathways to implementing advancing technology to

leverage an initial investment.

The programmatic approach is broken into three major divisions

Accounting for existing systems

Presenting a near to mid‐term vision in implementation

Providing future paths to diversifying records management

We are assuming the archive will manage and keep records of nearly every type. Records can

be consigned in

Historic paper files

Large format technical and building drawings

Technical specifications for systems

Records converted to microform

Paper files in folders

Forms

Meeting Minutes

Agendas

Resolutions

Grants

Public Notifications and Meetings

Highly detailed studies and findings of fact

Engineering studies and reports

Photographs of both ground conditions and aerial grid photographs of varying size and

quality

In short virtually every record type can be anticipated in the management plan. While records

may be diverse in form and content, they come in support of a vital and uniform delivery of the

mission to provide for the transportation requirements as they have existed, as they do exist

and as they may, at some time exist.



It is also highly prevalent to have patently public documentation reside in the same space as

documents and plans of systems that have unique requirements with regard to confidentiality.

In short, managing such diverse record sets that are vital to the discharge of the business

process, safety and security requirements present virtually every challenge in providing an

integrated plan that can deliver in all phases of the life cycle of such records.

The programmatic approach begins with an assiduous approach to inventorying the records.

Records must be accounted for prior to the deployment of any strategy and system to manage

them. While it is possible to sketch a broad stroke plan that fully comprehends the end goal,

the challenges and the approach, it must begin with accounting for the current state of affairs.

The overall programmatic approach starts with an inventory of both existing data and systems,

and a physical accounting of the paper, films, files, drawings electronic backup media and

photographs in the possession of the Customer.



Accounting for Existing Systems

What is the current state of the records system(s)?

It is historically typical that as Enterprise records have mounted in size, that various conversion

projects may have already been undertaken in conversion or management of the existing

record sets.

Starting the late 1970’s Enterprises began looking to preservation microfilm to capture

business documentation. In some instances Enterprises with progressive records and risk

management plans purchased the commensurate equipment to effect such conversions, more

routinely outsource microfilm companies were utilized in standard “normal course of business”

procedures.

As microfilm began to ebb as a durable technology, electronic conversion of records was

embraced and Enterprises routinely installed equipment to capture records or conversely

obtained the services of outsource scanning companies to convert records.

In the interim between the ebb of microfilm and the emergence of scanning, it was routine to

box records and create archives to deal with the advancing records requirements.

Then in the more recent past and persisting to the present, we have the proliferation of the

“Shared Drive”. Such network resources can be populated with information that qualify as

records, or not, however they should be considered in the inventory of records ahead of

deployment of any unified plan

Each method presents its own challenges as to record data.

They also present opportunities to capture existing data for unification into an integrated

system that can deliver advancing functionality to realize near term goals in effective

management and provide opportunities to leverage emerging technology in the future.

The largest expense associated with a consolidated records plan is compiling the meta data that

supports the record set. It is for this reason that the programmatic approach begins with an

accounting of all historic information regarding how the records were managed or converted in

the past, then to leverage those expenses into the new records management plan.

This study will provide guidance in the implementation phase as to what equipment is

necessary to support the existing records. In the instance of microfilm decision points will be

revealed. In the instance of legacy electronic systems, data conversion projects may emerge

and in the instance of archives and tracking, record indexes will be in existence that can directly

import to the deployed solution.



Microfilm

Is microfilm in existence? If so, is the underlying paper still in existence? If the paper has been

destroyed, then the archive must be prepared to distribute record information from

microforms. This requires specialized equipment, or in the alternative a dedicated plan to

convert microfilm to electronic image for distribution and retrieval.

Legacy Scanning

Have records been scanned? If so, is the underlying paper still in existence? If the paper has

been destroyed then the integrity of electronic archives must be tested and confirmed as to

their ultimate usefulness. Many legacy systems utilized over 20 years are no longer supported

by software or software companies, while the data and a method to access it may physically be

in existence, it may be highly unlikely that it is useful in an integrated system that would

leverage advancing methods and technology.

Tracking Systems

Tracking systems can be anything from spreadsheets to text files to databases in various forms

from Fox Pro to Access and everything in between. It has been routine in Enterprises around

the world to commission in‐house versions of records tracking or in the alternative, to purchase

industry specific software to manage records and projects.

Such systems present distinct and tremendous advantage in unifying diverse record sets and

policies into a distilled plan to realize a final deployment strategy.

The Shared Drive or the “Network Share”

Unfortunately these may routinely provide the most significant challenge in consolidating

records into a management strategy. In most cases they have been hastily deployed with little

to no management structure. They have every opportunity to have copious amounts of

duplication and to have highly diverse records mingled in poor defined structures.

However. It is entirely foreseeable that such network shares are in existence and that they are

managing vital records, therefore it is essential that they be accounted for, inventoried,

documented and introduced to the accounting phase of the plan.



Phase 1: Deploy a form based inventory system

It is expected that among the voluminous vital records that are in existence; reside record sets

or parts of record sets that are extraneous or outdated and have reached the end of their

lifecycle and usefulness to the Customer as a whole.

However among these are records that are vitally important to

Customer Operations

Operational Continuity

Regulatory and Statutory Compliance

Fiduciary and Legal Obligations

Fiscal Documentation

The goal and end point of this phase of the overall implementation of new policies and

procedures is to gather relevant information regarding records where ever they may be and to

create uniform methods to manage them. The inventory system is explicitly to provide

structured data sets that quantify records and begin to coalesce raw information into data that

will assist in decision making.

The method that is preferred is the deployment of a standardized form that will allow users to

enter useful information that is structured on the front end to begin to categorize records into

a standard unified system. The form provides input of record data into standard categories.

The system envisioned should be easy to use, portable and highly accessible to potentially

hundreds of respondents.

The Database Application

Stripping away the variations presented in Enterprise record sets, the underlying goal is to

assemble a data set. The use of a database and therefore a database application is preferred.

While it is possible to assemble this information in spreadsheets or in written form, the use of a

single database consigned with a structure that is uniform from user to user presents the

greatest opportunity to assemble useful information.

The database application must conform to certain rules as to

Access to data

Standard Notifications to Project or System Admins

Creation of Site Management



Easy deployment of users and user levels

Application of Retention Policies to inventoried records

The method proposed consists of adapting a standard Records Management Application, which

has the core functionality outlined to the gathering and assembling of the data. While the end

point of this phase is not to actually manage the records, it is realized that if the data is

substantially ordered on the front end in the same manner as it will be potentially managed

additional benefit is obtained.

Implementing a database application which substantially and materially conforms to the basic

rule set presented allows a precise deployment of the stated functionality. The database

application will provide

Fast deployment of the database structure

Proactive Notifications to relevant user levels

Fast deployment of users to the system

Application of relevant Retention Policies

Site Management

Uniform inputs through the use of a custom form

Backend export of data to specification and use in other applications

Available documented API methods to integrate the data with other applications

The end point is achieved by deploying the system and creating a bulk email to all potential

users to the system with a link to the form and instructions on how to utilize the inputs. Such an

application may also provide a “Help” system to allow the authored policies to be distilled into

useful assistance to respondents as the form is being accessed and completed.

It is further recognized that such a form may take some users longer to fully complete than

others. It is preferable and required that only complete forms be submitted to the database. As

such, a system that relies upon a “session” paradigm is necessary.

Such a system defines what a complete form is and prevents the user from navigating away

from the input form until and unless it is fully completed based on the rules established by the

database application. Therefore, the form will hold “’open” and retain all entered information

until it is complete and submitted. This allows the user to complete as much as they can and

return to the form until they have a fully submitted subset of the overall data set.

Submitting the form then retires the user. While they may login to the application again, they

may only see the form as it has been completed and no other completed or partially completed

form of any other user.



Finally the security of the database application is of the essence. It is required to maintain all

input information confidential and therefore not accessible to individuals that have not

assembled it, while holding out a system that allows authorized users to view

Across user inputs

Across projects but not sites

Across user inputs but only stated projects

Across projects and sites

It is necessary then with the requirements and constraints presented to rely upon an

application that provides the core database functionality.

The application then can be configured to eschew functionality that is not relevant to the stated

goal and end point of this phase of the project, however is adapted to the use of custom input

forms.

Such a form may be designed and implemented and utilized as the sole input for the database

by simply locking out functions resident in the application and presenting the form in their

place.

Users may be established in any manner that meets the constraints of record confidentiality,

while providing authorized users defined access to some or all of the data gathered.

The Input Form

The proliferation of custom designed HTML forms is ubiquitous in today’s web application

technology. HTML forms are utilized in virtually every type of application to gather data and

then render it useful to a database that can perform functions upon it.

As such the technology proposed and presented is highly mature in its application across

virtually every business process from the E‐Commerce we rely on every day to complex web

based accounting functions and social media.

It is the standard in how to gather data and present it to a useful process while making the

same input opportunities with uniform structure and inputs available to huge user bases. As

such the form input can be precisely designed and implemented quickly relying upon very

standard practices and procedures.

Among the requirements of the form are “Required Fields”, these present the fields that will

become database tables within the application, they will collect the user input and are designed

to elicit standard replies to basic questions.



The basic hierarchy should consist of gathering the following information in overall organization

of the data set

Site that the user is entering data for

Location within the site the user is entering data for

Asset or Project that the records belong to

Record Type within the Asset or Project Structure

It is desired that upon login in that the users’ site information is pre‐loaded to the session,

therefore pegging the user to the site provides incidental information that is vitally important.

Grabbing the users location within the site, pegs the exact location of the inventoried records.

Asset or Project ID and Record Type then provide the highest order of organization of the actual

record set. Gathering just these 4 elements provides a very high level order to the records and

begins to implement the management strategy simply by providing accurate information to the

form.

Subsequent, required fields then begin to assemble highly granular information record by

record, or record set by record set.

To achieve the goal and end point of this phase, then, it is required that the form be assiduously

designed to present only relevant and useful choices and force the consignment of diverse

record set(s) to a pre‐planned system.

Again the use of the HTML form is an extremely preferable method. Through the use of

standard form elements

Drop down menus with defined and qualified choices

Radio Buttons or Checkboxes that limit responses

True / False – Yes / No statements that rules can be established around

Free text only for unique record information (record index)

Multiple Choice where applicable

Form submission only upon validation of the completeness and conformity of the form

information locks out irrelevant or incorrect responses

Such a form/database application can be deployed quickly around the known data structures

and management platforms and directed to persons known to be involved in the management

of records.

Customer ORG Charts and Network Maps can be easily and quickly implemented to make the

fastest possible deployment of the inventory phase to effectively begin to derive a scope.



Phase 2 – Deploying a Near to Midterm Strategy

The Enterprise can then consider a comprehensive for a state of the art records system which

can make use of existing and advancing technology and equipment to discharge its core

mission.

Once the granular particularities of the record set(s) is fully scoped, the possibilities are then

known and actionable. For the purposes of the plan to deploy, the system must make several

absolute assumptions

Some records will be public in nature

Some records will be absolutely confidential

Some records will be permanent in nature

Some records will routinely meet retention and be destroyed

Various retention policies may be in effect

Records will routinely be required in remote locations

User levels must account for complex access structures

Records will be managed in a physical archive in most cases

Records may be originated by virtually any employee of the Customer

Several physical sites may be serviced

Records are subject to public records laws and must be audited

Records will be physical and electronic in state

In short the Enterprise’s vision can then follow the flow of records management into the service

of diverse platforms simultaneously. Essentially there are 4 things that can happen to a record

and only 4:

They can be maintained in physical active filing structures

They can be boxed and archived in warehouse or archive facilities

They can be converted to another form

They can be destroyed

Typically these have been presented as competing interests in the service of the record. They

are not, they are routinely happening simultaneously in Enterprises of varying concern with or

without conscious effort or an integrated plan.

They represent the 4 significant and major methods available to servicing advancing records

systems. As such, any plan that considers records management and their continuity and

perpetuity while offering leverage of advancing technology should effectively provide for each

method.



In short the effective Records Management plan and application performs all of these functions

simultaneously in the same system. Such a system does not care what state the record is

actually in only that it exists and must be accounted for and serviced effectively.

Therefore active records that will be tracked, may also be scanned, records that will be stored

in an archive should also be tracked and may be scanned, and finally records that may exit the

system on retention being met should be accounted for in furtherance of prudence and in the

fullness of diligence prescribed by law or policy.

While the vision with regard to such a system seems simple and self evident, the technology

that effectively delivers on that vision is limited. This is largely owing to the fact that the records

management industry is composed of interests that compete for one segment or the other of

this paradigm and therefore do not intrinsically concede the value and usefulness of all

methods.

The programmatic approach proposed is to employ a system that fulfills the intrinsic vision of

the advanced system. This comes in realizing that the records and the methods desired are

diverse while the goal itself is extremely unified: effectively service all available record sets

utilizing all methods available where advantage in any one is realized. Such a system should

simultaneously hold out the possibility that while one method presents immediate advantage,

another method may emerge at any time as more advantageous.

Managing the Records

Assuming then, on deployment, that a full and complete inventory of all records has been

performed and a concomitant data center and archive are equipped, the goal is to not only turn

the key on the archive. The goal is to provide a durable path to continued efficacy; the goal is to

never have to do this project again.

How is this best accomplished? The programmatic approach should identify every place where

records intake happens, where records are originated and how exactly, at the moment they

come into existence they will be managed to their ultimate end point.

Knowing that on the day the archive opens, ensures that the vision is fully realized.

Every office that the Enterprise engenders should have a fully adopted plan that mirrors what

the archive will do. Records should be originated and taken in and immediately be consigned to

the tracking portion of the overall application.

Unified systems of filing and standard records management plans should be adopted at every

location or “Site” that will comprise the Enterprise’s Administrative footprint.



The best approach is the “hub and spoke”, where the central archive is the hub and every

remote location or “Site” is a spoke. It is assumed that every record originated or taken in shall

eventually find its way to the archive in one form or another.

With the archive itself, the same system is in place.

A singular location where all records enter the facility eliminates “outlying” issues with

nonconforming items. A method that “transfers” the known contents from a remote location to

the archive will eliminate unauthorized movement of records. Such a system will also create an

intrinsic check on records transfers.

Unknown items should not enter the archive. Everything that enters the archive should not only

be known, but anticipated. And all transfers to the archive should be properly authorized,

proper authorization should only be possible by properly authorized users.

A forward looking management plan will account for, not only methods, but procedures and

present fast deploy opportunities for new requirements.

Every location or “Site” in the system should be managed in the exact same manner, utilizing

the exact same procedures effectively making every site a mirror image of the archive.

A Document Center

Since the system proposed can make use of any method in the effective distribution of records

it should be a policy that the first option in fulfilling any request for documentation is to scan

the record.

Such a system is commonly known as “scan on demand” and is quickly becoming the preferred

method of more progressive document storage companies. The system proposed is highly

adapted to this method as it is preferable for many reasons.

Among these

Nearly instantaneous access to records anywhere in the world

Security of original documents as they are maintained in the highly secure archive and

not routinely distributed back to remote locations or sites

Attrition of the physical record set(s) as they are routinely accessed and scanned to the

system

Durable access to the records beyond the initial request

Availability of records in public access kiosks with Customer locations

Availability of public access web portals via the Internet

Intrinsic physical distribution of scanned records via the “Print” button



A fully equipped document center such as one would see at a local big box office supply store

would be fully envisioned within this proposal. The presence of equipment to scan documents

and technical drawings will speed the conversion of requested materials.

A stated location within the Site: Archive of “Document Center” would provide a proactive and

auditable queue of requested documents awaiting distribution via scan .

Similarly, since the vision is for a “state of the art” facility and plan, it is easily assumed that the

end point of a significant amount of the records the Customer maintains and will maintain will

be scanned, this is a proactive movement toward the future.

While it is true that the most cost effective method of converting large record sets or specialty

records such as those on microfilm or in legacy systems may still be the outsource vendor, the

document center provides a reasonable and proactive alternative to create small scale

conversions of prudence or convenience.

A sample workflow may reasonably look like this

Enterprise user logs on to the system to search for an off‐site record

Folder barcode number, RFID tag or Folder index may be utilized in search

Folder (record) is accessed in the system

If the Folder has been scanned, the record may be viewed, downloaded or e‐mailed to an authorized third party

If the folder is in the process of being converted its status will be viewable,

regardless of the progress of the record in the conversion process, it may be requested.

The applicable record will be pulled from the conversion queue, scanned to the Customer’s specification and replaced to the box it was originally transferred in.

A notification will be sent to the requesting party that the record is available to be viewed, downloaded or e‐mailed.

A user may utilize the system to view the record, or download or e‐mail the record.

The Status of the record will be changed to “Scanned – Return to Archive”

Audit entries for all actions to the system will be conferred to the database.



Similarly, should the Enterprise, from time to time, decide to utilize third party vendors on bid

for large scale conversion projects, the system can provide proactive inventorying and control

of records going off site for conversion.

Any system that will look to the future will provide for the physical maintenance of existing

records, while anticipating varying options in converting records, including third party vendors.

The programmatic approach calls for providing an application which presents

Hot Folder Capture of Content

Batch Scanning with the Management Application

Easy introduction of 3rd party scanning conversions via image files with mapped ASCII

data

The document center should function as in‐house demands arrive and as the point of ingress

and egress from the archive for document transfers out to Enterprise site locations or potential

third party vendors for scanning.

The Management Application

The heart of the approach is the application that will distill inventories, policies, methods,

procedures and access points to a single system that will flow records into the archive and

present multiple delivery opportunities to a varied matrix of user types.

The reality in today’s world, a world that was considered forward looking into the future as

little as 10 years ago is now dominated by fast deploy, small footprint web applications that are

natively and easily integrated with mobile devices.

The proposed solution for management of the record archive is such a solution. It utilizes the

principles of Big Data and intrinsic mobility and combines it with years of experience in

managing records into conversion in compliance with policy.

It relies on web standard methods and is not buoyed into a hodge‐podge of desktop

applications clumsily strung together through archaic network logons or the reliance upon ever

more costly platforms that define the “old way of doing things”.

There are no distributed CD’s to install on hundreds of desktops or “network rolls” that take

place on “off hours” to ensure that the network doesn’t crash on deployment.

It is born and lives and grows as web technology continues to advance and it assumes at all

times that PC workstations will one day be a thing of the past and that smart devices and

mobility is the ultimate path to the future.



It is a web application called QuantumTrack – Archive Version.

It relies upon a structure of programmatic “objects” in all phases of its architecture.

Objects are

Sites

Tasks

Notifications

Reasons

Locations

Retention Schedules

Users

Permissions

Functions

Audits

Reports

Record Classifications

It goes beyond what is commonly known as dataset “parent / child” and presents an object

oriented data structure that can nest one object within another. Such that sites may defined

then nested under the archive.

Access to the Archive may be access to the entire enterprise or if the user is nested within a site

within the Archive, then only those things nested under or within that site will be known to

exist to the user.

Similarly users may be defined and nested under the Record Classification such that only

certain records classifications would be known to exist to the user logging on under that

classification. This provides for a method of classifying records as “Public” then creating a public

login that can only see and therefore access those “Public” records.

So let’s see how we get to a single piece of paper in a box on a shelf at the Archive



Enterprise – Customer

1. Site ‐ Archive

2. Archive Location – Secure Shelving A2

3. Box “93‐012”

4. Folder – Smith Road Widening

5. Document – Easement

What’s happening here?

All sites are nested under the Enterprise.

Within the nested Enterprise are nested locations

Within the nested Locations are boxes

Within the nested Boxes are folders (records)

Within the nested Records are documents

The method is one of infinite nesting to an irreducibly complex unit, the document, which is the

lowest common denominator in records management.

The entire system is built this way. Each object contains infinite nesting opportunities based on

functions or methods.

So, in example, the project need not define every permission that could ever be conceived of

on the front end.

There are 6 basic permissions in any system that distributes or “tracks” records

View

Print (which is also copy)

Distribute

Create

Destroy

Move

It is not necessary to create every variation, nor is it necessary to know what something will be

in the future, it is only necessary to service the 6 possibilities.

Any permission to perform any function may then routinely be added, by simply adding it under

the applicable function.



So, in the instance of a record clerk that is authorized to manage records at a site, but not

authorized to create boxes or transfer them, a named permission under “Create” may be

Create an archive box

If the user is not authorized to create anything, then they cannot create a new box. If the user is

nested within the Create permission at the top of the hierarchy, then every method that

Creates something is available. Nesting them lower on that hierarchy, then limits their create

ability. In example, if they are authorized to create a record, that is lower in the hierarchy than

a box, then they can originate a record, but they may not originate a box.

Similarly, they may be able to create something, but not move it, therefore they cannot create

an authorization to transfer the box.

Instead of hard coding functions, then constantly returning to the core code to create

additional functionality, QuantumTrack creates irreducibly complex functions then allows

instantaneous augmentation of stated workflows by nesting them under those functions.

So, going back to the beginning, regardless of the amount of complexity that the records

management industry references and rightly so, all of that complexity falls into 1 of 4

irreducibly complex methods:

They can be maintained in physical active filing structures

They can be boxed and archived in warehouse or archive facilities

They can be converted to another form

They can be destroyed

No matter how many permutations are envisioned, they are inexorably tied to one of these 4

methods. QuantumTrack is designed and coded in this manner recognizing this and

proliferating this across its methodology to create a highly flexible, extremely granular

environment with a small footprint and an ever expanding set of options.

Tracking the Records – The Tasking System

So whereas QuantumTrack begins its mission managing the records and knowing what records

you have, the basis of tracking is actually knowing the following:

What records exists

Where they are

What their status is

Where they’ve been



These are the essential components of the tracking application. If you know that a record exists

and where it is and what the current status of it is, then tracking it is a matter of knowing that

and then creating a detailed audit of every move the record makes or has ever made.

QuantumTrack accomplishes this by presenting a very simple to use and flexible tasking system

that combines the components of tracking and simple to deploy workflows that represent real

world eventualities.

The Admin Screen:

This is where the tracking system is “created”. And it is created to the exact specifications that

match your records and your requirements.

CRON – This allows for the creation of email notifications that take place based on rules. Rules

can be anything that follow a policy. Things such as “Checked out Records Overdue – Please

Return”, or “You have requested more records than your authorized limit”.

These are custom notifications that remind users that an action on their part is required.

STATUSES – The status is hardwired into QuantumTrack and is presented at every turn of the

corner on nearly every screen that displays record information.

Knowing the status of the record is essential in tasking and tracking around the record.

However, in this system, it is only the process that is hardwired. The actual types of statuses

you may require, well, they are based on your unique requirements, and as they change or

perhaps, grow, then your available statuses can respond.

Across the top of every tab on the admin screen is a free text data entry field, if you need to

add a unique status, simply enter the value and submit it to the system. From that point

forward, it is an available status to any project in the system.



This demonstrates the unique flexibility that QuantumTrack offers in Hyrbrid Records

Management. Since it is capable of, not only tracking the physical records you manage, but also

allow systemic or ad hoc attachment of scans of the record for records request fulfillment, the

ability to create a status that reflects policy is essential.

In the following list, which was created solely by requirement, several of the available statuses

have everything to do with the record that exists both on a shelf as a physical file and as a scan

of the record that has been attached to the system. This is known as “On Demand Scanning”

and it is becoming quite a popular and useful method to allow instant access to records

regardless of where the record is, or where the user that needs it is.

On Demand Scanning is a tremendous tool to speed

the delivery of content as quickly as it is needed.

However, the problem, from a Records Management

point of view is that if this is not controlled and

based on policy, then multiple copies of a record can

quickly populate shared drives and email InBoxes.

This frustrates the policies and creates huge liability

in access to records.

Utilizing a flexible and customizable Status system

allows the Records Manager to implement a policy

that maintains “single copy integrity”. This means

that policy controls the distribution of the record,

not any employees “Send” button.

So, while the record may be “Active” and on the

shelf, QuantumTrack can confirm that and track that.

Once the record becomes electronic and is attached

to the system, then it can only be distributed by

offering access to it in the system.

Further, the record is retained in the system as

electronic and can be amended, either as paper or

as scanned content, but the original is retired based

on policy and then is tracked in that manner



So what are we getting at here? QuantumTrack is the CURE to the madness and very insecure

method known as the “Shared Drive”. The shared drive obfuscates reasonable records policies,

however is entirely subject to it.

Multiple copies of records, scans of parts of records, versions of records proliferate these binary

wastelands, just waiting to be accessed by unauthorized users, or copied multiple times on

email accounts and servers, or in the extreme – DELETED.

TASKS – When you add in the task to the system, you create very specific, very trackable,

authorized methods to keeping the records and making them available.

Again, the task system allows for the creation of any authorized function, and locks out every

other one. It presents the Request User with a specific menu of options that are authorized for

any given record set.

A sample list looks like this:

LOCATIONS – This is the “WHERE” of the matter at hand. Where is this? I need it! So again

QuantumTrack acts as a software application, the way you act in the real world. Things change,

So again we see the ever present free text box in the

tasking tab. This allows very unique and project driven

tasks to be created.

So while the task list is dynamic and flexible, the actual

system is once again hardwired into QuantumTrack.

When a user requests a record, they are presented with

the authorized options for that record.

This lets the user that will operate the record system

and fill the request to operate with explicit and policy

driven options.

It also acts as a system that limits activity in the record

set to exactly what the policy it represents states the

action should be.

As requirements increase or change, this list can be

amended to create additional options on the task menu

when records are requested.



offices are converted to conference rooms, companies expand onto other floors, warehouse

space may be added.

The growing Enterprise is likely to encounter a very dynamic environment in which it operates.

So for that reason, Locations can be added and subtracted in the way in which the real world

works.

A sample list looks like this:

Now, as we look at this list a couple of things become

apparent.

Locations can be anywhere

Locations can be anything –even people

Why does that matter? Well in today’s world the remote

employee is quite prevalent. Perhaps Mary Jones is a field

engineer and is rarely in the office. How do we actually know

where a record that Mary has requested is?

Well, the only way to know that is to know where Mary is,

that’s why locations can be people at the same time they can

be physical spaces in buildings.

The advent of the “telecommuting” team member is also

prolific. While QuantumTrack offers the remote employee

the opportunity to request a record and have it scanned to

the system, it can also track out the physical record if that is

what prudence or policy dictates.

Some record sets (projects) prohibit records from leaving the

building, therefore when the project is created, the choice to

add people as locations is an option that may be declined.

For the record set that is entirely based on distributing

records to remote locations, then those projects can be

configured to utilize no physical locations, only people. This

allows the “On Demand Scanning” policy to ensue, or it will

track out records and then remind the user to return them

based on rules.

Or, some projects may have multiple remote employees and

a project manager that resides in the office. QuantumTrack

Location System doesn’t care where they are, or what

physical state the record is in, it is equally accessible at all

times to all authorized users.



The important thing to remember is that the location system in QuantumTrack can be

positioned to accommodate any organization and distribution scheme that is required.

You may mix and match any combination of these locations along with any combination of any

other element of the tasking system in any project. Some locations can be in all projects, or

none and locations or any combination can be utilized anywhere in the application.

Retention Policies – Management of the Records

While records management contains many components, one of the primary and most

important function that it accounts for is when records become records, then when they have

met their legal limit for destruction.

Alternatively, Retention Policies may also be utilized to make actions such as scanning and

archiving to long term storage easy and predictable. While there are very standard guidelines

based in law and “best practices” each enterprise invariably has unique requirements.

Just as dynamic tasking and location strategies create a flexible and responsive solution, the

ability to create and apply retention scheduling is far easier if these can be defined quickly and

easily.

What is important to mention is that the flexibility of QuantumTrack allows records retention

to be calculated from any date field in the project, or time may toll from the date the record

was created in the project. This allows the Admin to set the system to apply a retention

schedule to records as they are created, or allows bulk introduction of records to the system, as

Without repeating the basic theme here, at the time

of system implementation , all of the applicable

retention codes can be added to the system, then

amended as necessary over time.

Amendments to this menu will not affect any records

already consigned to QuantumTrack. These policies

may be simplified and human readable as to time

frame, or policy codes such as

AP‐RC‐0001

AR‐RC‐0002

May be created as they are outline in Enterprise

policy manuals for retention.



in backfile scanning projects to create uniform retention periods at the time of project

commencement.

Retention Policies are also subject to the notification system in tasking. As records reach

maturity with the system a list is compiled in the background and notifications are issued to the

project admin.

The project admin may then review the subject records and approve them for destruction,

which then compiles the list(s) into an Authorization for Destruction. Once records are

destroyed in accordance with policies, the authorized and executed list is converted to a

Certificate of Destruction. The Admin for the projects(s) is notified and the Certificate of

Destruction is stored in the system by name, date and other information as may be material to

the documents.

Retention may also be queried in the system, all records having a status of Retention Met, can

be proactively compiled to a Request For Destruction, then the same workflow obtains.

Reason Codes – Why are the records out/What should I do with this?

QuantumTrack offers available reason codes for the tracking system as well. Once again the

reasons a record may be out are varied from organization to organization. QuantumTrack

responds to this in the same way as all other areas where flexible implementation is useful.

Anything may be coded in this list and on the request screen these codes are presented for the

requestor to add particularity into the request information or to create a locked down system

where records do not move unless there is a “good reason”.

Reason codes can prevent unauthorized distribution of

records from a central location or acting together with an

effective task list can provide very directed requests.

Not only the “what” but the “why” can be offered in the

request for an action around records. This can be

Why I need something from you

I have something that you need to do something

with

I need this and because of this reason, I need it

urgently.



The Site System – Dealing with Multiple Physical Sites

As it is in today’s business world a business Enterprise may have multiple sites that span

counties, states or even countries. QuantumTrack responds to that by facilitating and easy site

creation system.

When a new site that will keep records or even open new records then periodically transfer

them to a central facility, QuantumTrack allows the fast creation of sites through it’s site

system.

First the manager or Admin in Spokane has to authorize a transfer. That transfer gets routed

through the Admin in the recipient facility so that they know that records have been

transferred to their location. Thereafter notifications are issued to all parties to the request that

the record is away from its home site. And these notifications will continue to arrive until a

permanent transfer is made to the new site or the record is returned.

The transfer screen comes complete with all record information including who made the

request, a place for the method of transfer and in the event that it is say Fed Ex, UPS, USPS or

anyone who issues a tracking number, that may be entered at the time of transfer.

So you’ve acquired a new business with records, or opened

a new office in Spokane? No trouble for QuantumTrack.

Create your site, create your locations that describe that

site and then assign them to the new site.

Adding new users at the site? Simply add users then assign

them to that site. Why do we want to assign users to a site?

Well it would do no good if Bob in the Phoenix office were

requesting records that are in the Spokane office. How

could the filing staff in Phoenix fill that request?

They couldn’t. If Bob requests a record in Spokane, then it

goes to the filing staff in Spokane, and it is first routed

through that filing room’s Admin.

That’s right, your filing staff’s InBoxes will not be cluttered

with requests they have no earthly way of filling. And

records will not be flying out the door without the system

keeping track of that and getting proper authorization.



QuantumTrack presents a full feature set to fully manage the archive. It’s features provide

Granular tracking down the document level

Dynamic Reporting of any data set that can be compiled

Fully integrated labeling from color coded file labels to transfer labels for boxes

Custom Form Integration

Batch Scanning

Hot Folder Auto Upload

Integrated HTML 5 Viewer

Bulk introduction of items to the application

Custom Workflow Creation

Tasking

Notifications

Retention Scheduling

Precise Authorization Points

Intrinsic Public Access

Public Records Kiosks

As the architecture of QuantumTrack is standard web technology, public access portals known

as “kiosks” can be deployed in any number by simply providing any device of any type with a

browser and access to either the Internet or the Internal Server.

No other software is required and a signal user named “Public User” can accommodate any

traffic to the system at any time.



Providing Future Paths to Records Management

The programmatic plan presented assumes that nothing ever remains static. Especially within

today’s ever advancing technology landscape, change must be assumed.

The very nature of the programmatic plan assumes that not only will things change, but they

are likely change quickly.

As the application(s) presented are born and live on the same platform as the social media that

constantly advances quicker than we can keep up with it and the varied platforms of E‐

Commerce and trade and logistics that deliver the world to our door, the technology can

constantly be developed alongside these same advances.

In the future, public access may be easily delivered to any PC, laptop or smart device via the

Web Portal, by simply enabling it and defining a structure to charge for certified documents.

The Record Classification object can define this, then deliver the documents to standard and

secure E‐Commerce methods that are ubiquitous and likely to ever advance into our lives.

The technology is made to be delivered via smart device on Android or Apple devices, it

assumes that at some point this will no longer be a option, but a requirement.

It has recently been integrated with Trimble Juno Handheld devices via an in‐house Android

development that makes it compatible with portable RFID or barcode methods of inventory

including GPS tracking. The Android app can run on any input device running Android 4.1 or

above and custom Android development is always only a specification away.

The applications are ALL developed from the API out via standard web services that are as

prevalent as the air we breathe, making it an integration candidate for any application that can

make use of a web services API, which today is nearly all of them that want to have a future in

the software market.

It’s API presents integration with infrastructure RFID without the use of middleware, which is

quickly becoming the “old way of doing things”. It’s API structure makes it a candidate for any

reader on the market now or to come in the future.

QuantumTrack is tomorrow’s technology today.

And finally, the ultimate forward compatibility is that whatever data structure you put into it

then fill with data can be easily and simply exported from it utilizing extremely standard

methods for introduction into anything that will ever be able to receive data.

Managing The 21st Century Archive

Documents

Transcript of Managing The 21st Century Archive