Fortis and Records Management

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Fortis and Records Management
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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.

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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.

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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
  dont require purge
• Inflos 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

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Sample Records Management Process
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Folder Structure

• Create folder structure
• Purge folder marked for delete
• Archive folder for offline or alternate media
  type storage

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Retention Schedules

• Use dummy document type as a control table
• Inflo can use the variable data within a document
  record

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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 years from
  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.

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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

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Fortis Metadata Defines Record Lifecycle
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• Sample Inflo Records Management Process Map

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Sample Inflo Process Map

• Sample Inflo process map
• Retention schedule rule setup per doc type

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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

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Rule 1 Action Pass Retention Length

• Pass the retention length (in days) to next rule
• Purge or move variable can also be passed

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Rule 2 Query Return Matching Invoices

• Take retention length passed from previous rule
• Use current SYSTEM DATE minus length to return
  matching documents

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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

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Purge Rule
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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).

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Tracking Deletions

• Track deletions thru Fortis audit trail

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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

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• Make sure to visit us at ARMA

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• Have a question or need additional help
• Jonathan Langdon-Phillips
• Director of Professional Services
• Tel [phone] ext. 623
• E-mail jlangdon_at_westbrooktech.com