Windows compatible documents can be attached to records in the system using the document management functionality. Before this functionality is used, it is suggested that all areas related to documents be reviewed. That is because items used early in the process affect the ability to use later functions in the process. The document type, which is user defined, is required to be set up to be able to use the retention function. If you want to use the retention function, but do not have document types and retention dates on documents, it can be cumbersome to try and retroactively fill that data in after you have documents in the system.
The document management process includes initial setup, setting retention policy, adding documents and retention dates, and the deletion or destruction of documents.
Initial Setup
Begin by determining the areas of the system where you plan to attach documents. See the Manage Documents help document for a list of the 19 document classes available in the system. The document class determines where documents are added, and each document class has its own set of user rights.
Do the following for each document class.
Security for users
User rights for Manage Documents is set at the document class level. Determine the rights required by each staff person for each document class and assign them using Users and System Security. For each document class there are 4 user right listings.
Manage Documents – Allows the user to perform all functions (add, edit, view, and save to a local or network drive), except delete a document, for the document class. Assign this right to users who will be adding/editing documents.
View Documents – Allows the user to view or save a document to a local or network drive from the documents tab for the document class. If the user does not need Manage Documents rights, assign this right so they can view the documents.
Delete Documents – Allows the user to delete, view, and save a document to a local or network drive for the document class. Assign this right to users who are allowed to delete a document. Deleting a document can be done either within Manage Documents or Delete or Destroy Documents.
Destroy Documents – Allows the user to destroy, view and save a document to a local or network drive for the document class. Assign this right to users who are allowed to destroy a document. Destroy is permanent. Destroying a document can only be done using Delete or Destroy Documents.
The Special Routines listing under Manage Documents on the Select permission(s) screen in Users and System Security should be assigned to users who will work with the System Preferences related to Manage Documents. Those system preferences are:
Maximum file size in MB – The maximum file size, in megabytes, allowed when uploading a document. For an unlimited file size set to zero. Note: Document Management Policy routine allows for setting a max size for a specific document type which overrides this system preference size for the specified type.
Document Chunk Factor – Documents are uploaded to the database in chunks. The baseline chunk size is 8040 bytes. This setting is a multiplier that is applied to the baseline chunk size when uploading a document, The default setting is 1.
User rights also need to be set for users who will use the Document Management Policy and/or Delete or Destroy Documents routines discussed later in this document.
Document Management Policy – Allows for setting a document maximum size and retention timeframe for each document type. Rights to this routine should be limited to a few users since changes here affect future documents added.
Delete or Destroy Documents – Allows for uploaded documents in the system to be either deleted or destroyed. Users assigned rights to this routine also need to have rights to Delete and/or Destroy Documents for the document class(es) to work with.
Document type
Unlike the document classes, which are hard coded, the document type is user defined. The type is a sub-set of the class. Document types are used to identify and organize documents and all documents should have a type assigned. Document retention functions are only available on documents where types have been designated.
Note: The Type is related to the document class the routine was launched for. When launched for the Committee class the type field will only show type listings related to the Committee class. When you add a new type the system will automatically add the related class information for the new listing depending on what class the Manage Document routine was opened for.
Setting Retention Policy
Document Management Policy
The Document Management Policy routine is used to maintain the association’s retention policy for documents uploaded into the system. Different documents have different requirements for how long they need to be retained by the association. This routine allows for setting the time frames, or duration, that documents need to be retained. The information set here is referenced in Manage Documents and Delete or Destroy Documents.
A retention policy is set at the document type level. If document types have not been setup the Document Management Policy can’t be utilized.
For each document type a max size, if different than the size set in System Preferences, and retention policy time frame can be set. The policies set here are both pulled into a document when added and utilized to determine the documents available to work with in the Delete or Destroy Documents routine.
Adding Documents and Retention Dates
Manage Documents
The Manage Documents function allows for uploading of a Windows compatible document (ie..PDF document, Excel spreadsheet, Word document, or Images) to records in the system. Adding, editing and deleting a document is performed from this routine. Retention information for a document is also added using Manage Documents. The uploaded documents can also be viewed or saved outside the system from this routine as well as from the Documents tab in file maintenance.
When adding a document, the previously setup document types and retention policies are leveraged. On a document, retention information can only be added after a type is selected. If the selected type has a retention policy set in Document Management Policy, the retention data will populate with the appropriate information. If there is no retention policy set for the selected type a policy can be added manually.
Deletion or Destruction of Documents
Delete or Destroy Documents
The Delete or Destroy Documents routine allows for deleting or destroying of documents uploaded into the system according to the documents retention setting. Over time the number of documents and amount of space taken up by those documents in your system will increase. If you have unlimited space to store the documents in the system they would not have to be deleted or destroyed. But that is not normally the case so once the retention end date has passed on a document it should be removed to free up space in the system.
This routine references the retention end date on a document, which is set using Manage Documents, to determine if it is eligible to be deleted or destroyed. Only documents that have a retention end date of today or earlier are available in the routine.
Note: Which document classes are available in the drop-down in the routine are controlled by the user’s rights. If the user has rights to either Delete or Destroy, for a particular document class, that class will be available in the drop-down list for that user.