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Fortis and Records Management

Fortis and Records Management. Brent Wesler Director of Professional Services. What is Records Management?. The systematic management of all records over the life cycle ( creation , distribution , maintenance , retrieval , final disposition ).

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Fortis and Records Management

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  1. Fortis and Records Management Brent Wesler Director of Professional Services

  2. What is Records Management? • The systematic management of all records over the life cycle (creation, distribution, maintenance, retrieval, final disposition). • Essential elements include the approved Records Control Schedule, properly training those responsible for implementation, and careful execution of the disposition of records.

  3. Why Records Management? • Not only can failing to preserve records present a potential liability, so can retaining a record beyond its designated life cycle • As part of a governance, risk and compliance framework, Records Management is appropriate for any organization with legal or regulatory requirements as well as those with strict corporate governance policies about appropriate recordkeeping.

  4. What are the Required Components? • Fortis/SE coupled with Inflo can perform records management functions • Fortis folder archive paths – support for HSM (Hierarchical Storage Management) for docs that don’t require purge • Inflo’s ability to: • Move to Folder - to automate HSM and record movement prior to deletion • Send email – notification prior to deletion or movement • Run an EXE – supports automated purge or other 3rd party integration • PurgeIt performs record sanitation Doc Type As Control Table Configurable Folder Archive

  5. Sample Records Management Process

  6. Folder Structure • Create folder structure • Purge folder “marked” for delete • Archive folder for “offline” or alternate media type storage

  7. Retention Schedules • Use “dummy” document type as a control table • Inflo can use the variable data within a document record

  8. Sample Retention Schedule Excerpt from a sample Retention Policy • (a) Tax Records. Tax records include, but may not be limited to, documents concerning payroll, expenses, proof of deductions, business costs, accounting procedures, and other documents concerning the Company's revenues. Tax records should be retained for at least six yearsfrom the date of filing the applicable return. • (b) Employment Records/Personnel Records. State and federal statutes require the Company to keep certain recruitment, employment and personnel information. The Company should also keep personnel files that reflect performance reviews and any complaints brought against the Company or individual employees under applicable state and federal statutes. The Company should also keep all final memoranda and correspondence reflecting performance reviews and actions taken by or against personnel in the employee's personnel file. Employment and personnel records should be retained for six years.

  9. Fortis Supports 2 Types of Retention • Static retention automatically purges documents according to a pre-configured time interval. • It requires no user intervention • Static retention can be based on either the document date or the date the document was stored in Fortis • Dynamic retention allows the date of deletion to be determined based on a custom Workflow or external action in a line-of-business application • Documents are not deleted or purged until approved by a Fortis user • Change Fortis metadata to trigger an event within Inflo

  10. Fortis Metadata Defines Record Lifecycle

  11. Sample Inflo Records Management Process Map

  12. Sample Inflo Process Map • Sample Inflo process map • Retention schedule rule setup per doc type

  13. Rule 1 Query: Check Retention Schedule For each document type make an Inflo rule that retrieves the retention length Also, should it purge or move

  14. Rule 1 Action: Pass Retention Length • Pass the retention length (in days) to next rule • Purge or move variable can also be passed

  15. Rule 2 Query: Return Matching Invoices • Take retention length passed from previous rule • Use current SYSTEM DATE minus length to return matching documents

  16. Rule 2 Action: Move and Notify • Move to Purge or Archive folder based on retention table • Send email notification • Admin selects the link to instantiate the purge

  17. Purge Rule

  18. What is PurgeIt PurgeIt is a command line application that can be run manually or by Inflo to delete documents from Fortis based on a retention schedule. PurgeIt is the final component within a Fortis Records Management workflow, where documents that meet a specific criterion will be purged after x number of days, years, etc. PurgeIt includes 3-pass data clearing and sanitization using Microsofts secure delete tool prior to deletion as per DoD standard 5220.22-M (the definitive standard on data destruction).

  19. Tracking Deletions • Track deletions thru Fortis audit trail

  20. PurgeIt • Demonstration • Looks for invoice that matches retention schedule • Moves invoice to a purge folder • Performs a 3 write pass delete of document from disk • No install required

  21. Make sure to visit us at ARMA

  22. Have a question or need additional help Brent Wesler Director of Professional Services Tel: 203-483-6666 ext. 627 E-mail: brentw@westbrooktech.com

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