biwug 26/04/2007 records management

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 2

Document lifecycleDocument lifecycle

Document life cycle

Revision cycle

Approval Documentupdate

Revision &annotation

Release

Distribute &publish

UseSearch & retrieve

DocumentevolutionArchive

Destruction

Document (type)definition

Documentcreation


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


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


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


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


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


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’


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’


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

biwug 26/04/2007 records management

Business

records management policy

records management components

business records

document management

physical records

disposition of records

risk of litigation records

inadequate document