Alfresco Records Management Paul Hampton Director of Product Marketing

What is Alfresco? Alfresco is the cloud connected content platform that allows you to work anywhere, on any device, with the apps of your choice

business critical content platform in the cloud, on-premise or both tablet & mobile workplace in the cloud, on-premise or both open standard API for content apps in the cloud, on-premise or both 1

in the cloud multi-tenant SaaS

on-premise full ECM platform

or both enterprise cloud sync

Alfresco Success 2,300 Enterprises customers in 75 countries 6.6 Million users 70% of which are paid 3.3 Billion files being managed globally Active community thousands of developers, "300+ partners

…the largest open source content management company in the world.

Alfresco is now the largest open source content management company in the world.

•  $1.3 million in IT & training cost savings •  10 month average payback period •  53% ROI in three years •  Flexibility and Open Standards praised

SO WHAT ABOUT RECORDS MANAGEMENT?

Records Management What is Records Management?

"The field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including the processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records"

What is a Record?

"information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business".

The art of throwing things away!

Why Bother? •  Legislation

–  Data Protection Act –  Freedom of Information Act –  Companies Acts –  The Human Rights Act –  Civil Evidence Act –  Criminal Justice Act –  Environmental Information

Regulations –  Regulation of Investigatory

Powers Act

Bottom Line

Legal requirement to manage company information Used to prove who knew what and when Badly managed Records could be a liability

AIIM Research “As can be seen, 28% of organizations would take more than a month to produce documents for a legal discovery process, and there is a suspicion that those declaring 2-4 weeks are more in hope than truth, since this period is mandated in a number of data protection and freedom of information rules.”

Source: State of the ECM Industry 2009, AIIM

DM Does That?

Document Management Records Management

Documents can be created at any time and for any purpose

A document can be changed as times goes on it is a work in progress

Documents are kept or deleted according to user requirements

Document filing structure, is built by users and changes over time, typically by adding new folders to the hierarchy

Classification scheme is defined by the organization and cannot be altered by users, often it is prescribed Records are created as part of a business process or transaction Once a record is declared it must not change except in exceptional circumstances

Records are retained for predetermined time periods and disposed of after they expire

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Drawback of Traditional Approach

Approach •  Standalone solutions •  Complex •  Expensive •  Technology •  Limited scope

Result •  Inconsistent information •  Lack of adoption •  Limited usage •  Expensive to maintain •  Not covering all content

Traditional Records Management: Not integrated into common business practice,

domain of records specialists

Design Goals •  Simplicity

–  of use for occasional users •  Reach

–  to all users in an organization •  Cost

–  deliver an open source records management solution •  Implementation

–  minimize the desktop footprint •  Future proofing

–  provide a potential model and basis for future standards work

‘Records Management without the tears’

Support for Full Record Lifecycle

•  Workflow •  Versions •  Comments •  Access control

•  Security •  Disposition •  Audit

DM and Collaboration Record Vault

One System

RM 2.0

•  New version of RM – Removed DOD constraints – Support multilevel File Plan – Leverages Alfresco 4 customization – Saved searches – Better performance – Extensible – Model, Actions and Forms

•  Will need Alfresco 4.0.2 – Delivered as two AMPs

July 2012

Feature Set

•  File Plan •  Record Types •  Record Filing •  Disposition Schedules •  Events

•  Security •  References •  Searching •  Auditing •  Administration

File Plan

•  Used to store ‘Records’ – Categories hold disposition schedule – Records are filed in Record Folders

•  Administrators create the File plan – Security used to control what users can see – Users can add records

•  Supports custom metadata

New File Plan File Plan

Record Folder

Record Category Old New

Record Types •  Support both Electronic

and Physical records •  Multiple electronic

types: –  Default –  Scanned Record –  Digital Photograph

Record –  PDF Record –  Web Record

•  A folder can contain both electronic and physical records

Record Filing •  Records can be filed

through multiple interfaces: –  Import to RM site –  From within Alfresco –  Desktop with CIFS,

WebDAV, FTP, etc. –  IMAP email client

•  Workflow –  Allow multiple users to

complete the metadata

•  3 Stage process –  File –  Complete data –  Declare

•  Records Managers can un-declare records –  Before cutoff only

Alfresco Flexible Data Model Type = Report

Type Attributes... Subject Report date Business area

Type = Contract

Type Attributes... Customer Effective date Value

Type = Email

Type Attributes... Subject Sent By Sent To

Type = Physical

Type Attributes... Format

Aspect = RM Record Aspect Attributes... Record identifier Classification code Creating organisation Date of record

Any document type can be put under the control of RM

Disposition Schedules •  Attached to Record

Categories –  Apply to categories and

folders below •  Control Records

–  Retention –  Disposition

•  A number of steps –  Cutoff –  Transfer –  Retain –  Accession –  Destroy

Events •  User Events

–  Defined by a suitably privileged user

–  Can then be included in disposal schedules

–  Completed by suitably privileged user

•  System Events –  Completed by the system –  Trigger –  Obsolete, Supersede,

Transfer •  Supports multiple events

Security – Overview

•  Certified with LDAP or external authentication

•  Users have to be Records Management users

•  Enhanced Security – Capabilities – Records Management Roles – Supplementary Markings / Caveats

Security – Capabilities •  There are over 50 of these

–  Extend Retention Period Or Freeze, Close Folders, Create Modify Destroy Reference Types, Destroy Records Scheduled For Destruction, etc.

•  Each allows one specific capability in the system Extend Retention Period Or Freeze –  Allow the user who has this to freeze records and folder, thus

extending their retention period Close Folders –  A user who has this can close folders to further filing –  Note there is also another capability which is the reverse: Re-

Open Folders

Security – Roles •  Pre-Defined Records

Management Roles –  Administrator –  Manager –  Power User –  Security Officer –  User

•  A way of grouping capabilities

•  Can be extended

References •  Relationships between

records •  Can be…

–  Parent / Child –  Bi-directional –  User Defined

•  Email splits automatically create a reference

•  Can act like events

•  Parent / Child –  Obsoletes, ObsoletedBy –  Rendition, Rendition Of –  Supersedes,

SupersededBy –  Supporting Documentation,

Supported Documentation –  Versions, VersionedBy –  Message, Attachment

•  Bi-Directional –  Cross-Reference

Examples

Searching •  Search on

–  Record and content properties

–  Disposal schedules –  Calculated values (e.g.

Dates) –  Record status –  Custom properties

•  Configurable results –  Returned values –  Re-order columns

•  Save for later use / re-edit

Auditing •  Audit trail of actions •  Filtered by Event,

User or Date

•  Searches can be exported or filed and declared as records

Administration – Dashlet

•  Dashlet – Can be given to any user

•  Allows access to Management Console

•  Only admin functions applicable will be available –  Based on roles

Summary •  Legislation means

companies need to control vital records –  But it is not about

keeping everything forever

•  One system for RM and DM

•  Designed for ease of use to drive user adoption

Alfresco Enterprise

Document Management

Team Collaboration

Rich Media Support

Web Content Services

Process Management

Image Management

Electronic Records

Management

QUESTIONS? What to do next… Try for free –

http://www.alfresco.com/products/enterprise/trial DevCon –

http://devcon.alfresco.com