Proposal for Retention- and Legal Hold Management based on Secondary T ypes

1. Proposal for Retention- and Legal Hold Management based on Secondary Types Alfresco OpenText SAP

2. Retention Types • Repository Managed Retentions • Client Managed Retentions • Legal Holds

3. Repository Managed Retentions • A repository exposes a set of managed retention types with a repository determined semantic • A CMIS client can apply one of the exposed retention types to a document • The repository calculates the specific retention period according to the semantic of the applied retention type

4. Example for Repository Managed Retentions Classification by assigning secondary types File plan exposed as secondary type hierarchy

5. Client Managed Retentions • CMIS client calculates the retention period itself • CMIS client applies the calculated expiration date to a document using a repository defined managed retention type • Repository assures that the documents are preserved according to the given retention period • Usually used in multi-system environments

6. ILM Retention Management Retent. Policies CMIS Interface ERP System Legal Cases CMIS Repository Data Archiving ERP System CMIS Repository Data Volume Management End-of-Life Data Example for Client Managed Retentions

7. Client Managed Retentions – General Rules • A Retention period is defined by an expiration-date and an optional start-of-retention date • The expiration-date is either set to a concrete date or in the state not-set • If the expiration-date is set to a concrete date, deletion of the object shall be prohibited until the specified expiration date • If the expiration-date is in the state not set, the object shall not be deletable at all

8. Client Managed Retentions – Assignment Rules • A expiration date must not be replaced with expiration-date not-set • A retention policy with an expiration-date not-set can be replaced by a retention policy with a concrete expiration-date • A expiration-date must not lie in the past

9. Client Managed Retentions – Prolongation Rules • If an object has already a expiration date applied, the repository shall only accept new expiration-dates equal or greater than current one • Once a retention type is set, the type shall not be removable • A violation of a rule shall result in a constraint exception

10. Comparison Client Managed Repository Managed Simple interface to client app App does not have to be aware of retentionmgmtrules Full power of retention mgmt in repository can be used Common pattern for many integrations • Client manages retention and exposes expiration date to repository • Required in multi system scenarios where the retention rules are hosted outside the repository • Already a widely implemented pattern by many vendors

11. Legal Holds • A Legal-Holdis used to protect an object from being deleted due to pending litigation or audits, regardless of any retention period • A Legal-Hold type has a multi-valued property to store identifiers for the corresponding litigation or audit

12. Type Hierarchy for secondary retention types

13. Advantages of Secondary Types approach • CMIS domain model needs no change • Secondary Types arequery-able • An application can inspect the type model to know what kind of retention types are supported • Retentions can be set in an atomic transaction

14. Relation to other standards • Legal Hold part of other standards (DoD, MoReq) • Moreq2010 has some overlaps: • Export import of records (via CMIS?) • Spec considers distribution of records in multiple repositories instead of one central system • Spec not finalized yet • Looking for some expert in this area