Retention Policy Module Admin and User Guide - Document Logistix

113 Pages·2013·2.79 MB·English

by  Document Logistix Ltd

Retention Policy Module

Admin and User Guide

For Document Manager

24 June 2013
Trademarks
Document Manager and Document Manager Administration are trademarks of Document Logistix
Ltd. TokOpen, TokAdmin, TokImport and TokExRef are registered trademarks of Document Logistix
Ltd. All other trademarks acknowledged.
Copyright Statement
Copyright © 1999 to 2013 by Document Logistix Ltd. All rights reserved. Retention Policy Module
Admin and User Guide, 2013.
No part of this document may be reproduced, copied or transmitted in any form or by any means
without the written permission of Document Logistix Ltd.
Document Logistix Ltd believes that the information in this document is accurate at the date of
release but accepts no responsibility for any loss arising from omissions or inaccuracies contained
herein. Information within this document is subject to change without notice.
For more information on this or other Document Logistix products, please contact Document
Logistix Ltd.
Contact Details
Document Logistix Ltd – UK
Main Address: 8 Copperhouse Court
Caldecotte
Milton Keynes
MK7 8NL
United Kingdom
Telephone Main Lines: (United Kingdom) (+44) (0)1908 366388
Telephone Support Lines: (United Kingdom) (+44) (0)1908 366722
Email Information: [e-mail]
Email Support: [e-mail]
Fax: (United Kingdom) (+44) (0)1908 367700
Web: www.document-logistix.com
Document Logistix LLC – USA
Main Address: 3616 Far West Boulevard
Suite 117-309
Austin
TX 78731
USA
Telephone Main Lines: (USA) 1-512-345-4600
Email Information: [e-mail]
Email Support: [e-mail]
Fax: (United States) (+1) [phone]

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Retention-UG-001-20130624 Retention Policy Module Admin and User Guide

Software Release
This guide describes the Retention feature for the Document Manager version 2.7 software.
As the software evolves, this guide may not reflect exact screen layout changes, but core
functionality remains the same.

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Contents Retention Policy Module Admin and User Guide

Contents
1 PREFACE ........................................................................................................................................................... 1
1.1 About this Guide .......................................................................................................................................................................... 1
1.2 Intended Audience ...................................................................................................................................................................... 1
1.3 Related Documents ..................................................................................................................................................................... 1
1.4 Conventions ................................................................................................................................................................................... 1
1.4.1 Definitions ................................................................................................................................................................................... 2
2 INTRODUCTION.............................................................................................................................................. 4
2.1 What is a Document Retention Policy? ............................................................................................................................... 4
2.2 The Document Manager Retention Module ..................................................................................................................... 5
2.3 Retention License Levels ........................................................................................................................................................... 6
2.4 Retention License Features Explained .................................................................................................................................. 7
2.4.1 Automatically Delete Documents after Retention Period ........................................................................................ 7
2.4.2 Retention Period Start Date Based on Document Creation Date ......................................................................... 7
2.4.3 Retention Policy Defined by Drawer ................................................................................................................................. 7
2.4.4 Retention Policy Defined by Folder .................................................................................................................................. 7
2.4.5 Export Document File and Metadata when Document Purged ............................................................................ 7
2.4.6 Retention Period Start Date Set by Workflow Update .............................................................................................. 7
2.4.7 Retention Policy Set by Workflow Update ..................................................................................................................... 8
2.4.8 Retention Policy Defined by Document Type ............................................................................................................... 8
2.4.9 Retention Policy Defined by Index Condition ............................................................................................................... 8
2.4.10 Retention Period Start Date Based on Index Condition ........................................................................................... 8
2.4.11 Archive Documents to a Different File Store after Archive Period ....................................................................... 8
2.4.12 Convert File Format when Purged Document is Exported ...................................................................................... 8
2.4.13 Purge Approval for Document Deletions ....................................................................................................................... 8
2.4.14 Minimum, Maximum Archive/Purge Dates .................................................................................................................... 9
2.4.15 Shorten/Extend Archive/Purge Dates .............................................................................................................................. 9
2.4.16 Maximum Number of Retention Policies that can be Defined .............................................................................. 9
3 PREREQUISITES FOR THE RETENTION FEATURE ..................................................................................... 10
3.1 Installing the DLX Service Manager .................................................................................................................................... 10
3.1.1 Prerequisites ............................................................................................................................................................................. 10
3.1.2 Service Manager Installation Steps ................................................................................................................................. 10
3.2 Retention Service Installation ................................................................................................................................................ 13

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Contents Retention Policy Module Admin and User Guide

3.2.1 Prerequisites ............................................................................................................................................................................. 13
3.2.2 Installing the Retention Service ........................................................................................................................................ 13
4 CONFIGURING RETENTION ........................................................................................................................ 16
4.1 Configuring the Retention Service ...................................................................................................................................... 16
4.2 Accessing Database Retention Settings ............................................................................................................................ 20
4.2.1 Enabling the Retention Feature ........................................................................................................................................ 23
4.3 Viewing Retention Policies ..................................................................................................................................................... 24
4.4 Sample Policies ........................................................................................................................................................................... 25
4.5 Creating a Retention Policy .................................................................................................................................................... 26
4.5.1 Details Tab ................................................................................................................................................................................ 27
4.5.2 Start Conditions Tab (Moderate and Complex Only) .............................................................................................. 32
4.5.3 Change Conditions Tab (Moderate and Complex Only) ........................................................................................ 34
4.5.4 Advanced Tab (Complex Only) ......................................................................................................................................... 35
4.6 Modifying a Policy ..................................................................................................................................................................... 37
4.7 Copying a Policy ......................................................................................................................................................................... 39
4.8 Selecting a Retention Policy for a Document Type ...................................................................................................... 40
4.8.1 Checking Which Policies have been Applied to Document Types ..................................................................... 42
4.9 Selecting a Retention Policy for a Drawer ........................................................................................................................ 42
4.9.1 Mapping Index Fields for Auto-Move Documents (Moderate and Complex Licenses Only) .................. 44
4.9.2 Checking Which Policies have been Applied to Drawers ....................................................................................... 46
4.10 Linking a Retention Policy to Workflow (Moderate and Complex Licenses Only) ........................................... 47
4.11 Retention User Permissions ................................................................................................................................................... 48
5 PURGE APPROVAL PROCESS (COMPLEX LICENSE ONLY) ...................................................................... 51
5.1 Purge Approval Prerequisites ................................................................................................................................................ 51
5.1.1 Purge Status Domain Index Field .................................................................................................................................... 51
5.1.2 Approval Lists .......................................................................................................................................................................... 53
5.2 Retention Approval Group ..................................................................................................................................................... 55
6 THE RETENTION FEATURE IN DOCUMENT MANAGER .......................................................................... 57
6.1 Retention Rules for New Documents ................................................................................................................................. 57
6.2 Priority for Applying Retention Policies ............................................................................................................................ 57
6.3 Retention Fields in Document Manager ........................................................................................................................... 58
6.4 Applying Policies to Documents .......................................................................................................................................... 59
6.4.1 Applying a Policy by Document Type ............................................................................................................................ 60
6.4.2 Applying a Policy to Documents by Drawer ................................................................................................................ 61
6.4.3 Applying a Policy to a Folder............................................................................................................................................. 62

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Contents Retention Policy Module Admin and User Guide

6.4.4 Applying a Policy to a Document .................................................................................................................................... 63
6.4.5 Applying a Policy through Conditions ........................................................................................................................... 64
6.5 Viewing Retention Information for a Drawer .................................................................................................................. 66
6.6 Retention Options for Documents ...................................................................................................................................... 68
6.7 Searching for Documents Using Retention Fields ........................................................................................................ 69
6.8 Retention Index Fields in Document Properties ............................................................................................................ 70
6.9 Hiding Retention Fields in Document Manager ............................................................................................................ 71
6.10 Archiving/Purging a Document Immediately (Complex License Only) ................................................................ 72
6.11 Viewing a Document’s Purge Approval List (Complex Only) .................................................................................... 75
6.12 Approving/Rejecting a Purge (Complex License Only) ............................................................................................... 77
6.12.1 Receiving Notification that Approval is Required ..................................................................................................... 77
6.12.2 Searching for Retention Documents Requiring Your Approval ........................................................................... 78
6.12.3 Approving Documents Awaiting a Purge ..................................................................................................................... 79
6.12.4 Resubmitting a Rejected Document ............................................................................................................................... 81
7 POLICY EXAMPLES ....................................................................................................................................... 82
7.1 Basic License Example Policy ................................................................................................................................................. 82
7.1.1 Prerequisites ............................................................................................................................................................................. 82
7.1.2 Creating an Example Policy for a Basic License.......................................................................................................... 82
7.1.3 Applying the Example Policy to the Drawer ................................................................................................................ 84
7.1.4 Importing a Document into ‘Accounts Payable’ to Set the Retention Policy ................................................ 85
7.2 Moderate License Example Policy ....................................................................................................................................... 87
7.2.1 Prerequisites ............................................................................................................................................................................. 87
7.2.2 Creating an Example Policy for a Moderate License ................................................................................................ 87
7.2.3 Linking the Example Policy to a Workflow Step ........................................................................................................ 88
7.2.4 Performing the Workflow Step to set the Policy and Start Date ........................................................................ 90
7.3 Complex License Example Policy ......................................................................................................................................... 92
7.3.1 Prerequisites ............................................................................................................................................................................. 92
7.3.2 Creating an Example Policy for a Complex License .................................................................................................. 92
7.3.3 Associating the Example Policy with a Document Type ......................................................................................... 96
7.3.4 Applying the Example Policy to a Document ............................................................................................................. 97
7.3.5 Setting the Start Date for a Document .......................................................................................................................... 98
7.3.6 Changing the Purge Date ................................................................................................................................................... 99
7.3.7 Approving the Purge ......................................................................................................................................................... 100
INDEX .................................................................................................................................................................... 103

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Preface Retention Policy Module Admin and User Guide

1 Preface
This section provides an introduction to this guide.
1.1 About this Guide
This guide describes the Document Retention module for Document Manager, which enables
documents to be automatically archived and deleted.
1.2 Intended Audience
This guide is intended for advanced users who will be responsible for setting up and implementing
Retention Policies, for example system administrators.
Readers should be familiar with Document Manager.
1.3 Related Documents
For more information on using Document Manager, refer to the following:
• Document Manager User Guide
For information on installing, configuring and maintaining Document Manager, refer to the
following:
• Document Manager Installation Guide
• Document Manager Administration Guide
For more on setting up and using Document Manager Workflow, see the following:
• Workflow and Approvals Guide
If you want to find out more on Document Management considerations and company policies,
refer to this guide:
• Guide to Document Management
1.4 Conventions
Throughout this manual, a number of conventions are used. The list below details these
conventions:
• On-screen items, including buttons, tabs, menu items, field names and dialog box names
are shown in bold, for example, click the Save button.
• Keys or key combinations that you have to press on the keyboard are shown in upper case
and in angled brackets, for example: <CTRL> + <X>.

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Preface Retention Policy Module Admin and User Guide

• User input (information that you have to enter), object names and references to completed
fields are in single quotation marks, for example, enter the value ‘%PROMPT’.
• Cross-references are in italics; for example, see 1.4 Conventions on page 1 for more
information.
• Variables are displayed in italics in angled brackets, for example, select Delete <annotation
type> (in this instance, <annotation type> should be replace by the name of the selected
annotation).
Additional information is provided using icons to draw attention to them:
NOTE: Notes are used to give supplemental or important information about the subject
matter.

WARNING: Warnings are used to provide important pieces of information.

TIP: Tips are used to suggest shortcuts or things to do to make using Document Manager
products easier.
1.4.1 Definitions
The following terms are used in this guide:
• Document Manager: The Document Manager program from Document Logistix allowing
organisations to categorise and manage their documents while enabling quick and easy
access for users. See the Document Manager User Guide for more information.
• Document Manager Administration Module: The Document Manager Administration
Module enables system administrators to configure the Document Manager system. See the
Document Manager Administration Guide for more information.
• Document Retention: Organisations need to maintain adequate storage space for
documents and so draw up a set of guidelines, or policies, that dictate how long documents
are kept (retained) before being destroyed or archived. These are known as ‘Document
Retention’ Policies. Legal requirements and business needs determine the Retention Periods
for different types of documents. Retention Policies apply to both hard-copy and electronic
documents.
• Retention Period: The amount of time that a document should be held or ‘retained’ before
being archived or deleted.
• Retention Feature: This feature in Document Manager enables an organisation to create
and apply policies to implement their Document Retention guidelines.
• Retention Policy: A Retention Policy in Document Manager is a collection of Retention
settings that can apply to a specific type or category of documents.

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Preface Retention Policy Module Admin and User Guide

• Purge: The act of destroying or deleting documents after the specified Retention Period for
them has elapsed.
• Archive: The act of storing documents in a specified location for a period of time before a
Purge is performed.
• Start Date: The date from which Retention Periods for documents are calculated (before a
Purge or Archive can commence).
• Purge Date: The date on which an applicable document will be deleted. This is calculated
from the Start Date using the settings in a Retention Policy.
• Archive Date: The date on which an applicable document will be archived. This is calculated
from the Start Date using the settings in a Retention Policy.
• Workflow: Workflow automates the progression of documents through an organisation’s
processes. In Document Manager Workflow, a Workflow Process aligns to a specific
document-centric business process and contains a number of steps. A Workflow Step is an
action that progresses a document from one stage to the next in a Workflow Process.
Typically, this is carried out by a user selecting a menu option.
• Approval Process: In the Retention feature, an Approval Process enables users to authorise
the purging (deletion) of a document.
• Approval List: An Approval List contains the names of users who can approve or reject an
action to be performed on a document.
Additional Document Logistix products are available to further enhance the document
management process. For more information about them, please refer to our Website,
www.document-logistix.com or speak to an authorised reseller.

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Introduction Retention Policy Module Admin and User Guide

2 Introduction
This document describes how to set up and implement the Retention feature for use with
Document Manager from Document Logistix. The Retention feature enables documents to be
automatically archived or deleted from Document Manager, and is available in three license levels:
• Basic
• Moderate
• Complex
These levels are described in more detail in section 2.3 Retention License Levels below.
NOTES: If you need to update your license to include the Retention feature, contact
Document Logistix for a license upgrade (see Contact Details on page i). You then need to
reactivate the license in the License Manager. Refer to the Document Manager Installation
Guide for how to do this.
2.1 What is a Document Retention Policy?
A Document Retention Policy is a set of guidelines designed by an organisation to specify how
long their documents need to be kept, as required by law and to protect business interests. Typical
types of information to be considered in a Retention Policy include Invoices, Contracts and other
Financial Records, Emails, Letters, Business-Activity-Related documents, Personnel Records, and so
on.
A Document Retention Policy can form part of a wider Document Management Policy, which is
described in the Company Policy section in the Guide to Document Management.
Retention Policies should also take into account Document Management Operational
Considerations such as data protection legislation. These are covered in more detail in Operational
Considerations in the Guide to Document Management.
A good Retention Policy should define what type of information needs to be archived or deleted,
how it relates to organisational needs and in what format it should be archived, for example, as a
PDF/A document or as an image. The policy should state the names of the person or persons
responsible for maintaining and implementing the policy, detail the type of storage media to be
used and specify the backup schedules. It should also consider how searchable the retained data
will be and how it will be categorised. To protect an organisation, the encryption of and access to
archived data also needs to be specified.
If your organisation has recently purchased a Document Logistix document management system,
consider structuring the drawer and folder hierarchy in line with your Document Retention Policies.
This will make it much easier to implement and administer the Retention Policies at a later date.

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