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 ).
Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author.While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server.
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). • Essential elements include the approved Records Control Schedule, properly training those responsible for implementation, and careful execution of the disposition of records.
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.
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
Folder Structure • Create folder structure • Purge folder “marked” for delete • Archive folder for “offline” or alternate media type storage
Retention Schedules • Use “dummy” document type as a control table • Inflo can use the variable data within a document record
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.
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
Sample Inflo Process Map • Sample Inflo process map • Retention schedule rule setup per doc type
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
Rule 1 Action: Pass Retention Length • Pass the retention length (in days) to next rule • Purge or move variable can also be passed
Rule 2 Query: Return Matching Invoices • Take retention length passed from previous rule • Use current SYSTEM DATE minus length to return matching documents
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
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).
Tracking Deletions • Track deletions thru Fortis audit trail
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
Have a question or need additional help Brent Wesler Director of Professional Services Tel: 203-483-6666 ext. 627 E-mail: firstname.lastname@example.org