Define a disposition schedule
An authorized user defines a disposition schedule and associates the schedule with a record category, record folder, or record type. A disposition schedule can be defined by a Records Manager or Records Administrator. In the PRO data model, a Records Manager, Records Administrator, or Reviewer can assign a disposition schedule to an entity. In the Base and DoD data model, a Records Manager or Records Administrator assigns a disposition schedule to an entity.
Disposition schedules can have multiple phases, where the affected entities go through disposition steps such as review, export, transfer, or destruction. Although a disposition schedule does not require multiple phases, the schedule generally includes two phases:
- A cutoff phase to end the active life of the entity.
- A phase to specify the final disposition after cutoff.
To define a disposition schedule
- Select the Disposition tab.
- Click
Disposition Schedules
- Click
Add Disposition Schedule
Step 1 Describe Schedule
- Enter the name and description of the schedule.
- Enter the name of the authority responsible for the disposition of entities and click Next.
Step 2 Set Trigger
In this step, set the condition that triggers a cutoff of
entities. A cutoff can be automatic or require approval. To require approval, specify a disposition cutoff action. For an automatic cutoff, do not specify a disposition cutoff action.
- Click the corresponding radio button to select the trigger that initiates cutoff.
- For the calendar date, you can type in a date or use the calendar control.
- For Predefined Date, Internal Event, External Event, or Recurring Event, select an item from the drop-down menu.
These items were created previously in the IBM InfoSphere Enterprise Records Configure tab. Click Show
Details to display the details of the trigger. For information about adding
the triggers, see Add a predefined date, Add
an internal event, Add an external event,
or Add a recurring event trigger.
- If desired, set a Disposition Event offset to specify a time interval between the start of
a cutoff and the launch of the associated cutoff action.
- If desired, select a Disposition Cutoff Action to associate
with the schedule.
- Each cutoff action was previously added in the IBM InfoSphere Enterprise Records Configure tab and has
an associated workflow. The disposition sweep automatically launches this workflow
after the cutoff plus any offset. The Disposition Cutoff Action drop-down menu contains only those
actions that belong to the Cutoff action type. For more information about actions, see Actions.
- The CutOff Base drop-down menu provides a set of IBM InfoSphere Enterprise Records date properties that calculate
cutoff dates based on individual IBM InfoSphere Enterprise Records entity properties. If you leave this set to [Event
Date], Disposition Sweep uses the trigger event date for the cutoff calculation. Disposition
Sweep adds the disposition event offset to the cutoff base date to compute the cutoff date.
For example, to set the cutoff date to 2 years after the record was created,
set the CutOff Base date to "Date Created" and the Disposition Event Offset to
2 years. Disposition sweep will then use each record's creation date to compute the cutoff
date.
- Click Next to create one or more retention periods, called phases, for the current schedule. If you
click Finish, entities associated with the disposition schedule do not have a specific retention period.
Step 3 Set Phases
Associating phases with a disposition schedule allows different operations on an entity at different intervals. Each phase specifies a disposition action and retention period for an entity. For example, to review an entity before disposal, add two phases in the disposition schedule. The first phase specifies a review of the entity, and the second phase specifies the disposal of the entity. IBM InfoSphere Enterprise Records executes multiple phases in a disposition schedule in the sequence that you add the phases to the schedule.
You can also define multiple Alternate Retentions within a phase. Alternate retentions provide variable retention periods based on a property value. When none of the alternate retention conditions are true, IBM InfoSphere Enterprise Records uses the default retention period. When more than one alternate retention condition is true, then IBM InfoSphere Enterprise Records applies the alternate retention with the longest retention period.
NOTE The number of alternate retentions or the complexity of their criteria will have a performance impact on retention calculation.
After IBM InfoSphere Enterprise Records applies the cutoff action on an entity, the first phase of a disposition schedule is applied to that entity. At the end of the retention period of the first phase, entities are due for the disposition action associated with the phase. After IBM InfoSphere Enterprise Records completes the associated disposition action, the next phase in the schedule begins after approval from an authorized user.
To add a new phase in the disposition schedule
- Click Add New to open the Phase Properties page.
- Enter a name and description for the phase.
- Select a Phase Action from the drop-down menu.
- Actions were previously created in
the IBM InfoSphere Enterprise Records Configure tab.
- IBM InfoSphere Enterprise Records completes the action on entities at the end of the phase.
- Each action includes a predefined workflow that IBM InfoSphere Enterprise Records launches for that action.
NOTE Phases that transfer or destroy entities are
final phases. You cannot add another phase after these types of actions.
- In the Is Screening Required field, select True to require a review of entities before launching the workflow associated with the phase. If screening
is not required, select False.
- If you select the Transfer, Export, or Interim Transfer action for the phase,
enter a location in the Export Destination field. The location can be:
- On a remote server. For example, \\<server
name>\<folder name>.
- A folder on a local drive. For example, <local drive>:\<folder
name>.
- Specify a Default Retention period for entities in this phase. A value is required if you are NOT assigning alternate retention periods.
- To set up conditions
so that entities remain in the phase for longer or shorter times based on a property,
complete the following steps to create alternate retention periods.
- Click Add New to display the Alternate Retention screen.
- Select a property name from the drop-down menu.
- Select an operator from the drop-down list.
- Specify the property value. The value you enter depends on the property.
- Select the Retention Base as the starting date for the retention
period.
- Specify the Retention Period Days in years, months, and days. IBM InfoSphere Enterprise Records adds the value
specified here to the Retention Base. On the resulting
date, IBM InfoSphere Enterprise Records applies the phase action to the entity.
- Click Accept to add this alternate retention to the
current schedule and return to the Phase Properties screen.
- Continue adding alternate retentions for each condition by clicking Add
New.
IBM InfoSphere Enterprise Records populates the data from the previous alternate retention in all of the fields
so that you can change the required fields. If necessary, you can select the
Remove check box of an alternate retention and click Apply to
remove that condition.
- Finish the phase by clicking Accept. IBM InfoSphere Enterprise Records adds the phase and the
details to the list of phases in the schedule.
- To add more phases,
click Add New. Otherwise, click Finish to
complete the disposition schedule.