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BIWUG 26042007 Records Management
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Records Management Records Management with MOSS 2007with MOSS 2007
Inge De NeefInge De Neef
ECM-IW Consultant ECM-IW Consultant
[email protected]@Getronics.com
10 April 202310 April 2023 Page Page 22
Document lifecycleDocument lifecycle
Document life cycle
Revision cycle
Approval Documentupdate
Revision &annotation
Release
Distribute &publish
UseSearch & retrieve
DocumentevolutionArchive
Destruction
Document (type)definition
Documentcreation
10 April 202310 April 2023 Page Page 33
Time
Corporate Control
Act
ivit
y
Pu
blish
/Decla
re •Regulatory Compliance•Business Rules•Access Control
Author Control
ArchiveTransfer
DocumentManagement
RecordsManagement
Document vs. Records ManagementDocument vs. Records Management
•Collaboration•Document Creation•Version Control
Destroy
Records Management:
Managing the declaration, retention and disposition of records (something having a legal, business or historical value) including electronic records, e-mail and physical records
10 April 202310 April 2023 Page Page 44
Document managementDocument management
ElectronicElectronic Mostly living informationMostly living information Emphasis on flow, access and Emphasis on flow, access and
collaborationcollaboration
Subject to author’s behaviourSubject to author’s behaviour
Time managementTime management• SpeedSpeed
Records managementRecords management
Electronic and physicalElectronic and physical Stable informationStable information Emphasis on trustworthiness, Emphasis on trustworthiness,
non-repudiation and perennial non-repudiation and perennial aspectsaspects
Subject to Corporate policy, Subject to Corporate policy, regulations and auditsregulations and audits
Time managementTime management• Retention and dispositionRetention and disposition
Space managementSpace management
Document vs. Records ManagementDocument vs. Records Management
10 April 202310 April 2023 Page Page 55
Remove the risk; reduce the costRemove the risk; reduce the cost
Information storage costsEmail, documents, duplicates, etc.
Legal discovery costsSearching for business records relating to litigation cases, etc.
Operational discovery costs Operational efficiency and productivity, etc.
Risk of non-complianceSarbanes Oxley, SEC, FDA, HIPAA, FOI, eCommerce Directive, etc.
Risk of litigationRecords retained incorrectly, etc.
Risk of information lossBusiness continuity, disaster recovery, etc.
An inadequate document and records management policy and solution exposes any business to unnecessary risks and costs.
Less risk Lower costs
10 April 202310 April 2023 Page Page 66
Records Management solution - logical componentsRecords Management solution - logical components
Records Management solution - IT componentsRecords Management solution - IT components
Records Management componentsRecords Management components
FileplanFileplanAppraisal procedureAppraisal procedure
Retention periodDisposal schedule
Retention periodDisposal schedule
Transmission scheduleTransmission schedule
Records Management softwareRecords Management software
E-Mail Managementsoftware
E-Mail Managementsoftware
Storage platformStorage platform
Identity Management softwareIdentity Management software
Digital Signature softwareDigital Signature software
10 April 202310 April 2023 Page Page 77
FileplanFileplanMaps to the MOSS 2007 Document Library Structure in the Maps to the MOSS 2007 Document Library Structure in the
Records CenterRecords Center
A hierarchical corporate filing structureA hierarchical corporate filing structure
Used to classify recordsUsed to classify records• Every record must have a defined location within a Every record must have a defined location within a
fileplanfileplan
Used to group records with the same disposal scheduleUsed to group records with the same disposal schedule
All users work in common fileplansAll users work in common fileplans
10 April 202310 April 2023 Page Page 88
Retention periodRetention periodMaps to the MOSS 2007 Information Management Policy Maps to the MOSS 2007 Information Management Policy
settings on a Document Librarysettings on a Document Library
Retention period can be Retention period can be
• 0-11 months and/or 0-100 years0-11 months and/or 0-100 years
• Relative to opening date, closing date, last addition, last Relative to opening date, closing date, last addition, last retrieval or an external eventretrieval or an external event
• Example – ‘1 year after closing date’Example – ‘1 year after closing date’
10 April 202310 April 2023 Page Page 99
Disposal scheduleDisposal schedule Maps to the MOSS 2007 Information Management Policy Maps to the MOSS 2007 Information Management Policy
settings on a Document Librarysettings on a Document Library
Determine how long a record is kept and what to do when Determine how long a record is kept and what to do when that period elapsesthat period elapses• Retention period + disposal instructionRetention period + disposal instruction
Disposal instructionDisposal instruction• Review, export or destroyReview, export or destroy• Example – ‘Review immediately after budget’Example – ‘Review immediately after budget’
10 April 202310 April 2023 Page Page 1010
Certificates and certification authoritiesCertificates and certification authorities
DoD 5015.2-STD – Compliant Product RegistersDoD 5015.2-STD – Compliant Product Registersby Joint Interoperability Test Command Records by Joint Interoperability Test Command Records Management Application (RMA)Management Application (RMA)http://jitc.fhu.disa.mil/recmgt/http://jitc.fhu.disa.mil/recmgt/
National Archives / PRO UKNational Archives / PRO UKhttp://www.nationalarchives.gov.uk/electronicrecordhttp://www.nationalarchives.gov.uk/electronicrecords/reqs2002/suppliers.htm and s/reqs2002/suppliers.htm and http://www.nationalarchives.gov.uk/electronicrecordhttp://www.nationalarchives.gov.uk/electronicrecords/function.htm s/function.htm
Standard for the Management of Electronic Records Standard for the Management of Electronic Records (PROS 99/007) (the VERS Standard)(PROS 99/007) (the VERS Standard)by Public Record Office Victoriaby Public Record Office Victoriahttp://vers3.imagineering.net.au/compliance/http://vers3.imagineering.net.au/compliance/
DoD 5015.2