Records Classification and Records Management Rules

Records classification rules and records management rules work together to manage the work item data that you don't need to access daily in XTRAC.

WARNING: When you are ready to use the Records Management feature, contact your CSE because additional setup is required. For example, an XEN endpoint must be configured and notification filter rules must be created. Also, you must be given access to the XTRAC Records Management (XRM) system in your regions.xml configuration file.

In records classification, you determine when to archive and purge the data for each record category that is defined in XRM. When the data for a work item is archived, XTRAC creates a PDF version of the work item and all of its attachments and saves it in your organization's file system. After this PDF copy is stored, you can still access the original work item in XTRAC until the data is purged. Each time an archive rule fires, another copy of the data might be saved. When a work item is purged from XTRAC, its data is deleted from XTRAC and a message directs operators to the archive repository that is owned by your organization. After the repository removes the files according to your organization's policies, XTRAC is notified again. Then, the message from XTRAC is updated to indicate that the data is no longer available.

Records management rules let you map work items to the defined categories and specify the conditions that match each category. The settings for each category determine how long the data is retained in XTRAC.

WARNING: If you enter the item type file multiple times with OR criteria, the records management rule is saved but might not fire correctly. Use Rule List Groups with IN or NOT IN only if you want to evaluate multiple item types.

Process to Manage Data

For records classification and records management rules to work, you need to perform the following tasks. The list also specifies who performs each task.

• You meet with a records manager or corporate records group for your organization and determine the record categories for XTRAC work items and when each category should be archived and purged. You also determine how many years each category should be saved in the repository that is outside XTRAC. For example, you might require that one category is archived after 30 days and another type is archived after 180 days.
  • Note: You might want to consult with your organization's legal team for their recommendations.
• The records manager sets up the category types for XTRAC work items in the XTRAC Records Management (XRM) system.
• Your CSE configures an XEN endpoint, and creates notification filter rules.
• In records classification, define the number of days when each category is archived after create, update, or resolve and the number of days when each category is purged after resolve.
• Using records management rules, associate XTRAC work items with the categories that are defined by the records manager in XRM. For example:
  • Item type = MAINT
    AND
    Subtype = CHG gets mapped to a category type with a retention period of three years
  • Item type = NEWACCT
    AND
    Subtype = 401 gets mapped to a category type with a retention period of seven years

PDF Format

The following figure is an example of the PDF file that is saved in the file system:

Archive Workflow

You assign the number of days after create, update, or resolution events occur to archive each record category. When the records management rules find events for work items that match the rule conditions, those work items are scheduled for archive according to the time thresholds that you defined for each category.

XTRAC uses the earliest archive, latest purge system. A work item is archived at the earliest scheduled archive date, no matter how many times the work item is updated after the original archive date is scheduled (but before the actual archive occurs).

For example, you can create the following archive settings:

• Archive Open Work Items 10 Days After Creation
• Archive Open Work Items 30 Days After Update
• Archive Work Items 90 Days After Resolution

Archive Open Work Items 10 Days After Creation

Assume a work item was created on July 1st. Based on the category settings for the work item, XTRAC schedules July 11 as the archive date (10 days after create). On July 11, XTRAC saves the work item data in a PDF document in your organization's file system. This is the first archive version of this work item that is saved .

Note: The archived work item remains in the XTRAC database and is still available in XTRAC.

Archive Open Work Items 30 Days After Update

XTRAC uses the earliest archive date.

For example, on July 12, after the original archive, an operator updates the work item. XTRAC sets a new archive date of August 11 (30 days after update).

On August 3, an operator updates the work item again. According to the category, XTRAC should schedule an archive on September 2. However, an archive is already scheduled for August 11, which is earlier, so XTRAC keeps August 11 as the archive date.

It's possible that an operator could update this work item on August 4, 5, 6, 7, 8, 9, and 10. However, because August 11 is still the earliest archive date, XTRAC keeps August 11 as the archive date.

On August 11, XTRAC copies the work item data to a PDF document. There are now two archive versions of this work item.

After the item is archived, if an operator updates the work item on August 12, a new archive date is set for September 11.

The following table shows some example dates of when XTRAC would archive a work item:

Archive Work Items 90 Days After Resolution

Assume that a work item created on July 1 was resolved on August 15.

According to the archive rule, the work item is scheduled to be archived on November 13 (90 days after resolve). An operator reopens the work item and resolves it again on September 16. However, XTRAC keeps the November 13 date because it is still the earliest archive date.

After November 13, there are now three archived versions of this work item. If the work item was resolved again, the archive clock would start over and XTRAC would archive the item another 90 days after it was resolved.

Purge Workflow

You assign the number of days after resolution events occur to purge each type of record category. When the records management rules find resolve events for work items that match the rule conditions, those work items are scheduled for purge according to the time thresholds that you defined for each category.

When work item data is purged from the XTRAC database, XTRAC creates a permanent record for the work item. If an operator searches for the purged item by its work item number, XTRAC returns the record identifier, date, and a string that is supplied by your organization so an operator with access can find the work item in the archive repository.

Note: You must search by work item number for XTRAC to find the purged information.

XTRAC uses the earliest archive, latest purge system. A work item is purged at the latest scheduled purge date.

For example, assume that you want to purge work items that belong to a specific category 365 days after they have been resolved. XTRAC purges the work item that was created on July 1, a year after the last time the work item was resolved. XTRAC recalculates the purge date every time the work item is opened and resolved, then XTRAC schedules the purge using the latest date.

This work item was first resolved on August 15, so XTRAC archives the work item on November 13 (90 days after resolve). XTRAC also scheduled the work item to be purged on August 15 of the following year--365 days after it was first resolved.

The work item is updated and resolved again on September 16. When the update occurs, XTRAC removes August 15 as the scheduled purge date and calculates the purge data based on the date the work item was last resolved. In this example, XTRAC purges the work item from the XTRAC database on September 16 (365 days after resolve).

Assigning Archive and Purge Settings to Record Categories

For each record category that is defined for your organization, you can specify the number of days after specific events (create, update, and resolve) to archive the data for any work items that are assigned to that category. You can also specify the number of days after work items in that category are resolved that the data is purged from XTRAC.

The Records Classification Summary window lists all of the record categories that already have archive and purge settings. The first time you open this window, it might be empty because you haven't applied any archive and purge settings in XTRAC for any of the record categories in your organization.

The Records Classification Detail window lists all of the record categories that are defined for your organization that do not have archive or purge settings yet. XTRAC receives a daily feed from your organization that contains any new categories and the number of years that data for the category is saved outside of XTRAC in the repository for your organization (Retention Period in years).

To create an archive rule

1. In Feature Explorer, click Records Management > Records Classification.
2. In the Records Classification Summary window, click New.
3. In the Records Classification Detail window, select the record category that you want to apply archive and purge settings to

If this list is empty, all of the categories have archive and purge settings applied to them. If you want to change the settings for any record category, select that category and click Open. Then save your changes.

4. Towards the bottom of the window, in the XTRAC Archive Settings section, enter the number of days to archive after each event and the number of days to purge after resolve.

For any of the archive fields, after you type a number and then click Enter, the check box for that field is automatically checked.

Note: You must enter a number in the Purge After Resolve field. The default is 1 day. No partial days are allowed (such as 2.5). The number you enter must be equal to or greater than 1 day.

WARNING: If you leave all of the archive fields blank, the data for any work items that are assigned to this record category is purged at the specified time without being archived first.

5. Click Save.

Note: The values you enter in the Change Request ID and Memo fields are not saved.

XTRAC saves your settings and moves that category to the Records Classification Summary window.

Creating a Records Management Rule

A Records Management rule defines the conditions for a record category and the category that is assigned to a work item when the conditions match.

WARNING: When you are ready to use the Records Management feature, contact your CSE because additional setup is required. For example, an XEN endpoint must be configured and notification filter rules must be created.

You associate an XTRAC work item with a category type that was defined by the records manager in XRM. For example, you can specify that a work item at the RSCAN node with an item type of 401K and a subtype of BOA is associated with the 401K Information category type. This category type might have a five-year retention time associated with it.

Note: To define a Records Management rule, you need the Create Records Management Rule security function in the security group that is associated with your entitlement set.

To create a records management rule

1. In Feature Explorer, click Records Management > Records Management Rules.
2. In the Records Management Rule Summary window, click New.
   
   
3. In the Records Management Rule Detail window, in the Name field, type the name of the records management rule (up to 30 characters).
4. In the Description field, type the description of the rule (up to 60 characters).
5. Build the rule condition by selecting the applicable fields, criteria, and values.

For details, see Rule Conditions and Building a Rule Condition.

6. Click Save.
7. Click the Action tab.
8. In the Record Name drop-down list box, select the record category to associate with the work item data that is defined on the Condition tab.

The Category Type drop-down list box lists the category description and the category ID.

9. Click Save.

Note: The values you enter in the Change Request ID and Memo fields are not saved.

XTRAC saves the rule, numbers it, and appends it to the bottom of the sequence list.

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