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Records Management - The Art of Throwing Things Away - Alfresco Software


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View the full webinar recording here:

This webinar reviews:
- The importance of Records Management
- Exploring RM terminology and standards
- An overview of the Alfresco Records Management solution

But why bother with Records Management?

The bottom line is that:
1 - There is a legal requirement to manage company information

2 - RM is used to prove who knew what, and when

3 - Badly managed records could be a liability

There are 3 main Records Management standards:
1 - ISO 15489:2001 (Best practice)
2 - DoD 5015.2 (US Dept of Defense standard)
3 - Moreq2 (European Union standard)

Getting user buy-in with Records Management is key... it's not just about technology. It must be simple enough to encourage end users to actually comply!

The live webinar also includes a demo, and extensive Q&A.

Published in: Technology, Business

Records Management - The Art of Throwing Things Away - Alfresco Software

  1. 1. Records Management with Alfresco Paul Hampton Product Marketing Director Alfresco “ The Art of Throwing Things Away”
  2. 2. Agenda The importance of Records Management Questions and Answers Demo Overview of Alfresco RM Solution Exploring RM terminology and standards
  3. 3. The Power of Information Thanks goodness for Records Management & the Freedom of Information Act
  4. 4. “ 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" Records Management "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". Records
  5. 5. Why Bother? <ul><li>UK Legislation </li></ul><ul><li>US Legislation </li></ul>Data Protection Act 1998 (DPA) Freedom of Information Act 2000 Companies Acts 1985, 1989; and The Human Rights Act 1998 Civil Evidence Act 1995 Criminal Justice Act 1988 Environmental Information Regulations 1992 & Environmental Information (Amendment) Regulations 1998 Regulation of Investigatory Powers Act 2000 (RIPA) Sarbanes Oxley Electronic Signature in Global and National Commerce Act R ules 26 & 34 of theFederal Rules of Civil Procedure Bank Secrecy Act The Paperwork Reduction Act of 1980 Uniform Photographic Copies of Business and Public Records as Evidence Act (UPA) Safe Harbor Act (Related to European Union Data Protection Directive)
  6. 6. 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
  7. 7. What Needs to be Managed? <ul><li>Physical Objects... </li></ul><ul><ul><li>Printed documents </li></ul></ul><ul><ul><li>Letters </li></ul></ul><ul><ul><li>Film </li></ul></ul><ul><ul><li>Certificates </li></ul></ul><ul><ul><li>Fax </li></ul></ul><ul><ul><li>Forms </li></ul></ul><ul><li>Electronic Files... </li></ul><ul><ul><li>Office documents </li></ul></ul><ul><ul><li>Email </li></ul></ul><ul><ul><li>Images </li></ul></ul><ul><ul><li>Website content </li></ul></ul><ul><ul><li>Databases </li></ul></ul><ul><ul><li>Audio / Video files </li></ul></ul><ul><ul><li>Wiki entries </li></ul></ul><ul><ul><li>Blog posts </li></ul></ul>
  8. 8. RM Standards <ul><li>3 Main Standards </li></ul><ul><li>ISO 15489:2001 </li></ul><ul><ul><li>Defined by the International Organisation for Standardisation </li></ul></ul><ul><ul><li>Defines ‘Best Practice’ </li></ul></ul><ul><li>DoD 5015.2 </li></ul><ul><ul><li>US Standard defined by the US Department of Defence </li></ul></ul><ul><li>Moreq2 </li></ul><ul><ul><li>European standard defined by the European Union </li></ul></ul>ISO 15489:2001 DoD 5015.2 Moreq2 Best Practice ERM System requirements
  9. 9. DoD “Types” <ul><li>The word “Type” is overloaded in the DoD Standard </li></ul><ul><li>Type usage includes... </li></ul><ul><ul><li>Physical vs. Electronic </li></ul></ul><ul><ul><li>Temporary vs. Permanent </li></ul></ul><ul><ul><li>Type defined by metadata </li></ul></ul><ul><ul><ul><li>Email </li></ul></ul></ul><ul><ul><ul><li>Contract, Report... </li></ul></ul></ul><ul><ul><ul><li>User defined </li></ul></ul></ul>
  10. 10. Physical vs. Electronic <ul><li>Physical records came first </li></ul><ul><li>Electronic RM is modelled on physical systems </li></ul>Cabinet(s) Record Series Draw(s) Record Category Folders Record Folders
  11. 11. Physical Records Non-electronic
  12. 12. Permanent vs. Temporary <ul><li>Records have an explicit lifecycle </li></ul><ul><li>Some will include regular reviews </li></ul><ul><li>Some Records are temporary </li></ul><ul><ul><li>Physical records need to be physical destroyed </li></ul></ul><ul><ul><li>Electronics records need to be deleted (disk record wiped) </li></ul></ul><ul><li>Some Records are permanent </li></ul><ul><ul><li>Have to be kept forever (or even longer!) </li></ul></ul>
  13. 13. Other RM Terminology <ul><li>Fileplans </li></ul><ul><ul><li>A pre-determined classification plan by which records are filed and/or electronically indexed to facilitate efficient retrieval and disposal of records. </li></ul></ul><ul><li>Record Series </li></ul><ul><ul><li>A group of related records that are normally used and filed together or otherwise linked and that allow consideration as a unit for use, review, retention or destruction purposes. </li></ul></ul><ul><li>Vital Records </li></ul><ul><ul><li>A vital record is one that is essential to the continued operation of the organisation following a disaster. </li></ul></ul><ul><li>Metadata </li></ul><ul><ul><li>Data describing context, content and structure of records and their management through time. </li></ul></ul><ul><li>Registration </li></ul><ul><ul><li>Act of giving a record a unique identifier on its entry into a system. </li></ul></ul><ul><li>Disposition </li></ul><ul><ul><li>Range of processes associated with deciding whether to keep, destroy, or transfer records. </li></ul></ul>
  14. 14. Alfresco RM Solution Full-text Indexes & Categories Storage Metadata DBMS Content Repository Content Processes Services Services FTP CIFS WebDAV Virtual File System High Availability App Server Web Applications Web Services CMIS SOAP Portals Portal Server SharePoint <ul><li>Uses same repository as DM, WCM, etc. </li></ul><ul><li>Records can be added via any interface </li></ul><ul><ul><li>Web – Alfresco Share </li></ul></ul><ul><ul><li>Desktop – CIFS, FTP, MS Office, etc. </li></ul></ul>
  15. 15. RM Aspects 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
  16. 16. Demo Walkthrough Caveat: These screen shots were taken from an Engineering build Things will change before final release! <ul><li>Process: </li></ul><ul><li>Upload documents </li></ul><ul><li>Declare as a record </li></ul><ul><li>Review </li></ul><ul><li>Cut off </li></ul><ul><li>Destroy </li></ul>+
  17. 17. Alfresco Share RM Site
  18. 18. RM Site View RM Menus: Fileplan Records Search Records Report
  19. 19. Fileplan View
  20. 20. Fileplan View
  21. 21. RM Details
  22. 22. Adding a New File File Upload
  23. 23. Select File
  24. 24. Upload
  25. 25. Undeclared Record
  26. 26. Setting RM Attributes
  27. 27. Now Declared Record
  28. 28. View Record Preview Attributes Actions
  29. 29. Multi Document Upload
  30. 30. Multi Document Upload
  31. 31. Multi Document Upload
  32. 32. One Record Declared
  33. 33. Record Search
  34. 34. Time Moves On Reset system date: Moved forward by 8 days
  35. 35. RM Reports
  36. 36. Record Needs Review Review RM Action
  37. 37. Reviewed
  38. 38. Time Moves On Reset system date: Moved forward by 1 month
  39. 39. Records Requiring Cut Off
  40. 40. Cut Off Action RM Action
  41. 41. Record Cut Off
  42. 42. Records Requiring Destruction
  43. 43. Destroy Action RM Action
  44. 44. Summary <ul><li>Increasing legal requirement to better manage Records </li></ul><ul><li>Good Records Management is not just about technology </li></ul><ul><li>Getting user buy in key </li></ul><ul><ul><li>Make it simple for them to comply </li></ul></ul><ul><li>Alfresco has a great Open Source solution </li></ul><ul><ul><li>One repository for DM, RM, WCM, DAM... </li></ul></ul>
  45. 45. Questions? Paul Hampton Email: [email_address] Twitter: PaulDHampton