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Records Management Guide for Microsoft Office SharePoint Server 2007

Records Management Guide for Microsoft Office SharePoint Server 2007
Records Management Guide for Microsoft Office SharePoint Server 2007

Records Management Guide for Microsoft Office SharePoint Server

Microsoft Corporation

Published: July 2008

Author: Office IT and Servers User Assistance (o12ITdx@https://www.doczj.com/doc/2f2183919.html,)

Abstract

This guide covers general records management planning considerations, guidelines for configuring Microsoft Office SharePoint Server 2007 enterprise content management features for records management, guidelines for planning server farm topology for records management, and guidelines for organizing the logical components of a records management system based on Office SharePoint Server 2007. The audiences for this guide include records managers, information architects, IT generalists, and program managers who are planning a records management solution based on Office SharePoint Server 2007.

The content in this book is a copy of selected content in the Office SharePoint Server technical library (https://www.doczj.com/doc/2f2183919.html,/fwlink/?LinkId=84739) as of the publication date. For the most current content, see the technical library on the Web.

The information contained in this document represents the current view of Microsoft Corporation on the issues discussed as of the date of publication. Because Microsoft must respond to changing market conditions, it should not be interpreted to be a commitment on the part of Microsoft, and Microsoft cannot guarantee the accuracy of any information presented after the date of publication.

This White Paper is for informational purposes only. MICROSOFT MAKES NO WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, AS TO THE INFORMATION IN THIS DOCUMENT. Complying with all applicable copyright laws is the responsibility of the user. Without limiting the rights under copyright, no part of this document may be reproduced, stored in or introduced into a retrieval system, or transmitted in any form or by any means (electronic, mechanical, photocopying, recording, or otherwise), or for any purpose, without the express written permission of Microsoft Corporation.

Microsoft may have patents, patent applications, trademarks, copyrights, or other intellectual property rights covering subject matter in this document. Except as expressly provided in any written license agreement from Microsoft, the furnishing of this document does not give you any license to these patents, trademarks, copyrights, or other intellectual property.

Unless otherwise noted, the example companies, organizations, products, domain names, e-mail addresses, logos, people, places and events depicted herein are fictitious, and no association with any real company, organization, product, domain name, email address, logo, person, place or event is intended or should be inferred.

? 2008 Microsoft Corporation. All rights reserved.

Microsoft, Microsoft, Access, Active Directory, Excel, Groove, InfoPath, Internet Explorer, OneNote, Outlook, PowerPoint, SharePoint, SQL Server, Visio, Windows, Windows Server, and Windows Vista are either registered trademarks or trademarks of Microsoft Corporation in the United States and/or other countries.

The names of actual companies and products mentioned herein may be the trademarks of their respective owners.

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Contents

Introduction to the records management guide (1)

Related topics (2)

What is records management? (3)

Elements of a records management system (3)

Overview of records management planning (5)

Identify records management roles (Office SharePoint Server) (7)

Worksheet (8)

Develop the file plan (Office SharePoint Server) (9)

About records, active documents, and archived documents (9)

Determine what is a record (10)

Complete the file plan (12)

Worksheet (14)

Design the Records Center site (Office SharePoint Server) (15)

About the Records Center site (15)

Planning document libraries for records retention (17)

Planning metadata (18)

Planning records metadata (18)

Planning additional metadata (19)

Planning policies (19)

Planning the record routing table (20)

Worksheets (22)

Plan how records are collected (Office SharePoint Server) (23)

Techniques for moving files into the Records Center site (23)

Manually sending content to the Records Center site (23)

Using managed e-mail folders in Microsoft Exchange Server 2007 to send e-mail and files to the Records Center site (24)

Using a custom solution to send files to the Records Center site (24)

Completing your plan (25)

Plan physical records retention (27)

Using Office SharePoint Server to manage physical records (27)

Physical records and the Records Center site (27)

Lists and physical records (28)

Case study: Physical records management at Microsoft (30)

Planning physical records retention (31)

Worksheet (31)

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Plan e-mail message records retention (32)

Using a Records Center site for e-mail message retention (33)

Using Exchange Server 2007 with Office SharePoint Server to manage e-mail message

records (34)

Managing e-mail message records without Exchange Server 2007 (35)

Planning e-mail message records retention (36)

Worksheets (37)

Design records management topology (38)

Determine the number of farms that will host Records Center sites (38)

Elements of a typical records management topology (39)

Design Records Center architecture (41)

Plan Web applications (41)

Determine the number of Records Center sites (43)

Plan databases (44)

Integrate other features into a Records Center site (44)

Plan security (45)

General steps to secure your records management solution (45)

Configure permissions in the Records Center sites (46)

Maximizing vault behavior (47)

Plan e-mail settings (48)

Plan for logging and reports (48)

Plan for search (49)

Determine the SSP (49)

Plan indexing (50)

Plan metadata search (50)

Manage search scopes (50)

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Introduction to the records management guide

Microsoft Office SharePoint Server 2007 includes a Records Center site and other records management features that you can use to help your organization manage its corporate knowledge and meet its regulatory and legal requirements. This guide provides records managers, enterprise solution planners and designers, program managers, and information technology specialists with the information that they need to plan and deploy a records management solution based on Office SharePoint Server 2007.

This guide covers general records management planning considerations, guidelines for configuring Office SharePoint Server 2007 enterprise content management features for records management, guidelines for planning server farm topology for records management, and guidelines for organizing the logical components of a records management system based on Office SharePoint Server 2007. The following list describes each topic in this guide.

? "What is records management?" introduces the elements of a records management system and provides general guidance on records management planning.

? "Identify records management roles" discusses the typical roles and skills that your organization needs to implement a records management solution.

? "Develop the file plan" describes the following key tasks in records management: analyzing the physical and electronic files in your organization, determining which files are records, and planning how the records should be retained.

? "Design the Records Center site" provides guidance on planning and configuring a Records Center site, which is the Office SharePoint Server 2007 site designed to implement records management and retention.

? "Plan how records are collected" reviews techniques that you can use to move content to the Records Center site and suggests a method for planning how items in your file plan will

become records.

? "Plan physical records retention" describes planning tasks that are related to retaining physical records by using Office SharePoint Server 2007.

? "Plan e-mail message records retention" describes planning tasks that are related to retaining e-mail messages by using Office SharePoint Server 2007, with emphasis on integration with Microsoft Exchange 2007.

? "Design records management topology" describes the topological considerations in planning one or more server farms for records management.

? "Design Records Center architecture" provides recommendations for configuring the logical components of a records management solution based on Office SharePoint Server 2007 and provides guidance for configuring key features of a records management solution.

The content in this book is a copy of selected content in the Office SharePoint Server technical library (https://www.doczj.com/doc/2f2183919.html,/fwlink/?LinkId=84739) as of the date of publication. For the most

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current content see the technical library on the Web. Additional records management content is posted there as it becomes available.

Related topics

In addition to using the records management content in this guide, you should review other content in the technical library to help ensure a successful Office SharePoint Server 2007 deployment. The following resources are particularly recommended:

? Analyze document usage

? Plan content types (Office SharePoint Server)

? Plan information management policies

? Plan enterprise content storage

? Plan workflows for document management

? Plan site and content security (Office SharePoint Server)

? Plan for and design database storage and management (Office SharePoint Server)

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What is records management?

In this article:

? Elements of a records management system

? Overview of records management planning

Elements of a records management system

A record is a document or other electronic or physical entity in an organization that serves as evidence of an activity or transaction performed by the organization and that requires retention for some time period. Records management is the process by which an organization:

? Determines what types of information should be considered records.

? Determines how active documents that will become records should be handled while they are in use, and determines how they should be collected once they are declared to be records.

? Determines in what manner and for how long each record type should be retained to meet legal, business, or regulatory requirements.

? Researches and implements technological solutions and business processes to help ensure that the organization complies with its records management obligations in a cost-effective and non-intrusive way.

? Performs records-related tasks such as disposing of expired records, or locating and protecting records related to external events such as lawsuits.

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Determining which documents and other physical or electronic items in your organization are records is the responsibility of corporate compliance officers, records managers, and lawyers. By carefully categorizing all enterprise content in your organization, they can help you ensure that documents are retained for the appropriate period of time. A well-designed records management system helps protect an organization legally, helps the organization demonstrate compliance with regulatory obligations, and increases organizational efficiency by promoting the disposition of out-of-date items that are not records.

A records management system includes the following elements:

? A content analysis that describes and categorizes content in the enterprise that may become records, provides source locations, and describes how the content will move to the records management application.

? A file plan describing, for each type of record in the enterprise, where they should be retained as records, the policies that apply to them, how they need to be retained, how they should be disposed of, and who is responsible for managing them.

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? A compliance requirements document defining the rules that the organization's IT systems must adhere to in order to ensure compliance, along with the methods used to ensure the participation of enterprise team members.

? A method for collecting records that are no longer active from all record sources, such as collaboration servers, file servers, and e-mail systems.

? A method for auditing records while they are active.

? A method for capturing records' metadata and audit histories and retaining them.

? A process for holding records (suspending their disposition) when events such as litigations occur.

? A system for monitoring and reporting on the handling of records to ensure that employees are filing, accessing, and managing them according to defined policies and

processes.

Microsoft Office SharePoint Server 2007 includes features that can help organizations implement integrated records management systems and processes. To ensure that information workers can easily participate in your enterprise's records management system, 2007 Microsoft Office system applications, such as Microsoft Office Outlook 2007 and Microsoft Office Word 2007, also include features that support records management practices.

Overview of records management planning

This topic describes the planning steps you should take to help ensure that the records management system you implement based on Office SharePoint Server 2007 will achieve your organization's records management goals. Here is a preview of the records management planning process:

1. Identify records management roles Successful records management requires specialized

roles, including:

? Records managers and compliance officers to categorize the records in the organization and to run the records management process.

? IT personnel to implement the systems that efficiently support records management.

? Content managers to identify where organizational information is kept and to commit their teams to following records management practices.

2. Analyze organizational content Before creating a file plan, records managers and content

managers survey document usage in the organization to determine which documents and other items may become records.

3. Develop a file plan After you have analyzed your organizational content and determined

retention schedules, fill in the rest of the file plan. File plans differ from organization to

organization, but in general they describe the kinds of items the enterprise acknowledges to be records, indicate where they are stored, describe their retention periods, and provide other information such as who is responsible for managing them and what broader category of records they belong to.

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4. Develop retention schedules For each record type, determine when it is no longer active

(in use), how long it should be retained after that, and how it should ultimately be disposed of.

5. Evaluate and improve document management practices Make sure that proper policies

are being applied in document repositories. For example, ensure that content is being

properly audited, so that adequate audits are retained along with records.

6. Design the records management application Office SharePoint Server 2007 includes a

specialized site template, the Records Repository, which is designed for records

management. Based on your file plan, design the site's libraries, content types, policies, and its record series, which defines where in the site record that type should be stored.

7. Plan how content moves to the Records Center site If you are using Office SharePoint

Server 2007 for both your active document management and your records management application, you can create custom workflows to move documents to the Records Repository at the appropriate times. If you are using either Office SharePoint Server 2007 or external document management systems, you can plan and develop interfaces that move content from those systems to the Records Repository, based on the Records Repository's

programmable interface.

8. Plan Microsoft Exchange integration Microsoft Exchange Server 2007, along with Office

Outlook 2007, includes features designed to facilitate the flow of e-mail into the Records Repository using specialized folders and commands. If you are using Exchange Server 2007 as your e-mail server, you can plan how to classify e-mail and move it to the Records

Repository.

9. Plan compliance reporting and documentation To verify that your organization is

performing its required records management practices and to communicate these practices, you should document your records management plans and processes. If your enterprise becomes engaged in records-related litigation, you may be required to produce these records management guidelines, implementation plans, and metrics on effectiveness.

See Also

?Identify records management roles (Office SharePoint Server)

?Develop the file plan (Office SharePoint Server)

?Design the Records Center site (Office SharePoint Server)

?Plan how records are collected (Office SharePoint Server)

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Identify records management roles (Office SharePoint Server)

Effective records management requires an organization-wide commitment to planning, implementing, overseeing, and participating in the records management program. To achieve this, members of your organization with a range of records management–related roles and skills must support the effort. As you start planning your records management solution, identify who in your organization will fill the following roles:

? Records managers Usually members of an organization's legal department. They are skilled in the process of categorizing electronic and physical documents and in deciding

which documents should become records. Records managers help determine organizational records management policies and participate in designing the records management solution.

They are responsible for researching and writing the file plan and retention schedule, and they participate in writing the compliance requirements document. Records managers also operate the records management system, performing tasks such as putting records on hold during litigation and disposing of records at the end of their retention periods. The

participation of records managers is essential to the success of your records management system.

? Compliance officers Also members of an organization's legal department. In some organizations, this role is filled by records managers. Compliance officers monitor every

aspect of enterprise records management to ensure that the organization is closely following relevant regulations and guidelines. They are primarily responsible for writing the compliance requirements document, which describes the enterprise records management methodology, guidelines, and training plans.

? IT professionals Responsible for deploying, operating, and maintaining the computers and applications that implement the records management solution. They ensure that the records management solution is secure, that it is of the proper scale, that it is reliable, and that it

communicates with the document management servers and e-mail servers that supply it with records.

? Site designers In a records management solution based on Microsoft Office SharePoint Server 2007, they are the experts in creating and configuring Web sites implementing a

Records Center site.

? Content managers Manage teams that produce documents or that handle physical or electronic files that might be records. Their role is to supply leadership in identifying records, in planning processes for their teams that will ensure good records management practices, and in making sure that the information workers on their teams participate in the

organizational records management effort.

? Information workers The participants in the records management system. They create or manage the electronic and hard-copy documents, memos, reports, messages, and other

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content that could be records. The success of your records management solution depends on

the quality of participation by the information workers in your organization.

Note

How you design your records management system can have a big impact on how

well information workers comply with it. For example, by creating simple processes

for retaining records, you will increase participation because information workers will

be less likely to see these tasks as impediments to getting their other work done.

Also, effective records management training and documentation will increase

information workers' active participation.

Your organization might have already filled all of the roles described in this article. If not, you might want to seek experts in records management and compliance. Professional organizations such as the Association of Records Managers and Administrators can be helpful in locating records management professionals in your area.

The initial tasks of the team designing your records management system include analyzing content usage in your organization, analyzing regulatory and other requirements that will affect records management decisions, evaluating hardware and application resources to use to retain records, and planning the best strategy for ensuring information workers' cooperation in

managing records. Because this planning touches on so many disciplines in your organization, form a diverse team to plan your records management solution, including all the roles described above.

Worksheet

Use the following worksheet to help plan your deployment:

Records management stakeholders and participants worksheet

(https://www.doczj.com/doc/2f2183919.html,/fwlink/?LinkId=73296&clcid=0x409)

Develop the file plan (Office SharePoint Server)

In this article:

? About records, active documents, and archived documents

? Determine what is a record

? Complete the file plan

The file plan is the primary records management planning document. Although file plans can differ across organizations, they typically:

? Describe the kinds of items the organization acknowledges to be records.

? Describe what broader category of records the items belong to.

? Indicate where records are stored.

? Describe retention periods for records.

? Delineate who is responsible for managing the various types of records.

About records, active documents, and archived documents

Before you can determine your file plan, you need to understand the differences among records, active documents, and archived documents.

? Records These are documents or other physical or electronic entities in an organization that serve as evidence of activities or transactions performed by the organization. They must be retained for some time period so they can be produced if needed, such as for regulatory or legal discovery.

When an active document is declared to be a record, it is moved or copied to a protected place such as a physical vault or an electronic records repository, and it is assigned a

retention period that specifies how long the organization will keep it. (Note that the retention period could be permanent, meaning that the record would be retained indefinitely.) When a record's retention period is over, it is either disposed of by a records manager or moved to an archive for safekeeping as a document of historical interest.

? Active documents These are documents in use, such as the e-mail messages in an information worker's inbox, the printed product specifications on someone's desk, the

documents in a document library, or the pages on a corporate Web site. It is expected that active documents will change over time, be copied and shared, and generally move about the organization.

Active documents may be declared as records if they serve as evidence of an activity or

transaction performed by your organization. For example, if your organization provides a service that includes delivering content to a customer, then that content becomes a record of

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the delivery of the service and a copy of the document should be retained. Some types of active documents will never become records; for example, you might not classify an e-mail sent among coworkers to agree on where to meet for lunch as a record.

At some point in a document's life cycle, it stops being active. For example, when a

deliverable document is presented to a customer, it might no longer be necessary to keep managing this content as an active record. But if the document is a record, it should be saved and protected for some retention period.

? Archived documents These are documents that are no longer active but are not records (either because they no longer have to be retained or because they were never classified as records). Archived documents are kept by an enterprise for non-legal reasons such as for historical preservation.

Determine what is a record

Determining which active documents in your organization might be declarable as records requires the collaboration of records managers, lawyers, compliance officers, and content managers. Note that, even if your enterprise is not in a highly regulated industry, there are general laws (such as the Sarbanes-Oxley Act of 2002) that your records managers need to be aware of that might obligate your enterprise to retain records. Along with general business laws, you need to evaluate legal requirements specific to your enterprise.

It is beyond the scope of this article to provide more than general information about how to determine what is a record in your organization. Most likely, your enterprise is already doing some form of records management and has filled most of the records management roles you need, and you might already have a taxonomy of records.

Generally, to determine what are records in your organization:

1. Understand your enterprise's legal obligations and business needs.

2. In a collaborative effort across the divisions of your organization, analyze active document

usage.

3. Develop a list of active document types that should become records. For example, you may

determine that the following should be retained as records:

? Contracts to rent corporate space.

? Documents related to employees' benefits.

? Documents related to product research and development.

4. Categorize the records.

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Here is a sample worksheet:

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Complete the file plan

After determining which documents should be retained as records and creating a set of record categories, complete your file plan by defining retention periods for each record category, indicating how to dispose of records when their retention periods have expired and supplying other information such as the primary records manager for each record type and the media in which the record is stored.

Here is a completed sample file plan:

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Note

The above example is a sample and not a recommendation of any particular file plan settings. No retention periods are supplied to reinforce that this is an example and not a

recommendation of any records management policy.

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Worksheet

You can use the following worksheet with this article to help plan your deployment:

Record categories worksheet (https://www.doczj.com/doc/2f2183919.html,/fwlink/?LinkID=73300&clcid=0x409) 14

Design the Records Center site (Office SharePoint Server)

In this article:

? About the Records Center site

? Planning document libraries for records retention

? Planning metadata

? Planning the record routing table

To manage records in Microsoft Office SharePoint Server 2007, site designers and records managers plan and implement a Records Center site. This site, based on the Records Center site template, contains features you can use to implement your file plan and manage the records while they are being retained.

Design the Records Center site in four steps:

1. Based on your file plan, plan the document libraries you need to store your records.

2. Plan metadata for each record type, and define columns in the document libraries to contain

and display the metadata.

3. For each type of record, plan policies to define retention periods and auditing specifications

that help meet your enterprise's regulatory obligations.

4. Based on your analysis of active content that will become records, plan the record routing

table, which maps each type of record to the appropriate library in the Records Center site.

When a record is sent to the Records Center site, either programmatically or via the user interface, this table is used to determine how to classify the document within the file plan.

About the Records Center site

The Office SharePoint Server 2007 Records Center site template is designed to implement records management and retention.

By combining standard Office SharePoint Server 2007 features with specialized records management features, the Records Center site provides the following capabilities:

? Record routing When a document is sent to the Records Center site, either by using a default method such as the Send to Records Center command or by using the

programmable interface, the record is routed to the correct document library based on its type.

The correlation between incoming record types and their related document libraries is

managed in the record routing table, as described later in this article in the section Planning the record routing table.

When a record is sent to the Records Center site, other information is sent along with the record itself. This other information includes the record's audit history, which is stored in an XML file, and all of its metadata, which is stored both in an XML file and in columns of

metadata in the Records Center site.

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? Policy enforcement Office SharePoint Server 2007 includes the following policy features that are useful for records management:

? Auditing Logs events and operations performed on documents. In the context of records management, this is useful to record who is viewing and accessing information in the Records Center site.

? Expiration Specifies how long the record should be retained and provides an action to take when the retention period ends, such as initiating a disposition approval workflow. In the context of records management, the retention period usually starts when the record is stored in the Records Center site.

? Barcodes Provides each record with a unique barcode graphic and numeric value. The value of the barcode is stored and indexed along with the electronic version of the record.

In the context of records management, barcodes are useful for retaining and tracking

physical records. When the records in a library have hard-copy versions, barcodes

provide a way to correlate the hard-copy versions with their electronic counterparts. See the topic Plan physical records retention for a discussion of physical records retention

planning.

? Programmable interface A comprehensive records management solution enables records to flow into the records management system from all sources of records in the organization.

The Records Center site's programmable interface provides a method to send a file, its

associated metadata, and its audit history to the Records Center site as part of a business process. By using this method, any document management system can be configured to send files to the Records Center site. You can also add modules that extend the classification of incoming records — for example, to classify records based on their metadata values.

In addition to extending the interface for moving records into the Records Center site, you can extend other aspects of the Records Center site. For example, you can design additional policy features that meet your enterprise's unique requirements.

? Hold The Office SharePoint Server 2007 Records Center site provides a way to suspend a record's expiration policy. It includes a hold feature that lets records managers create named "holds" that protect specified records from expiring and being destroyed. For example, in the event of an internal audit or a litigation, putting the relevant records on hold ensures that those records, which you may be required to produce, will be available until the audit or

litigation is complete.

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酒店客房智能管理控制系统(基于TCP/IP通讯系统) 使 用 说 明 书 中科金马科技 2011

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4.3). 查看菜单 4.4). 查找菜单4.5). 工程菜单

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接待团体(已预订) 接待个人(已预订) 个人预订信息表

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,再输入用户名及密码进入到程序; 5、 在左侧栏中点击Configurator,弹出如下界面: 6、在Menu Items下列中选择Maintenance;

7、在此弹出的界面中,选择Maintenance; 8、 在此界面中需要选择一下将要添加或更改价格的菜品的位置,选择餐厅,点击图标; 9、在此界面中选择位置,即餐厅; 10、选定后弹出此界面,课在界面下方看到已进入的位置

; 11、在工具栏上选择“视图”,如下图中第一个图标 ; 12、进到此界面后,选择界面下方的Master,在弹出的界面中进行操作 ; 13、点击工具栏上的图标,

可根据Field中的条件进行菜品的搜索,在确定没有此菜品时即可进行新增菜品的操作; 14、先找到要新增菜品的种类,在其种类下添加,点击工具栏中的图标; 15、在弹出的图中选择 ,点击右上角OK; 16、 弹出新的界面,显示到新增菜品的编号,并且有深色背景标注; 17、输入新增菜品的名称 ; 18、当对内容进行编辑改动时,背景为黄色提示 ;

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小组成员及分工 姓名学号分工 张洋11035103 E-R图、概念设计 何晴11035104 系统功能图、逻辑设计、SQL语句 杨婉苓11035105 组织结构图、数据流图 吴蕾11035109 用户活动图、数据字典、物理设计、需求分析

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2、系统需求图 酒店管理系统是以顾客订房、订餐信息为基础建立的管理系统。是管理酒店客房、餐饮业务的重要方法、手段、技术和操作过程的集合。作为一个管理信息系统,其服务的对象是双方面的:酒店和顾客。因此,一个好的酒店管理系统,必须让双方在使用时都快捷方便。所以对用户和系统管理员进行需求分析。 (1)总需求分析图 (2)系统管理员需求分析图 酒店管理系统 系统管理员需求 系统管理员需求 用户需求 (1)总需求分析图 管理用户信息 管理住宿信息 管理餐饮信息 管理账单信息 插入用户信息 修改用户信息 删除用户信息 查看用户信息 插入住宿信息 修改住宿信息 删除住宿信息 查询住宿信息 插入餐饮信息 修改餐饮信息 删除餐饮信息 查询餐饮信息 插入账单信息 修改账单信息 删除账单信息 查询账单信息 (2)系统管理员需求分析图

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