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.
If your display setting for
Disposition schedule wizard in
your
User Preferences is set to
Simple (see
IBM Enterprise Records User preferences and
IBM Enterprise Records site preferences),
the schedule defaults to one phase using the auto destroy action with
no retention.
To define a disposition schedule:
- Select the Disposition tab.
- Click Disposition Schedules.
- Click Add Disposition Schedule.
Restriction: If your display setting for Disposition
schedule wizard in your User Preferences is
set to Simple, the Steps panel
will not show Set Phases.
- Enter the name and description of the schedule. The description is optional.
- Enter the name of the authority responsible for the
disposition of entities and click Next. This field is optional.
- Click the corresponding radio button to select the trigger
that initiates cutoff. If your display setting for Disposition
schedule wizard in your User or Site Preferences is
set to Simple, the only possible trigger is
the Internal Event trigger.
- For the calendar date, you can type in a date or use the calendar
control. this is for a normal disposition schedule
- For Predefined Date, Internal
Event, External Event, or Recurring
Event, select an item from the menu. These items were
created previously in the IBM Enterprise
Records Configure tab.
Click Show Details to display the details of
the trigger. For information about adding the triggers, see Adding a predefined date, Adding an internal event, Adding an external event, or Adding a recurring event trigger.
- Set the cutoff offset. See the Set cutoff
and cutoff offset section later in this topic for more details.
- Set the condition that triggers a cutoff of entities. A cutoff can be an automatic or require approval. To require
approval, specify a disposition cutoff action. For an automatic cutoff,
do not specify a disposition cutoff action. If your display setting
for Disposition schedule wizard in your User
and Site Preferences is set to Simple,
the Disposition Cutoff Action is not shown.
- Each cutoff action was previously added in the IBM Enterprise
Records Configure tab
and has an associated workflow. The disposition sweep automatically
launches this workflow after the cutoff plus any offset. For a normal
disposition schedule, the Disposition Cutoff Action
menu contains only those actions that belong to the Cutoff action
type. For more information about actions, see Actions.
- If desired, modify Cutoff Base to specify the cutoff
base date. The CutOff Base menu
provides a set of IBM Enterprise
Records date
properties that calculate cutoff dates based on individual IBM Enterprise
Records entity properties.
Set
the cutoff offset. Please see the Set cutoff and cutoff offset section
later in this topic for more details.
- If your display setting for Disposition schedule
wizard in your User or Site Preferences is
set to Detailed, 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.
If your display setting for Disposition schedule wizard in
your User Preferences is set to Simple,
click Finish, there is only one phase using
the Auto Destroy action, RMAutoDestroyAction, Is
Screen Required is set to False,
the Default Retention is 0 Years 0 Months 0 Days, and no Alternate
Retentions are automatically created.
Set cutoff and cutoff offset
In IBM Enterprise
Records, you can define a retention
period by setting a retention on a phase or the cutoff offset.
When
there is no cutoff offset specified and the retention period is set
on the phase, sweep does a cutoff on the entity when the event condition
becomes true. If the entity that is being cutoff is a container, this
container is also closed, preventing the addition of a new record.
The retention is then computed as the cutoff date plus the retention
period defined on the phase. The following rules apply to the computation
of the cutoff date, depending on the different schedule configurations:
- Use of an internal event trigger and a cutoff base date set to
an entity property -
The cutoff date is the value of the cutoff
base date.
- Use of a date type of event trigger (external event, predefined
date) and a cutoff base date set to Event Date -
The
cutoff date is the date of the event trigger.
- Use of an internal event trigger and a cutoff base date set to Event
Date -
The cutoff date is the date when sweep runs.
- Use of both a date type of event trigger (external event, predefined
date) and a cutoff base date set to an entity property -
The cutoff
date is the latest of the two dates.
When using a cutoff event offset, the entity is not cutoff
until the end of this offset period is reached. Therefore, the container
stays open during the retention period. The following rules apply
to the computation of the cutoff date, depending on the different
schedule configurations:
- Use of an internal event trigger and a cutoff base date set to
an entity property -
The cutoff date is the value of the cutoff
base date plus the cutoff offset.
- Use of a date type of event trigger (external event, predefined
date) and a cutoff base date set to Event Date -
The
cutoff date is the date of the event trigger plus the cutoff offset.
- Use of an internal event trigger and a cutoff base date set to Event
Date -
The cutoff date is the date when sweep runs
plus the cutoff offset.
Important: It is not recommended that you use this
last configuration because any update on the schedule, like its name,
triggers a sweep re-computation of the cutoff date and the new sweep
run date plus the offset, postponing the cutoff. If no record property
can be used for the cutoff base date, it is preferable to use a retention
on the phase.
If your display setting for the Disposition
schedule wizard is set to Simple in your User
or Site Preferences, the schedule defaults to no retention on the
phase and makes use of the offset mechanism to define the retention
instead.
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 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 Enterprise
Records uses the default retention
period. When more than one alternate retention condition is true,
then IBM Enterprise
Records applies
the alternate retention with the longest retention period.
Important: The number of alternate retentions or the complexity
of their criteria will have a performance impact on retention calculation.
After IBM 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. IBM 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 menu.
- Actions were previously created in the IBM Enterprise
Records Configure tab.
- IBM Enterprise
Records completes
the action on entities at the end of the phase.
- Each action includes a predefined workflow that IBM Enterprise
Records launches for that action.
Restriction: 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 window.
- Select a property name from the menu.
- Select an operator from the 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 Enterprise
Records adds
the value specified here to the Retention Base. On the resulting date, IBM 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 window.
- Continue adding alternate retentions for each condition by clicking Add
New. IBM 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 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.