Managing corporate records with formtek and alfresco

Managing Corporate Records
The What, When, Why and How

October 5, 2010

Page 1

Alfresco Webinar
Managing Corporate Records
Presented by: Dick Weisinger
Vice President and Chief Technologist Formtek, Inc.

Contact Information

1-925-459-0495
dweisinger@formtek.com
http://keytocontent.blogspot.com
@DickAtFormtek

© Copyright 2010 Formtek, Inc. Page 2

Agenda
Introduction
Records Management
– Overview – What is it?
– Why is it important?
– Standards
– Demo
Questions


Formtek?
An ECM software and services company
In business 28+ years
Prestigious customers in Asia, Europe, and
North America
Alfresco Gold Integration Partner
– Largest privately-owned Open Source Company
– Alfresco Share Collaboration
– Certified for DoD 5015.2


Formtek Markets
Engineering
Manufacturing
Aerospace / defense
Telecommunication
Utility
Government
Both small organizations
as well as large global
enterprises


Records Management
"...to comply with new rules
and tougher regulatory
examinations, recordkeeping
will be paramount"

-- WSJ January 13, 2010


What is a record?

Any piece of information, in
any format, that allows an
organization to conduct
business


Physical Records

Non-electronic


Is it a Record?
Does it support or document a transaction?
Does it document the creation, execution or
change of a policy?
Does it document a business process?
Does it document actions in response to an
inquiry?
Does it provide information used in making a
business decision?
Yes? It is a record

What is Records Management?
Records Management is the
management of the lifecycle of
the records for an organization,
from record creation, to
eventual disposal.

Records Management includes
the tasks of collecting,
classifying, securing, storing
and disposing of records.


Why Records Management?
Compliance
– Local, Federal and State Laws and Regulations
– Organization Standard Operating Procedures
Risk Mitigation
– Protects Organizations in Litigation
Business Continuity
– Speeds recovery after a disaster
Cost Reduction / Productivity / Efficiency
– Search and Retrieve information more quickly
– Frees up Storage Space
– Creates improved and more efficient processes

E-Discovery / Litigation fines
Organization Reason for e-discovery fine Fine and date
Morgan Stanley Emails created during a company merger were $1.58 billion fine
improperly deleted. Additional backup tapes May 2005
found during the investigation were not later Later overturned, but not
reported. because of the e-
discovery problems
UBS Warburg Emails were deleted in violation of a court $29.3 million fine
order. Unable to produce backup tapes. April 2005
Lucent Records produced for a Securities and $25 million fine
Technologies Inc. Exchange Investigation were incomplete. May 2004
Morgan Stanley Failure to produce email in a timely manner as $15 million fine
part of a Securities and Exchange investigation. May 2006
Bank of America Failure to produce email in a timely manner $10 million fine
Securities and failure to preserve documents related to March 2004
on-going litigation.


Compliance and Authorities
Internal Revenue Service
– Retain tax records for 4 years
Department of Labor regulation 29 CFR 516.6
– Retain employment and earnings records for 2 years
– Retain discrimination complaints for 3 years
California State Welfare and Institutions 14124.1
– Retain records for three years
Sarbanes Oxley Section 103(a)(2)(A)(i)
– Retain audit paperwork for 7 years


Records Management Standards
ISO 15489:2001
o Defined by the
International Organization
for Standardization

o Defines ‘Best Practice’

DoD 5015.2
o Defined by the US
Department of Defense

Moreq2 / MoReq2010
o European standard
defined by the European
Commission


DoD-5015.2 File Plan Structure

Cabinet(s)
Record Series

Drawer(s)
Record Category

Folders
Record Folders


Demo Scenario -- 1
Share Access and Environment
– Multiple sites
– The RM site
Introduction to Alfresco’s File Plan
View the File Plan Report


Records Lifecycle


Disposition
The actions taken on
records when they are
no longer needed,
typically destruction or
transfer.


Cutoff
The action or event that starts the
clock on the countdown to final
disposition for a record or
Folder.


Disposition Example
Cut-off quarterly. Hold 3 Years. Destroy

Electronic Email Non-
Electronic

i

Oct-Dec, 2010 January, 2011 January, 2014

Demo Scenario -- 2
Create File Plan Containers
– Create a new category
– Create a new folder
– Add a disposition schedule to the category
• Applied to Records
File an electronic document in the new Folder
Look at Record Details


Demo Scenario -- 3
Disposition and Review
– Complete Metadata
– Declare as a Record
– Move time forward - Review
– Move time forward – Cutoff
– Move time forward – Destruction


Aspects: Dynamic Metadata
Type=Report Type=Contract Type=Email Type=Physical

Type Attributes Type Attributes Type Attributes Type Attributes
Subject Customer Subject Format
Report Date Effective Date SentBy Location
Business Area Value SentTo

Aspect = RM Record
Aspect Attributes
Record Identifier
Classification Code
Creating Organization
Date of Record


Demo Scenario -- 4
Handling a Hold or Freeze
– Find and Select the Items for a Freeze
– Freeze – Find items in the Holds area
– Export items as a zip package
– Find Items on Hold
– Unfreeze


Demo Scenario -- 5
Filing a Record as part of a Workflow
– Login as Susan H
• File new document to be reviewed in Operations site
• Initiate approval and file Workflow with Bill J
– Login as Bill J
• Review the document
• File the document
• Add metadata and declare document as a record
• Complete Workflow task
– Login as Susan H
• See that task has been successfully completed


Other Key Capabilities -- 6
Exploring the Records Management Console
– Audit
– Define Roles
– User Rights Report
– Custom Metadata
– Email Mappings
– Events
– List of Values
– Relationships


Demo Scenario -- 7
Additional Ways to File documents
– File a non-electronic document
– Directly into the RM site (multi-file example)
– From CIFS mounted drive
– From IMAP
– Inbound email
– From FTP
– From a non-RM Share site


Questions?
Contact Information:
dweisinger@formtek.com


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