Records

Unmanaged Content
• Ad Hoc Collaboration from
v1 to v4
• Email for Workflow
8

Unmanaged Content
Managed
Content
• Formal
Workflow
• Control
Environment
9

Unmanaged Content
Managed
Content
Records
• Formal
Management
Workflow
• Control Storage
• Final
Environment &
• Retention
Disposition
10

Document
Or Object
Becomes A
Produce Record
Corporate Control
Author Control
Publish/Declare
Records Management
•Legal Rules
•Regulatory Compliance
Activity
•Business Rules
•Access Control
Disposition
Store/
Retention
•Document Creation
Transfer
•Collaboration
•Records Classification
•Publishing
Expunge
Time

Sarbanes-Oxley
Graham Leach Bliley
Fiscal Accountability Basel II
Act (GLBA)
for all Public companies
Capital Assessment and Reporting
Privacy of Financial
Standards for Global Banking
Information
US Patriot Act
SEC Rules 17a-3 & 17a-4
Compliance Customer Documentation
All records related to securities
Requirements in order to
transactions to be maintained
“know your customer”
for 3 years
NASD 3110 DoD 5015.2 and UK PRO
written policies and Federal Standards For Records
procedures for review of Management
Health Insurance Portability &
correspondence with the
public Accountability Act (HIPAA)
Right to carry insurance between job;
Privacy of Patient Information

Requirements
Deploy Design
Pilot Develop
Test



Email me:
Russ.Stalters@AppliedIS.com
Visit my Blog
http://BetterECM.wordpress.com