Retention Policy Module Admin and User Guide

Transcription

1 Retention Policy Module Admin and User Guide For Document Manager 24 June 2013

2 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, 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) Telephone Support Lines: (United Kingdom) (+44) (0) Information: Support: info@document-logistix.com support@document-logistix.com Fax: (United Kingdom) (+44) (0) Web: Document Logistix LLC USA Main Address: 3616 Far West Boulevard Suite Austin TX USA Telephone Main Lines: (USA) Information: Support: us.sales@document-logistix.com support@document-logistix.com Fax: (United States) (+1) (512) i

3 Retention-UG 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. ii

4 Contents Contents 1 PREFACE About this Guide Intended Audience Related Documents Conventions Definitions INTRODUCTION What is a Document Retention Policy? The Document Manager Retention Module Retention License Levels Retention License Features Explained Automatically Delete Documents after Retention Period Retention Period Start Date Based on Document Creation Date Retention Policy Defined by Drawer Retention Policy Defined by Folder Export Document File and Metadata when Document Purged Retention Period Start Date Set by Workflow Update Retention Policy Set by Workflow Update Retention Policy Defined by Document Type Retention Policy Defined by Index Condition Retention Period Start Date Based on Index Condition Archive Documents to a Different File Store after Archive Period Convert File Format when Purged Document is Exported Purge Approval for Document Deletions Minimum, Maximum Archive/Purge Dates Shorten/Extend Archive/Purge Dates Maximum Number of Retention Policies that can be Defined PREREQUISITES FOR THE RETENTION FEATURE Installing the DLX Service Manager Prerequisites Service Manager Installation Steps Retention Service Installation iii

5 Contents Prerequisites Installing the Retention Service CONFIGURING RETENTION Configuring the Retention Service Accessing Database Retention Settings Enabling the Retention Feature Viewing Retention Policies Sample Policies Creating a Retention Policy Details Tab Start Conditions Tab (Moderate and Complex Only) Change Conditions Tab (Moderate and Complex Only) Advanced Tab (Complex Only) Modifying a Policy Copying a Policy Selecting a Retention Policy for a Document Type Checking Which Policies have been Applied to Document Types Selecting a Retention Policy for a Drawer Mapping Index Fields for Auto-Move Documents (Moderate and Complex Licenses Only) Checking Which Policies have been Applied to Drawers Linking a Retention Policy to Workflow (Moderate and Complex Licenses Only) Retention User Permissions PURGE APPROVAL PROCESS (COMPLEX LICENSE ONLY) Purge Approval Prerequisites Purge Status Domain Index Field Approval Lists Retention Approval Group THE RETENTION FEATURE IN DOCUMENT MANAGER Retention Rules for New Documents Priority for Applying Retention Policies Retention Fields in Document Manager Applying Policies to Documents Applying a Policy by Document Type Applying a Policy to Documents by Drawer Applying a Policy to a Folder iv

6 Contents Applying a Policy to a Document Applying a Policy through Conditions Viewing Retention Information for a Drawer Retention Options for Documents Searching for Documents Using Retention Fields Retention Index Fields in Document Properties Hiding Retention Fields in Document Manager Archiving/Purging a Document Immediately (Complex License Only) Viewing a Document s Purge Approval List (Complex Only) Approving/Rejecting a Purge (Complex License Only) Receiving Notification that Approval is Required Searching for Retention Documents Requiring Your Approval Approving Documents Awaiting a Purge Resubmitting a Rejected Document POLICY EXAMPLES Basic License Example Policy Prerequisites Creating an Example Policy for a Basic License Applying the Example Policy to the Drawer Importing a Document into Accounts Payable to Set the Retention Policy Moderate License Example Policy Prerequisites Creating an Example Policy for a Moderate License Linking the Example Policy to a Workflow Step Performing the Workflow Step to set the Policy and Start Date Complex License Example Policy Prerequisites Creating an Example Policy for a Complex License Associating the Example Policy with a Document Type Applying the Example Policy to a Document Setting the Start Date for a Document Changing the Purge Date Approving the Purge INDEX v

7 Preface 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>. 1

8 Preface 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 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. 2

9 Preface 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, or speak to an authorised reseller. 3

10 Introduction 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, s, 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. 4

11 Introduction 2.2 The Document Manager Retention Module Figure 1 shows how documents progress when a Retention Policy is applied in Document Manager: Figure 1: Document Lifecycle in Retention Module 5

12 Introduction As shown by Figure 1 above, a Retention Policy can be applied to new or existing documents in Document Manager using several methods. A policy can be applied manually by a user with the relevant permission, or automatically through a drawer, document type, a configured Workflow Process or a global policy. In addition, conditions (values in index fields) can be defined for a policy that, when met by a document, enable that policy to be applied. A policy can also be applied to a folder, so that the retention settings are inherited by the documents the folder contains. Once a policy is applied, a document can be automatically moved to a different Document Manager location on a date specified in the policy. Documents can also be archived prior to being purged (deleted) and at the time they are archived, they can be made read-only and optionally moved to a different storage location. An Approval Process can be created that means that authorisation is required from specified users before a document can be purged. Copies of documents can also be exported at the time of purging. 2.3 Retention License Levels Table 1 below shows the different features available in Document Manager for each license level: Feature Basic Moderate Complex Automatically delete documents after retention period Yes Yes Yes Retention period start date based on document creation date Yes Yes Yes Retention policy defined by drawer Yes Yes Yes Retention policy defined by folder Yes Yes Yes Export document file and metadata when document purged - Yes Yes Retention period start date set by workflow update - Yes Yes Retention policy set by workflow update - Yes Yes Retention policy defined by document type - Yes Yes Retention policy defined by index condition - Yes Yes Retention period start date based on index condition - Yes Yes Archive documents to a different file store after archive period - Yes Yes Convert file format when purged document is exported - - Yes Purge Approval for document deletions - - Yes Minimum, Maximum Archive/Purge dates - - Yes Shorten/Extend Archive/Purge dates - - Yes Maximum number of retention policies that can be defined 3 6 Unlimited Table 1: Retention Features Available for Each License Level The features above are explained in more detail in sections to below. 6

13 Introduction 2.4 Retention License Features Explained This section briefly describes the features enabled by the Retention license types Automatically Delete Documents after Retention Period Retention Policies are created to hold settings that determine how an organisation s retention strategy is implemented on documents. A purge period can be specified in a policy to stipulate at what time a document is deleted from the system (purged). This feature automatically deletes documents that have been assigned a Retention Policy according to the purge period defined in the policy Retention Period Start Date Based on Document Creation Date This feature signifies that the start of a purge or archive period defined in a Retention Policy will be dependent on the date on which a document is created (as shown in the system field Date Created ). For Moderate and Complex licenses, the start date can be determined by index conditions Retention Policy Defined by Drawer This means that you can link Retention Policies that you have defined to individual drawers. One policy can be selected for each drawer. New documents in the drawer can have the settings defined in the associated policy applied and documents that already exist in the drawer can also have the policy retrospectively assigned to them. A policy can also be applied to more than one drawer Retention Policy Defined by Folder This means that you can apply a Retention Policy that you have defined to an individual top-level folder. The policy can be applied to all documents and sub-folders within the selected folder. A policy can also be applied to more than one folder Export Document File and Metadata when Document Purged When documents are purged by retention settings, this feature enables the documents and associated index information (in XML files) to be exported to a selected location Retention Period Start Date Set by Workflow Update This option enables a user to specify that the start date for a Retention archive or purge period is set by an update to a Workflow Step. 7

14 Introduction Retention Policy Set by Workflow Update This enables a user to specify that a Retention Policy is applied to a document when a Workflow Step is run for that document Retention Policy Defined by Document Type A Retention Policy can be associated with a particular Document Type. New documents of that type will automatically be assigned the settings defined in the associated Retention Policy. The policy settings can also be applied to existing documents of that type. A policy can also be applied to more than one document type Retention Policy Defined by Index Condition This feature enables a user to specify that a Retention Policy can be applied to a document, or changed to a different policy, when a condition defined for the policy is met by the document, for example, index fields matching user-defined values Retention Period Start Date Based on Index Condition This option enables a user to specify that the start date for a Retention archive or purge period is set by the date a condition is met by a document, such as an index field for the document being equal to a specific value Archive Documents to a Different File Store after Archive Period This option enables document files to be physically moved to a new file location when the archive period has elapsed, which could be removable media Convert File Format when Purged Document is Exported This license feature enables the format of documents to be changed to a multipage TIF image or PDF/A document when they are exported after being purged by your retention settings. A PDF/A document is a Portable Document Format file optimised for archiving Purge Approval for Document Deletions This feature enables an Approval Process to be set up for a document deletion (purge). An Approval List is created to specify who approves the document purge. 8

15 Introduction Minimum, Maximum Archive/Purge Dates This feature enables an administrator to specify the earliest and latest dates to which an archive or purge date can be changed by a user with the required permissions. The time period set is calculated from the start date for a document (which can be the document creation date, the time when a condition is met or when the Retention Start Date is set by a Workflow Step) Shorten/Extend Archive/Purge Dates This means that a user with the correct permissions can perform a document deletion or archive ahead of the purge/archive date set by an associated Retention Policy and can choose to postpone the deletion or archive by changing the purge/archive date for the document Maximum Number of Retention Policies that can be Defined This signifies the maximum number of Retention Policies that can be defined for each license level. 9

16 Prerequisites for the Retention Feature 3 Prerequisites for the Retention Feature Before being able to use the Retention feature, the following are required: A valid Retention license (Basic, Moderate or Complex). The DLX Service Manager, to configure and run the Retention Service. The Retention Service installed and running. 3.1 Installing the DLX Service Manager Before installing the Retention Service, you must install the Document Logistix Service Manager, which enables you to configure and administer Document Logistix services Prerequisites The Service Manager requires the following to be installed: Microsoft.NET Framework version 3.5 SP1 this can be installed during the installation process (providing you have an Internet connection). If your operating system is Windows Server 2008 R2, you need to enable the.net Framework version before installing the Service Manager Service Manager Installation Steps To install the Service Manager, follow the steps in Table 3 below: Step Description Screenshot Step 1 The Document Manager Server installation created a share on the server called DMClient. Open Windows Explorer and navigate to the DMClient share within the Document Manager Server installation directory. Step 2 Double-click on the correct Service Manager setup file for your operating system, for example, DLX_ServiceManager_x86.exe for 32-bit operating systems (for 64-bit systems, the filename will end with x64 ). If prompted to run the file or grant permission, click Run or Continue. 10

17 Prerequisites for the Retention Feature Step Description Screenshot Step 3 The Microsoft.NET Framework 3.5 SP1 is required for the Service Manager. If the.net Framework 3.5 SP1 needs to be installed, click Install (Internet connection required) and follow the on-screen instructions. Step 4 After the prerequisites have been installed, the Service Manager setup will begin and the Welcome screen displays. Click Next. Step 5 The Destination Folder page displays. If you want to change the default installation directory, click the Change button. Click Next. 11

18 Prerequisites for the Retention Feature Step Description Screenshot Step 6 The Service Manager is ready to be installed. An option is available to go back to make any changes. Click Install. Step 7 When the InstallShield Wizard Completed page displays, the Service Manager has been successfully installed. Click Finish. Step 8 The DLX Service Manager window displays. This enables you to configure Document Logistix services, such as the Retention Service. To open the Service Manager, double-click on the cog icon ( ) in the Windows notification area or click Start > All Programs > Document Logistix > Service Manager. Table 2: Installing the Service Manager 12

19 Prerequisites for the Retention Feature 3.2 Retention Service Installation In order to implement Retention Policies, you need to install the Retention Service Prerequisites The Retention Service requires the following to be installed: The Service Manager see 3.1 Installing the DLX Service Manager on page Installing the Retention Service To install the Retention Service, follow the steps in Table 3 below: Step Description Screenshot Step 1 Navigate to the DMClient share within the Document Manager Server installation directory. Double-click on the installation file for your operating system, for example, DLX_RetentionService_x86.exe for 32-bit systems. If prompted to run the file or grant permission, click Run or Continue. Step 2 The Welcome page displays. Click Next to begin the Retention Service installation process. Step 3 The Destination Folder page displays. If you want to change the default installation directory, click the Change button. Click Next. 13

20 Prerequisites for the Retention Feature Step Description Screenshot Step 4 The Ready to Install page displays. Click Install to start the installation. Step 5 When the installation finishes, the Completed page displays. Click Finish to exit the installation wizard. When the Retention Service has been installed, a pop-up balloon displays in the Windows notification area. Step 6 After installing the Retention Service, you need to configure it. To display the Retention Service setting, right-click on the cog icon ( ) in the notification area, point to Retention Service and select Configure. 14

21 Prerequisites for the Retention Feature Step Description Screenshot Step 7 The Retention Service Configuration dialog box displays. On the Database tab, you need to enter the details that the Retention Service will use to connect to Document Manager: Server: Enter the name of your SQL Server installation in this text box and, if applicable, the name of the instance used, for example, MySQLServer/InstanceName. Database Name: Enter the name of your Document Manager configuration database in this text box. Typically, the database name is dmcfg, idmcfg or tokcfg. Integrated Security: Tick this checkbox to use Integrated Security. If you select this, you do not need to enter a Username and Password below. Username: If using SQL Server authentication, enter the name of the user to be used for authentication. Password: If using SQL Server authentication, enter the password for the user to be used for authentication. Test Connection: Click to test that the details entered above are correct. On the NTP tab, you can enter the details of an NTP server to check the time used by the Retention Service. On the Misc tab, you can define a logging level and a time of operation for the service: Logging Level: Select the level of data written to the event log for the Retention Service. Can Run From/To: Enter the start and end time in hours if you want the Retention Service to run between specified hours. Refer to Table 4 on page 20 below for a more detailed description of the settings in the Retention Service Configuration dialog box. Step 8 Once you have made your changes to the Retention Service Configuration dialog box, click Save. Click OK to confirm. The Retention Service Configuration dialog box then closes. Table 3: Installing the Retention Service 15

22 Configuring Retention 4 Configuring Retention NOTE: In order to configure Retention Settings and Policies in Document Manager, you must have the permissions Administer retention in admin and Define policies in admin, which are granted to User Accounts in the Administration Module. The Retention Service is set up using the Retention Service Configuration dialog box. Document Manager Retention settings and policies are defined and maintained using the Administration Module. 4.1 Configuring the Retention Service If you need to specify or change settings for the Retention Service, you can do so from the Retention Service Configuration dialog box. To launch the Retention Service Configuration dialog box: 1. Do one of the following: Click Start, select Document Logistix > Service Manager and in the DLX Service Manager dialog box, highlight the Retention Service and click Configure on the Configuration tab: 16

23 Configuring Retention Right-click on the cog icon ( ) in the Windows notification area, point to Retention Service and select Configure: The Retention Service Configuration dialog box displays: 2. In this dialog box, you need to enter the details that the Retention Service will use to connect to your Document Manager configuration database and can optionally define Network Time Protocol (NTP) details, a logging level and a time of operation for the service. Enter your database connection details on the Database tab. You can use the Test Connection button to check the details are correct. Refer to Table 4 below for a description of the Retention Service Configuration settings. Click Save if you want to save your changes and close the dialog box. 17

24 Configuring Retention 3. If you want to use an NTP server to check the time used by the Retention Service, select the NTP tab (see Table 4 for a description of the settings): 4. Select the Misc tab to set the logging level and running time for the service (see Table 4 for a description of the settings): 5. When you have made all your changes in the Retention Service Configuration dialog box, click Save. Click OK in the confirmation messages that follow. The dialog box closes. 18

25 Configuring Retention Table 4 describes the settings in the Retention Service Configuration dialog box: Tab Setting Description Server Enter the name of your SQL Server installation in this text box and, if applicable, the name of the instance used, for example, MySQLServer/InstanceName. Database Name Enter the name of your Document Manager configuration database in this text box, for example, DMcfg. Typically, the database name is dmcfg, idmcfg or tokcfg. Database Integrated Security Username Select this checkbox to enable integrated security. If you select this, you do not need to enter a Username and Password below. If using SQL Server authentication, enter the name of the user to be used for authentication in this text box. Password If using SQL Server authentication, enter the password for the user to be used for authentication. Test Connection Click this button to test that the connection details entered above are correct. Click OK to dismiss the resulting message. If the test fails, you will need to change some of the details above and try again. Enable Select the checkbox to enable the use of an NTP server to verify the time used by the Retention Service. NTP Server Address Allowed Difference Enter the address of the NTP server in this text box. A port number is not required here. If the local machine already uses an NTP server to verify its time, select a different NTP server for the Retention Service. This will ensure that any errors in the original NTP server are picked up. If an NTP server is used and no response is received from the server, the Retention Service will not perform any processing. Use the arrows to select or enter the time in Hours, Minutes and Seconds by which the time on the local machine is allowed to differ from the NTP server time. The allowed difference must be less than 24 hours. If the local time differs by more than the time specified here, the Service will not perform any Retention actions. IMPORTANT: If, during processing by the Retention Service, the local machine time is changed so that it is more than 24 hours different from the process start time, all processing will stop. The Retention Service will then check the time again at the next poll time (as specified by Polling Interval in the Database Connection dialog box) and if it is within the Allowed Difference, processing will resume. 19

26 Configuring Retention Tab Setting Description This setting only applies to events for the Retention Service. The log level for database events is defined on the Retention tab in the Document Manager Databases dialog box. Select the level of data written to the event log for the Retention Service: None: Select this option to save no information to the event log. Logging Level Errors: Select to only save errors to the log. This is the least detailed level. Warnings: Select to log warnings in addition to errors. Information: Select to log information, warnings and errors. Verbose: This is the most detailed level and will write every event to the log this can produce very large log files. This information will be saved to the event log and can be viewed in the Windows Event Viewer. Misc Can Run From (Hour) If you want to specify that the Retention Service operates during a specific hourly time period, you can do so using the Can Run From (Hour) and Can Run To (Hour) settings. In this setting, use the arrows to select the start hour for the Retention Service. The setting uses the 24-hour clock. The Can Run From/To settings use the time of the local machine on which the Service is installed. Can Run To (Hour) Use the arrows to select the end hour for the time during which the Retention Service will run. Process all on first run startup Select this checkbox if you want to process all Retention actions on all applicable databases when the Retention Service is first run. You may want to do this if the Retention Service has been stopped for some time and the Retention Dates for documents may have passed. If this checkbox is clear, the Service will check the databases for possible actions but perform the actions the next time it runs (as defined by the polling interval for each database in the Database Connection dialog box). Cascade Purge Plugin This setting is only applicable if using the Cascade Purge Plug-in. Enter the class name for the Cascade Plug-in in the text box. Table 4: Retention Service Settings 4.2 Accessing Database Retention Settings The Retention settings for Document Manager databases are specified in the Administration Module. To access the Retention settings for a database: 1. In the Administration Module, click the Databases button on the Administer tab. 20

27 Configuring Retention 2. Select the required database in the Document Manager Databases dialog box and click Modify. The Database Connection dialog box displays. 3. Click the Retention tab to display the retention settings for the database: NOTE: The Retention tab is not available if you do not have the permission Administer retention in admin. This is granted to users in the Administration Module. Table 5 describes the Retention settings for a database: Setting Enable retention for this database Description Select this checkbox to enable the Retention feature for the selected database. 21

28 Configuring Retention Setting Polling Interval Description Enter the Retention polling interval for this database in hours. This will set the frequency for the Retention Service to check the database for any applicable purges or archives. This setting only applies to database events for the selected database. The log level for the Service events is defined in the Retention Service Configuration dialog box. Select the Retention log level for this database from the drop-down list: None: Select to save no information to the event log. Log Level Error: Select to return only the details of errors generated by the Retention Service. Warning: Returns the warnings generated by the Retention Service in addition to errors. Information: Returns information on actions performed, in addition to warnings and errors. Verbose: Returns a detailed description of all errors, warnings and information. This information will be saved to the event log and can be viewed in the Windows Event Viewer. Error Notification Interval Enter the frequency in hours with which notifications are sent if any errors occur. Report To Address Report From Address Report Subject Enable Approval Notifications Errors and warnings generated by the Retention Service will be saved to a report. Enter the address to which you want to send the report. Enter an address to be displayed in the From line of the report . Enter the text to be displayed in the Subject line of the report . Select this to checkbox to enable notifications to be sent when an approval is required. If selected, the settings in Purge Approval Notifications below become available. If this checkbox is clear, no approval notifications will be sent. Select the format for links to documents requiring approval that will be attached to notifications: Send approval notifications in the format for: Group notifications by policy Number of notifications by Maximum number of retries Rich Client: Select to attach a Document Manager reference (.wkx file) to notifications for documents requiring approval. Web Client: Select to attach a Document Manager Web URL to notifications for documents requiring approval. Select this checkbox to group approval notifications for documents by their Retention Policy and send them in a single . Enter the number of approval notifications that will be grouped into one in the Number of notifications by text box below. If Group notifications by policy is selected above, enter the number of approval notifications to be included in the group approval . If you enter a high number, the may be rejected by your client or system check the client documentation or ask your system administrator. Enter the maximum number of times the Retention Service retries when sending an approval . The service will retry once each time it polls. When the number entered here is reached, the will be discarded. 22

29 Configuring Retention Setting Description Hour in day (0-23) to update document policies Enter the time at which point you want to update documents to apply policies or update policy settings ( 0 equals 00:00; 23 equals 23:00). If this is outside of the allowed times for the Retention Service to run (as defined by the Can Run From/To settings in the Retention Service Configuration dialog box), the update will be performed as soon as the Service next runs. If this is left blank, the update runs at midnight (00:00) or at the first opportunity if Can Run From/To is set in the Retention Service Configuration dialog box. IMPORTANT: It is recommended that the update is set to run outside of work hours. Full updates on a high number of records may cause your Document Manager system to slow down. IMPORTANT: For normal usage, it is recommended that this option is not selected. A full update may take some time to process and may slow normal use of the Document Manager database and server. Perform a full update Select to perform a full update of documents according to policy settings at the time specified by the Hour in day... setting above. This will update the following in addition to the regular update: If a Policy has a condition or conditions to set a Start Date, and documents with that Policy applied (that has not yet been activated) have now met the conditions, the Start Date will be set for the documents. For documents that have had a Start Date set by a Policy but that are missing a Purge Date, the Purge Date will then be set. The Archive Date and Auto Move date will also be updated, if applicable. If this setting is left blank, only policies that have not yet been activated and with a condition to set the Start Date using the %NOW variable in a date field will be activated (Start Date set). Table 5: Retention Settings for Databases Enabling the Retention Feature The Retention Feature is enabled at the Document Manager database level. To enable retention: 1. Click the Databases button on the Administer tab. 2. Select the required database in the Document Manager Databases dialog box and click Modify. The Database Connection dialog box displays. 3. Click the Retention tab and select Enable retention for this database: 23

30 Configuring Retention 4. Select the Database settings tab and click the Test Connection button: 5. When the message confirming the test has passed, click OK. 6. Click OK to save your changes and close the Database Connection dialog box. 4.3 Viewing Retention Policies You can display a list of the Retention Policies that have been created in Document Manager. To view the Retention Policies that have been created: Click the Document Retention button on the Administer tab. The Retention dialog box displays and shows the Retention Policies that have been created. If this is the first time you have accessed it, the Retention dialog box will display three built-in policies (see 4.4 Sample Policies on page 25 below): In this dialog box, you can add, modify, copy and delete policies. Table 6 describes the options in the Retention dialog box: Item Name Description This column displays the policy name, which is entered on the Details tab in the New Policy or Policy Details dialog box. See Details Tab on page 27 for more information on the Details tab. 24

31 Configuring Retention Item Description Default Priority Active Documents View Add Modify Delete Copy Close Description Displays the policy description, as entered on the Details tab in the New Policy or Policy Details dialog box. Indicates whether the policy is the default system policy. This is set on the Details tab in the New Policy or Policy Details dialog box. Shows the priority set for each policy. This is set on the Details tab for a policy. Indicates whether the policy has been applied to any documents. This column displays the number of documents to which the policy is applied. Click this button to view the settings for the selected policy. If this button is clicked, the settings displayed are read-only and cannot be changed. Click to add a new Retention Policy. The New Policy dialog box displays. Click to modify the selected policy. The Policy Details dialog box displays. Click to delete the selected policy. A message box displays to confirm you want to delete the policy. If the selected policy is applied to documents, the policy cannot be deleted. Click to copy the selected policy. Use this to duplicate the policy s settings or use the settings as the starting point for a new policy. Click to close the Retention dialog box. Table 6: Options in the Retention Dialog Box 4.4 Sample Policies There are three sample policies that are created by default when the Retention feature is enabled: Purge 3 Years Purge 7 Years Purge 12 years These policies will delete (purge) documents to which they are applied, after the specified number of years. You can use the policies to apply to documents or document types, or you can edit them to suit your own needs. See sections to starting on page 27 for a description of the settings in Retention Policies. To view the details of a sample policy, select it in the Retention dialog box and click View. To modify a sample policy, select it and click Modify. See 4.6 Modifying a Policy on page 37 for more information. You can also delete the sample policies if you want to create your own. To delete a policy, highlight it and click Delete. Click Yes to confirm you want to delete. 25

32 Configuring Retention 4.5 Creating a Retention Policy A policy holds all the settings for a specific implementation of your organisation s Document Retention strategy. Individual policies can be created for different situations, for example, for different document types, various storage locations or different retention periods. The settings available to you depend on the level of your Retention license (see 2.3 Retention License Levels on page 6 for more information). To create a policy: 1. Click Document Retention on the Administer tab. The Retention dialog box displays. 2. Click Add. The New Policy dialog box displays: The settings available in this dialog box depend on your type of Retention license. The settings on each tab are described in the following sections. The minimum settings that need to be defined for a valid simple purge policy are the Policy Name, Policy Description and Default Purge Period. 26

33 Configuring Retention Once you have created a policy, you then need to ensure that the policy will be applied to the required documents. This can be achieved through associating the policy with a document type or a drawer. See 4.8 Selecting a Retention Policy for a Document Type on page 40 and 4.9 Selecting a Retention Policy for a Drawer on page 42 for how to do this. Users with the correct permissions can also apply policies directly to a folder or document in Document Manager. See 6.4 Applying Policies to Documents on page 59 for more information. Additionally, policies can be applied if a document index field matches a specific value (or values) defined for a policy. See Start Conditions Tab (Moderate and Complex Only) on page 32 for how to define start conditions. You can find out if a policy has been applied to a document type or a drawer by viewing the Document Type and Drawers dialog boxes. A column indicates if a Retention Policy has been applied to a document type or drawer in the list. For document types, the column is called Doctype Policy ; for drawers, it is called Drawer Policy. You may need to scroll to the right to display these columns. To view these dialog boxes, click the Document Types or Drawers button on the Administer tab in the Administration Module Details Tab The Details tab in the New Policy or Policy Details dialog box enables you to configure general settings for Retention Policies. Table 7 describes the options on the Details tab and the license required to access each setting: Setting Description License Required Policy Name Enter a name for the Retention Policy. Ensure it is meaningful and easily recognisable. Any Policy Description Enter a meaningful description for the policy. Any Archive Storage Location From the drop-down list, select the storage location to which archived documents will be moved. The storage location must have already been configured in the Document Manager Administration Module. An archive means the document files are physically moved to a new location. This must be set if a Default Archive Period is specified. NOTE: You cannot set a policy to only archive documents. A purge must also be set to follow the archive. Moderate or Complex Make document read only when archived Select this checkbox to set documents as read-only when they are moved to the archive location. Moderate or Complex 27

34 Configuring Retention Setting Description License Required Purge External Reference Documents Select this to purge references to external documents when the Purge Date for this Policy is reached. If this checkbox is clear, references to external documents will not be purged by this Policy. External reference documents cannot be archived or exported following a purge. Any Purge Media Path When purging documents, you can use this setting to export the documents and associated index information (in XML files) to the selected location or removable media. One XML file is created per exported document. Enter the path to a folder, share or media to which the purged documents and XML files will be written. Moderate or Complex Purge Image Format Default Archive Period If you have entered a path in Purge Media Path to export the purged documents and index information, you can choose the format for the documents using this option. Select the format for purged documents from the drop-down list: Multipage Tiff: Choose this to save the exported documents as TIF images. PDF/A: Select this to save as the Portable Document Format standard specifically designed for long-term archiving (PDF/A). This option enables you to set the period of time before an archive is performed for documents that have been assigned this policy. When a Start Date is set for a document, the Archive Date will be calculated for the document using this period. The Start Date is set as the time a document is created (as shown in the system field Date Created ) or the time a condition is met for Moderate and Complex policies (set on the Start Conditions tab in the Create/Modify Policy dialog boxes see Start Conditions Tab (Moderate and Complex Only) on page 32 for more information). Once this period elapses, applicable documents will be moved to the Archive Storage Location selected above. If your organisation has a Complex license, this archive period can be overridden by archive settings for individual documents. Enter or use the arrows to select the default period of time before an archive can commence: Years: If required, select the years for the default archive period. Months: Select the months for the archive period. Weeks: Select the weeks for the archive period. Days: Select the days for the archive period. NOTE: You cannot set a policy to only archive documents. A purge must also be set to follow the archive. Moderate or Complex Moderate or Complex 28

35 Configuring Retention Setting Description License Required Minimum Archive Period If a user has the Extend archive dates and Shorten archive dates permissions, they can change the Archive Date for individual documents. This setting enables you to specify the earliest day from the Start Date to which they can change the Archive Date. The Start Date is the time a document is created or when a condition set on the Start Conditions tab is met (Moderate and Complex licenses only). Enter, or use the arrows to select, the minimum number of years, months, weeks, or days from the Start Date before the archive can commence. Complex Maximum Archive Period This setting enables you to specify the latest date to which a user can change the Archive Date for a document, calculated from the Start Date. Enter the maximum number of years, months, weeks, or days from the Start Date before the archive can commence. Complex Default Purge Period Minimum Purge Period This option enables you to set the period of time before a purge is performed for documents that have been assigned this policy. When a Start Date is set for a document, the Purge Date will be calculated for the document using this period. The Start Date is set when a document is created or when a condition is met (as defined on the Start Conditions tab for Moderate and Complex policies see Start Conditions Tab (Moderate and Complex Only) on page 32). Once this period has elapsed, applicable documents will be deleted. If your organisation has a Complex license, this purge period can be overridden by purge settings for individual documents. Enter or use the arrows to select the default period of time before a purge can commence: Years: Select the years before the default purge begins. Months: Select the months for the purge period. Weeks: Select the weeks for the purge period. Days: Select the days for the purge period. If a user has the Extend purge date and Shorten purge date permissions, they can change the Purge Date for individual documents. This setting enables you to specify the earliest time from the Start Date to which users can change the Purge Date. The Start Date is the time a document is created or when a condition set on the Start Conditions tab is met (Moderate and Complex licenses only). Enter the minimum number of years, months, weeks, or days from the Start Date before the purge can commence. Moderate or Complex Complex Maximum Purge Period This setting enables you to specify the latest date to which a user can change the Purge Date for a document, calculated from the Start Date. Enter the maximum number of years, months, weeks, or days from the Start Date before the purge can commence. Complex 29

36 Configuring Retention Setting Description License Required Auto Move Period The Retention feature enables documents to be moved to a new drawer and if required, updates the document index fields. Documents are not physically moved by this option the Archive Storage Location specifies to where document files are moved and the Default Archive Period determines the Archive Date. This setting enables you to configure the length of time from the Policy Start Date before documents with the Policy applied to them are moved. The destination drawer for the documents is selected in the Auto Move Mappings dialog box (see Mapping Index Fields for Auto-Move Documents (Moderate and Complex Licenses Only) on page 44). If a Policy with an Auto Move Period configured has been applied to a document within a drawer, a destination drawer must be selected in the Auto Move Mappings dialog box for that drawer. Otherwise, the Retention Service will return an error message when attempting to move. If the destination drawer excludes certain document types and a document being automatically moved is one of the excluded types, it will not be moved. If, following an auto move, the Policy applied to a document is changed and it also has an auto move configured, the second move will not take place; the auto move can only be performed once. However, you can manually remove the Policy and apply a new one that has an auto move set. Enter or use the arrows to select the period of time before applicable documents are automatically moved to the new drawer specified in Auto Move Mappings: Years: Select the years before documents are automatically moved. Months: Select the months for the auto move period. Weeks: Select the weeks for the auto move period. Days: Select the days for the auto move period. IMPORTANT: The destination drawer for an automatic move may itself have a Retention Policy assigned. Take care when selecting a destination drawer; otherwise you may encounter unexpected results. It is recommended that you test the Auto Move feature before implementing in a live data environment. Moderate or Complex Make this policy the system global default Select this checkbox to make the policy the default policy for the database. When Retention is enabled, the system policy will be applied to all documents in all drawers except when documents are excluded by policies applied to a specific drawer, document type, folder or document. Any 30

37 Configuring Retention Setting Description License Required Policy Priority Use the slider to set the priority for the policy to be processed by the Retention Service. For Basic Licenses, higher-priority policies have their associated actions performed before lower-priority policies. See 6.2 Priority for Applying Retention Policies on page 57 for how policies are prioritised when applied to documents. For Moderate and Complex Licenses, higher-priority policies will be applied to applicable documents before lower-priority policies and their associated actions will be performed first. Retention actions for policies are performed in priority order for each drawer; drawers are processed in the order that they were created. The highest priority (Max) is 1 and the lowest priority (Min) is 100. If two or more policies have the same priority, actions are performed for the policies in the order the policies were created. Any Table 7: Retention Policy Details Tab 31

38 Configuring Retention Start Conditions Tab (Moderate and Complex Only) Start Conditions are criteria that must be met by values in folder or document indexes before a Retention Policy is applied to a document or a Policy is activated, if already applied. If the conditions are met by a document with no Policy applied, the Policy will be applied when the Retention Service updates and the Retention Start Date is set for the document. When the conditions are met by a document with the Policy applied, the Start Date is set for the document. When first opened, the Start Conditions tab in the New Policy dialog box shows the system and common index fields to which conditions can be assigned: The common fields displayed are those that have been configured for your database. You can display the index fields for a drawer by selecting the required drawer from the Drawer drop-down list. 32

39 Configuring Retention A combination of conditions and values can be selected for different index fields and drawers; however, if you select multiple conditions, all must be met before the Policy is applied to a document or the Start Date is set. If you select a custom date field in Use this date field and define a condition, both must be completed before the Start Date is set. When users enter values in the index fields selected on this tab, the values do not have to be case-sensitive to match the conditions. Table 8 describes the Start Conditions tab for a Retention Policy: Setting Description Select a drawer from this drop-down list to display its index fields in the grid underneath. This enables you to define conditions for index fields that are already in use in your system. Drawer Field Condition Value If you are defining conditions for multiple drawers, click Save Condition to save your changes for a drawer before moving to the next drawer. An asterisk (*) next to a drawer name indicates that a condition has been set up for the drawer. This column displays the names of the index fields. In this column, click on the field and select the down arrow to choose a condition to apply to the Value entered for the index field. Conditions include Contains, Equal to, Greater than and so on. Enter the value for the index field to which the condition should apply (and which must be met by documents for the Policy to be applied or Start Date set). Select the date or field to be used for the Policy Start Date (from which Retention dates are calculated for documents) from this drop-down list: Document Create Date: Select this to use the date the document was created as the Start Date for the Retention Policy. Use this date field... Policy Applied Date: Select this to use the date the Policy is applied to a document as the Start Date, <Custom Field>: If you have a date field configured as a common field or for a specific drawer, it will be displayed in this drop-down list. This enables you to select a custom date field that will set the Retention Start Date to the date entered for a document in the custom field. If the field is left blank for a document, the Start Date will not be set for that document. To display the custom date fields for a specific drawer, select that drawer first in the Drawer drop-down list. Delete Condition Save Condition Click this button to clear the conditions set for system/common fields or for a specific drawer. Click to save conditions set for system/common fields or for a specific drawer. You must save conditions set for each drawer in turn if setting up conditions for multiple drawers. Table 8: Retention Policy Start Conditions Tab 33

40 Configuring Retention Change Conditions Tab (Moderate and Complex Only) Change Conditions can be defined on this tab in order to change the Policy applied to a document. When values that match the defined conditions are entered in the index fields associated with a document, the policy applied to that document is changed to the policy selected on this tab. When first opened, the Change Conditions tab shows the system and common index fields to which conditions can be assigned: You can display the index fields defined for a drawer by selecting the required drawer from the Drawer drop-down list. 34

41 Configuring Retention Table 9 describes the Change Conditions tab: Setting Description Select a drawer from this drop-down list to display its index fields in the grid underneath. This enables you to define conditions for index fields that are already in use in your system. Drawer Field Condition Value If defining conditions for multiple drawers, click Save Condition to save your changes for a drawer before moving to the next drawer. An asterisk (*) next to a drawer name indicates that a condition has been set up for the drawer. This column displays the names of the index fields. In this column, click on the field and select the down arrow to choose a condition to apply to the Value entered for the index field. Conditions include Contains, Equal to, Greater than and so on. Enter the value for the index field to which the condition should apply (and which must be met by documents for the new Policy to be applied). This setting enables you to select the policy to be applied to documents when the documents meet the conditions defined for the current policy in the fields above. Change policy to... Delete Condition Save Condition Select the policy to be applied to matching documents from the drop-down list. This policy must have already been created. NOTE: If a policy has a condition associated with it to change to a new policy when the condition is met, and that condition is then met, the Retention Start Date is determined by the new policy. If the condition is not met, the Policy is not changed and the original Policy s Start Date applies. Click this button to clear the conditions set for system/common fields or for a specific drawer. Click to save conditions set for system/common fields or for a specific drawer. You must save conditions set for each drawer in turn if setting up conditions for multiple drawers. Table 9: Retention Policy Change Conditions Tab Advanced Tab (Complex Only) The Advanced tab in the New Policy and Policy Details dialog boxes enables you to configure a workflow process to approve the purging (deletion) of documents for a Retention Policy and to select the list of people who can approve the purge. Refer to 5 Purge Approval Process (Complex License Only) on page 51 for more information and see Approval Lists on page 53 for how to set up lists of approvers for the Purge Approval Process. Documents in the Purge Approval Process go through a number of states to identify where they are in the process and these states are established by matching domain field values to the status values using the Map Domain Values setting. A default domain field called Purge Status is created automatically when the Retention Feature is enabled, which you can use in the Purge Approval Process. This is already mapped to the status values in Map Domain Values by default. 35

42 Configuring Retention The Purge Approval Process is initiated when, with the Retention Service running, the Purge Date for a document is reached. The first approver in the Approval List is sent an to notify them that their approval is required. See 6.12 Approving/Rejecting a Purge (Complex License Only) on page 77 for how to approve or reject a document purge in Document Manager. Select the Advanced tab to display the approval settings for the Retention Policy: Table 10 details the settings on the Advanced tab for a Retention Policy: Setting Purge Status Domain Description Select the domain to be used to determine the status of documents in the Purge Approval Process from the drop-down list. The system domain Purge Status can be used here. The Purge Status domain has the values Candidate, Marked, Approved, Rejected and Archived. The Archived domain value is only used if a document is archived before it is Marked for a purge (when the Purge Date is reached). You can set up and use your own domain with different values to the Purge Status system domain field. See Creating a Custom Purge Status Domain on page 52 for how to do this. Map Domain Values Use this setting to map the values of the selected domain field to the Purge Status values. Purge Approval List Select the approval list to be used for the purge approval process. See Approval Lists on page 53 for more on creating approval lists. Table 10: Retention Policy Advanced Tab 36

43 Configuring Retention 4.6 Modifying a Policy If you need to change any Retention Policy settings, you can edit the settings for each policy. To change the settings for a Retention Policy: 1. Click the Document Retention button on the Administer tab in the Administration Module. The Retention dialog box displays: 37

44 Configuring Retention 2. Select the required policy from the list displayed and click Modify. The Policy Details dialog box displays: 3. Change your required settings and click OK to save your changes and exit the Policy Details dialog box. See 4.5 Creating a Retention Policy on page 26 for a description of the policy settings. 38

45 Configuring Retention 4.7 Copying a Policy If you want to copy the settings in a Retention Policy, for example, as the basis for creating a similar policy, you can copy a policy in the Retention dialog box. To copy a policy: 1. Click the Document Retention button on the Administer tab in the Administration Module. The Retention dialog box displays: 2. Select the policy you want to copy and click the Copy button. The Copy Policy dialog box displays: 3. Enter a name for the policy and click OK. 4. A confirmation message displays. Click OK to close the message. The copy of the policy is then displayed in the list in the Retention dialog box. To change the settings in the policy, select it and click Modify. 39

46 Configuring Retention 4.8 Selecting a Retention Policy for a Document Type If your organisation has a Moderate or Complex Retention license, a Retention Policy can be applied to all documents of a specific document type, both when they are created and retrospectively to documents that already exist. To see how Policies are prioritised when more than one can be applied to a document, refer to 6.2 Priority for Applying Retention Policies on page 57. If the Retention feature is enabled, a Retention tab is available in the Add or Modify Document Type dialog box in the Administration Module. To view the Retention settings for a Document Type: 1. Log in to the Administration Module. 2. Click the Document Types button on the Administer tab. 3. In the Document Types dialog box, select the required document type and click Modify. The Retention tab displays in the Modify Document Type dialog box: 40

47 Configuring Retention 4. Select the Retention tab to display the Retention settings for the document type: Table 11 details the Retention settings for the document type: Item Retention policy to apply Description Select the policy to be applied to documents of this document type. Burn annotations to document on purge export Select this checkbox to burn any annotations (except sticky notes) onto documents of this type that are exported by a purge process, so that the annotations are permanently saved on the documents. Apply to Existing Documents Remove from Existing Documents Click this button to apply the policy selected in Retention policy to apply to existing documents of this document type that do not already have a policy. The policy will be applied to documents when the Retention Service next updates the database (as specified in Hour in day (0-23) to update document policies on the Retention tab in the Database Connection dialog box). If there are a large number of documents, this action may take some time to be performed; for example, for 10,000 documents, the process should take about one minute. Click to remove the policy selected in Retention policy to apply from all documents of this type already in the database. Table 11: Document Type Retention Settings 41

48 Configuring Retention Checking Which Policies have been Applied to Document Types If you want to quickly see which policies have been applied to which document types, you can do so in the Document Types dialog box. To see which policies have been applied to document types: 1. In the Administration Module, click the Document Types button on the Administer tab. 2. The Document Types dialog box displays a list of all document types in Document Manager. Using the horizontal scrollbar, scroll to the right of the dialog box: 3. The Doctype Policy column shows if a policy is applied to a document type. You can scroll down to see if other policies have been applied. Click Close to exit the dialog box. 4.9 Selecting a Retention Policy for a Drawer The Retention tab in the Add/Modify Drawer dialog box enables you to select a specific Retention Policy for individual drawers. This means that when documents are created in or added to the drawer, they are automatically assigned the policy. A policy can also be applied to all documents that already exist in the selected drawer. In addition, you can choose to exclude certain document types from the drawer Retention settings. To see how Policies are prioritised when more than one can be applied to a document, refer to 6.2 Priority for Applying Retention Policies on page

49 Configuring Retention To define Retentions settings for a drawer: 1. In the Administration Module, click Drawers on the Administer tab. 2. In the Drawers dialog box, select the required existing drawer and click Modify. 3. The Modify Drawer dialog box displays. Select the Retention tab: On this tab you can select a policy for the drawer. Table 12 describes the Retention tab settings: Item Retention policy to apply Delete empty folders after all files have been purged Document Types to exclude Auto Move Mappings Description Select the policy to be applied to documents that will be created in this drawer from the drop-down list. Select this checkbox to delete empty folders in the drawer when all documents in a folder are purged. Select the document types to be excluded from the policy selected in Retention policy to apply. Document of these types in the drawer will not have the Retention settings defined for this policy applied to them. If Retention Policy settings enable documents within this drawer to be automatically moved, click this button to select the location for moved documents. The Auto Move Mapping dialog box displays see Mapping Index Fields for Auto-Move Documents below for more information. 43

50 Configuring Retention Item Apply to Existing Documents Remove from Existing Documents Apply Default Retention Policies Description Click this button to apply the policy selected in Retention policy to apply to all documents already in this drawer that do not already have a policy. The policy will be applied to documents when the Retention Service next updates the database (as specified in Hour in day (0-23) to update document policies on the Retention tab in the Database Connection dialog box). Once the policy in Retention policy to apply has been applied to documents, this button is available. Click to remove the policy from documents in the drawer. Click to check all the policies configured in Document Manager to see if existing documents in the drawer meet the conditions defined in a policy, and then apply the matching policy. If a document meets the conditions in more than one policy, the policy s priority will be checked to see which policy should be applied (priority is set on the Details tab for a policy). Matching policies will be applied to documents when the Retention Service next updates the database (as specified in Hour in day (0-23) to update document policies in the Database Connection dialog box). Typically, this option will be used for an existing Document Manager system with a high number of documents that meet conditions defined in a newly created Retention Policy. Table 12: Retention Settings for a Drawer Mapping Index Fields for Auto-Move Documents (Moderate and Complex Licenses Only) You can configure a policy to automatically move documents from one drawer to another, once the policy has been activated. This will also update the index information of the documents. You can select the document destination and define what index information is saved for the documents from the Modify Drawer dialog box. If the destination drawer excludes certain document types and a document being automatically moved is one of the excluded types, it will not be moved. If, following an auto move, the Policy applied to a document is changed and it also has an auto move configured, the second move will not take place; the auto move can only be performed once. When the Auto Move feature is configured for a drawer, it will move all documents contained in the drawer that have an associated Policy that specifies an Auto Move Period (see Table 7 on page 31 in Details Tab for more on this setting). NOTE: The Auto Move feature does not move the physical documents from their storage location; it only changes their associated drawer and index information. To physically move the document files, you must configure an archive and select an archive location (only available for Moderate and Complex licenses). See Details Tab on page 27 for a description of the archive settings defined when creating a Retention Policy. To select the location and index data for automatically moved documents: 1. In the Administration Module, click Drawers on the Administer tab. 2. In the Drawers dialog box, select the required drawer and click Modify. 44

51 Configuring Retention 3. Select the Retention tab. See Table 12 above for a description of the settings on this tab. 4. Click the Auto Move Mappings button. The Auto Move Mappings dialog box displays: 5. Select the drawer to which documents will be moved from the Destination Drawer drop-down list. The dialog box updates and shows the index fields for the destination drawer in the Mapping column: IMPORTANT: The drawer you select to be the destination drawer in this dialog box must have at least the number of mandatory index fields that have been defined for the current drawer. If it does not, the mapping will not work. 45

52 Configuring Retention 6. The existing document index fields for the current drawer are shown in the Field column. Select the fields in the destination drawer to which the existing fields will be mapped using the drop-down lists in the Mapping column. This determines the values that the index fields will contain following the move. If index fields are empty for documents that are being automatically moved, you can specify a fixed value to complete the field. If you want to specify a fixed value to be used for an index field when it does not contain a value, enter the value in the Default column. 7. Click OK to save your changes and exit the Auto Move Mappings dialog box Checking Which Policies have been Applied to Drawers You can quickly and easily see which policies have been applied to which drawers in the Drawers dialog box. To see which policies have been applied to drawers: 1. Click the Document Types button on the Administer tab in the Administration Module. 2. The Drawers dialog box displays a list of all the drawers in Document Manager. Using the horizontal scrollbar, scroll to the right. The Drawer Policy column shows if a policy is applied to a drawer: 3. Scroll down to see if other policies have been applied. Click Close to exit the dialog box. 46

53 Configuring Retention 4.10 Linking a Retention Policy to Workflow (Moderate and Complex Licenses Only) If you have a license that enables both Workflow and Retention (Moderate or Complex), it is possible to apply a Retention Policy to a document and set the Start Date when a Workflow Step updates the document. When Retention is enabled in addition to Workflow, two Retention fields are available in the Workflow Step Details dialog box on the Updates tab: The fields are: Retention Policy: Click in the Value column to select the policy to be applied to documents that match the Workflow Step conditions from the drop-down list displayed. Retention Start Date: Enter the Start Date to be set for applicable documents in the Value field, or enter the system variable %NOW to set the Start Date to use the time that a document is updated by this Workflow Step. This feature enables a document to go through a Workflow process, for example, the approval of an invoice that requires payment, with the final Workflow Step set up to initiate a Retention Policy, which would then archive and finally delete the document after the periods of time specified in the policy. Optionally, this policy could have a Purge Approval Process set up for it. If a document that matches the Workflow conditions already has an associated policy, that policy will be overridden by the policy set by the Workflow Step. To display the Updates tab, click Workflows in the Administration Module, then select the required step in the Workflow Steps dialog box, click Modify and select Updates. 47

54 Configuring Retention Configuring Document Manager Workflow is beyond the scope of this document see the Workflow and Approvals Guide for more information Retention User Permissions There are a number of user permissions in the Administration Module that enable users to configure Retention settings and perform actions using the Retention feature in Document Manager. To view or modify Retention user permissions: 1. In the Administration Module, click the Users button on the Administer tab. The User Accounts dialog box displays. 2. Select the required user and click Modify. 3. Click the Permissions tab and select the Retention sub-tab to display the permissions: 4. Select the required permissions for the user and click OK to save your changes. See Table 13 below for an explanation of the permissions. To access Retention group permissions: 1. In the Administration Module, click the Groups button on the Administer tab. 2. Select the required group and click Modify in the Groups dialog box. 3. Under Group Permissions, select the Retention tab. The permissions are displayed. 4. Select the required permissions to apply to the group and click OK to save your changes. 48

55 Configuring Retention Table 13 explains the Retention permissions: Permission Administer retention in admin Description This permission enables the user to modify Retention settings in the Document Manager Administration Module. If the permission is selected for the user, the Document Retention button is available on the Administer tab in the Administration Module. This feature is only available if you have a Complex license. Archive immediately This permission enables the user to force an archive to be performed immediately for a document, ahead of the archive date set by the applied policy. If a minimum archive date is specified for a policy, that date is the earliest that the archive can be performed immediately by the user. The earliest archive date is defined by the Minimum Archive Period on the Details tab for a Retention Policy. If selected for a user, an option to Archive Now is available in the Modify Document Properties dialog box and also on the Document tab in the main Document Manager window. Define policies in admin Enables the user to define or edit Retention Policies in the Administration Module. This feature is only available if you have a Complex license. Extend archive dates This permission enables the user to extend the archive date in the Document Manager client. Archive and Purge dates can be changed when modifying a document s properties. If it has been specified, the Maximum Archive Period setting on the Details tab for a Retention Policy determines by how long the user can extend the archive date for a document that has been assigned the policy. This feature is only available if you have a Complex license. Extend purge dates This permission enables the user to extend the purge date when modifying a document s properties in Document Manager. Archive and Purge dates can be changed when modifying a document s properties. If specified, the Maximum Purge Period setting on the Details tab for a Retention Policy determines by how long the user can extend the purge date for an applicable document. This feature is only available if you have a Complex license. Purge immediately This permission enables the user to force a purge to be performed immediately, if the earliest purge date defined by the policy s Minimum Purge Period setting has passed. The Minimum Purge Period is defined on the Details tab for a Retention Policy. If selected for a user, the Purge Now option is available in the Modify Document Properties dialog box and also on the Document tab in the main Document Manager window. Enables the user to set or change the policy for a folder or document from the Document Manager client, in the Modify Folder/Document Properties dialog boxes. Set policies in client NOTE: Careful consideration should be given when granting this permission: the Retention settings can be changed completely when changing the policy for a document. This could cause unexpected results. 49

56 Configuring Retention Permission Description This feature is only available if you have a Complex license. Shorten archive dates This permission enables the user to bring forward the archive date when modifying a document s properties in Document Manager. Archive and Purge dates can be changed when modifying a document s properties. If specified, the Minimum Archive Period setting on the Details tab for a Retention Policy determines by how long the user can bring forward the archive date for an applicable document. This feature is only available if you have a Complex license. Shorten purge dates This permission enables the user to bring forward the purge date when modifying a document s properties in Document Manager. If specified, the Minimum Purge Period setting on the Details tab for a Retention Policy determines by how long the user can bring forward the purge date for an applicable document. Table 13: Retention User Permissions 50

57 Purge Approval Process (Complex License Only) 5 Purge Approval Process (Complex License Only) If you have a Complex Retention license, an Approval process can be set up to enable a user or group of users to authorise the purging of a document (deletion). This feature uses a domain index field to identify the status of a document as it progresses through the Purge Approval process and an Approval List is defined to specify the people who will approve the Purge. Refer to 6.12 Approving/Rejecting a Purge (Complex License Only) on page 77 for how to approve or reject a document purge in Document Manager. 5.1 Purge Approval Prerequisites This section details the prerequisites needed before setting up a Purge Approval Process Purge Status Domain Index Field For Complex Retention licenses, a system domain index field is automatically created called Purge Status. This index field is used to identify the status of a document through the stages of the Approval process to purge documents. The values of the domain, which identify the document status, are: Candidate: This is the default value given to all documents when a policy is applied to them. It means the document is a candidate to be purged. Archived: This means the document has been moved to the configured archive location. An archive typically takes place before a document is marked to be purged; however, a document can be archived while awaiting approval (after it is marked for purge). The Archived value is overridden by Marked, that is, when the Purge Date is reached. Marked: This value means the document is marked to be purged. The document will be purged the next time the Retention Service polls the Document Manager database. If an approval list has been selected for the document s associated policy, the document purge must then be granted full approval (the Purge Status must be set to Approved ) by any required approvers before being purged. Approved: This value means a document with an associated Approval List is ready to be purged. The document will be purged when the Retention Service next polls the Document Manager database. Rejected: This value means the document has been rejected for purge. The Approval Process will need to be restarted before the document can be purged. 51

58 Purge Approval Process (Complex License Only) Creating a Custom Purge Status Domain If you have a Complex Retention license, you can create and use your own domain field with Purge Approval policies. If you do not want to create your own Purge Status Domain, you can use the system Purge Status to set the status of documents in the Purge Approval process. To create a domain field to be used for purge statuses: 1. In the Administration Module, click the Domain Fields button on the Administer toolbar. 2. Click Add in the Domains dialog box displayed. The Enter New Domain Name and Values dialog box displays: 3. Enter a Name for the domain, for example, Retention Purge Status. 4. To add values to the domain, click in Values box, type a value and press <ENTER>. The values need to map to the purge statuses Candidate, Archived, Marked, Approved and Rejected but you can give them any names you want. Enter each value in turn and press <ENTER> after each one: 5. Click OK to add the purge status domain. 6. Click Close to close the Domains dialog box. The domain values will need to be mapped to the purge statuses when creating a Retention Policy with an associated Purge Approval process. See Advanced Tab (Complex Only) on page 35 for more information on mapping these values. 52

59 Purge Approval Process (Complex License Only) Approval Lists Approval Lists enable people or groups to perform approvals for documents or document actions, either for Purge Approvals in the Retention feature or in Document Manager Workflow procedures. An approval process can be performed sequentially or in parallel. Sequential approvals must take place in a given sequence while parallel approvals mean that a specified number of approvers must approve the action, however this can occur in any sequence. For more on using Approval Lists in Document Manager Workflow, refer to the Workflow and Approvals Guide. To enable users or groups to be included in an Approval List for Retention, they must be added to the Retention Approval group. Click Groups on the Administer tab to view the Groups dialog box and modify the Retention Approval group to add or remove the group members. To view Approval Lists: Click the Approval Lists button on the Administer tab in the Administration Module. The Approval Lists dialog box displays: In this dialog box, you can view, add, modify or delete Approval Lists. 53

60 Purge Approval Process (Complex License Only) To create or edit an Approval List: 1. Click the Approval Lists button on the Administer tab in the Administration Module. 2. In the Approval Lists dialog box, click Add to create a new list or select an existing list and click Modify to make changes to the list. The Approval List dialog box displays: 3. Once you have made your changes, click OK to save and exit. Table 14 describes the settings in the Approval List dialog box : Item Name Description Description Enter a meaningful name for the Approval List that is easily recognisable. Enter a description for the Approval List. Select the type of approval for the list from the drop-down list: Type Sequential: Select to specify that the approval process must be performed in the sequence defined in Users/Groups in the list. The first approver is at the top of the list and the last approver is at the bottom. Parallel: Select to specify that the approval process can be performed in any order. Enter the number of approvals required in Num Required. Num Required This setting is only applicable to a Parallel approval type. Enter the number of approvals needed before overall approval is granted. 54

61 Purge Approval Process (Complex License Only) Item Description This list contains the users and groups that comprise the Approval List. For a Sequential approval type, the first approver is at the top of the list and the last approver is at the bottom. A number next to the name indicates the order of approval: Users/Groups in the list To add a user or group, select it in the Select User/Group to Add drop-down list and click the plus button ( ). If you want to remove a user or group from the list, select the name in the list and click the minus button ( ). To move a user or group to a new position in the list, select the user/group and click the up ( ) or down ( ) arrows. Displays the users and groups that are available to perform the approval. An address must have been specified for a user on the General tab in the Add/Modify User Account dialog box in order to receive approval notifications. Select a user or group from the drop-down list and click the plus button ( ) to add the user/group to the list of approvers, displayed under Users/Groups in the list. Select User/Group to Add Users must be a member of the Retention Approval group to be available for Approval Lists to be used with the Retention feature. NOTE: If the Workflow feature has been enabled, a user can be a member of the Workflow group to be available for Approval Lists with Workflow. Groups can be selected to be part of an Approval List; however, group members must also be part of the Retention Approval group to be eligible for Approvals. If you select groups to be on the Approval List, only one member from each group is required to perform the approval. Table 14: Create/Modify Approval List Settings 5.2 Retention Approval Group If the Retention feature is enabled, a system group is created to allow users to perform actions for the Purge Approval Process. NOTE: Users must be a member of the Retention Approval group in order to perform actions in the Purge Approval Workflow process. To add users to the Retention Approval group: 1. Log in to the Administration Module. 2. Click the Groups button on the Administer tab. 55

62 Purge Approval Process (Complex License Only) 3. In the Groups dialog box, select the Retention Approval group and click Modify. The Group Properties dialog box displays: 4. The users available for the group are displayed under Group Members. Select the checkbox next to a user s name to add them to the group. The checkbox is ticked to indicate they are a group member: 5. Click OK to save your changes and exit the Group Properties dialog box. 56

63 The Retention Feature in Document Manager 6 The Retention Feature in Document Manager Once a Retention Policy has been set up in the Administration Module and applied to documents, several new options are available in Document Manager. This section describes the Retention rules in Document Manager, and the Retention Features in the user interface. In order for the Retention settings in a policy to be implemented on documents, the Retention Service must be running. 6.1 Retention Rules for New Documents When a new document is created in or imported into Document Manager, the following Retention rules apply: The Retention Start Date is always set to the document creation date, unless the policy has a start condition or conditions set (if a condition is met at the time of document creation, the Start Date is set to the creation date), or the date is set by a Workflow Step. The Archive Date is always set using the associated policy s default archive period if the Start Date is set for a document. The Purge Date is always set using the associated policy s default purge period if the Start Date is set for a document. The Purge Status for documents with an associated policy that has Purge Approval set is always initially set to the Candidate value. If the policy has a condition associated with it to change to a new policy when the condition is met, the Start Date is determined by the new Policy if that condition is met. If the condition is not met, the Policy is not changed and the original Policy s Start Date applies. 6.2 Priority for Applying Retention Policies The priority given to Retention Policies when applying a Policy to a document that matches one or more Policies is different depending on whether you have a Basic, Moderate or Complex license. For a Basic license, the priority is as follows: If a system policy is defined, that policy is applied. If a policy is defined at drawer level, that policy is applied in preference to the system policy. If a policy is applied to a folder, that policy overrides any drawer-level policy or system policy. 57

64 The Retention Feature in Document Manager If a policy is defined at the Document Type level, that policy is applied in preference to any drawer-level, folder-level or system policy. If a policy is manually applied to a document, any other policy is overridden. For Moderate and Complex licenses, the priority is as follows: 1. Policies are ordered by priority, as set on the Details tab in the New Policy or Policy Details dialog box (see Details Tab on page 27). 2. Each policy is checked in priority order by the Retention Service and: a. If the policy has conditions set (on the Start Conditions tab), the policy is applied to matching documents. b. If a policy has no conditions, then: i. If the policy is defined at the Document Type level, it is applied to applicable documents. ii. If the policy is defined at the Folder level, it is applied to applicable documents. iii. If the policy is defined at the Drawer level, it is applied to applicable documents. A document can be excluded from the drawer policy if it is one of the document types selected in Document Types to exclude on the Retention tab in the Modify Drawer dialog box. 3. If no policy has been applied to a document, the global system policy is applied, if it has been specified (using the Make this policy the system global default setting on the Details tab for a policy). If the global policy has conditions defined, it will only be applied to documents that match those conditions. If the policy has no conditions defined, it will be applied to all documents with no policy already applied. If a policy is applied to a document manually using its index fields or via a Workflow Step, any other policy is overridden. 6.3 Retention Fields in Document Manager Index fields that relate to the Retention feature are shown in the list views and folder and document properties in Document Manager. Which fields are displayed depend on the type of Retention license you have. Figure 2 shows some of the Retention fields displayed in the list view: Figure 2: Retention Fields in Document List View in Document Manager 58

65 The Retention Feature in Document Manager Table 15 describes the available Retention fields displayed in Document Manager: Index Field License Type Description Retention Policy All Shows the Retention Policy applied to a document. Purge Date All Displays the date the document is due to be deleted, as set by the purge period defined in the associated Retention Policy. Start Date Archive Date Moderate and Complex Only Moderate and Complex Only The Start Date is the date from which auto-move, archive and purge times are calculated. The Start Date is set by one of the following: The time a document is created. When a condition set on the Start Conditions tab is met (Moderate and Complex licenses only) A user-defined field, selected on the Start Conditions tab (Moderate and Complex licenses only). Displays the date the document is due to be archived, as set by the archive period defined in the associated Retention Policy. Purge Status Complex Only If a Purge Approval Workflow Process has been defined for the Retention Policy applied to the document, this index field shows the status of the document in the Purge Approval Process. If you have defined your own domain field for use with the Purge Approval Process, the values for that domain will be displayed in this column. Approval List Complex Only Shows the Approval List selected for the Retention Policy applied to the document. Auto Move Date Complex Only If you have configured the Auto Move Period for the policy attached to a document, this shows the date that a document will be automatically moved to a new drawer. The Auto Move Period is set on the Details tab for a policy. See Details Tab on page 27 for more information. Table 15: Retention Index Fields in Document Manager The Retention Policy, Purge Date and Archive Date fields can be edited in the Modify Document Properties dialog box for a document, providing the user has the required permissions. See Table 13 in 4.11 Retention User Permissions on page 48 for more on the permissions. 6.4 Applying Policies to Documents A Retention Policy can be applied to documents when they are created or imported depending on their document type or the drawer in which they are created or imported. A policy can also be applied to individual folders or documents, if the user has the correct permission. In addition, document or folder index fields can be edited so that they meet conditions specified in a policy and, as a result, then have that policy applied to them. Once a Retention Policy has been applied to a document, the document cannot be moved to a new location in Document Manager, unless the Policy has an auto-move set up (see Details Tab on 59

66 The Retention Feature in Document Manager page 27 for how to define an Auto Move Period for a policy). When a Policy is applied to a document, the Cut, Copy and Paste options are not available. If a document that has a Retention Policy needs to be moved (for example, if the Policy was applied in error), the Policy must first be manually removed from the Retention Policy index field by a user with the correct permission. Once a policy has been applied to a document, you cannot delete it manually. The document must be deleted by a Purge. A document can be deleted if the policy is removed Applying a Policy by Document Type When importing or creating a document, you can apply a policy to it by selecting a document type with an associated policy. See 4.8 Selecting a Retention Policy for a Document Type on page 40 for how to link a policy to a document type. To see how Policies are prioritised when more than one can be applied to a document, refer to 6.2 Priority for Applying Retention Policies on page 57. If a document has been applied a Policy through its document type and the document type is then changed for that document, the Policy will be removed and the Retention Policy index field cleared. In order to apply a new Policy to the document, a user needs to modify the document indexes so that a new Policy is manually applied or the indexes now meet the conditions in an applicable Policy. The document could also be moved into a new drawer that has a Policy applied. To apply a policy using the document type: 1. Log in to Document Manager and navigate to the required location. 2. Either click Import on the Folder tab or select New > Document on the Document tab. If you selected Import, select the required document and click OK. 3. In the Import Document or Create New Document dialog box, complete the required index fields and in the DocType drop-down list, select a document type that has an associated policy: 4. Click OK to import or create your document. 60

67 The Retention Feature in Document Manager Once the document is added to Document Manager, the associated policy is applied and the Retention fields update according to the policy settings Applying a Policy to Documents by Drawer You can apply a Retention Policy to documents by importing or creating them in a drawer that has an associated policy. Refer to 4.9 Selecting a Retention Policy for a Drawer on page 42 for how to link a policy to a drawer. To apply a policy to a document using a drawer: 1. In Document Manager, navigate to a drawer that has an associated Retention Policy. 2. Select a folder, then either click Import on the Folder tab or select New > Document on the Document tab. If you selected Import, select the required document and click OK. 3. In the Import Document or Create New Document dialog box, select a document type in the DocType drop-down list and complete the required index fields. 4. Click OK to import or create your document. Once the document is added to Document Manager, the associated policy is applied. 5. Select the document and click the View Index button on the Document tab. The Document Properties dialog box displays and shows the Retention fields updated with the policy settings: 61

68 The Retention Feature in Document Manager Applying a Policy to a Folder If you have a number of documents in a folder that need to have a Retention Policy applied to them, you can apply the policy to the folder. New documents added to the folder will also have the policy applied. Folder policies can only be applied to top-level folders; any sub-folders will use their parent folder s policy. To see how Policies are prioritised when more than one can be applied to a document, refer to 6.2 Priority for Applying Retention Policies on page 57. To apply a Retention Policy to a folder: 1. In Document Manager, navigate to and select the required folder. 2. Click Edit Index on the Folder tab. The Modify Folder Properties dialog box displays: 3. Select the required policy from the Retention Policy drop-down list: To ensure the selected policy is applied to existing documents in the folder, select the Apply chosen policy to all documents in this folder checkbox: 4. Click OK to save your changes and apply the selected policy to the folder. The Modify Folder Properties dialog box closes. 62

69 The Retention Feature in Document Manager You can also select a policy when creating a new folder, which will apply to all new documents in the folder Applying a Policy to a Document You can apply a policy to an existing document by editing the document properties, if you have the required permission. If you select a policy for a document in a folder or drawer with a policy already applied, the document policy takes priority. A document policy will also override a policy set at the system level or by document type. To see how Policies are prioritised when more than one can be applied to a document, refer to 6.2 Priority for Applying Retention Policies on page 57. To apply a policy to an existing document: 1. Navigate to and select the required document in Document Manager. 2. Click the Edit Index button on the Document tab. The Modify Document Properties dialog box displays: 3. Select the required policy from the Retention Policy drop-down list: 4. Click OK to save and set the policy for the document. The Modify Document Properties dialog closes and the document Retention fields update with the policy settings. When a Retention Policy is selected for a document, it overrides all associated policies at the system, drawer, document type and folder levels. 63

70 The Retention Feature in Document Manager Applying a Policy through Conditions The System Administrator can configure a Retention Policy so that it is applied to a document when a value entered in an index field for the document meets conditions that are specified in the Policy. The condition can also be defined for a folder index field so that the Policy is applied to the documents it contains. See Start Conditions Tab (Moderate and Complex Only) on page 32 for how to define conditions for a Policy. As an example, a document index field called Invoice Status could be created for a drawer. The field could be a domain field so that a drop-down list is presented to users when completing the index field with the options Invoice Received, Awaiting Payment, Paid and Verified. The administrator could then create a Retention Policy that purges invoice documents that have their Invoice Status field set to Verified, a specified time after the field is completed. In the example below, a Policy called Invoice Purge 7 Years after Payment is created with this condition. Example Procedure for Matching a Document Index to Policy Conditions This example shows how a user could ensure a document meets the conditions specified in the Invoice Purge 7 Years after Payment Policy: 1. When a user wants to specify that the invoice has been paid and verifies that it has been checked, the user simply navigates to the invoice document, selects it and then clicks Edit Index on the Document tab. 2. In the Modify Document Properties dialog box displayed, the user clicks in the Value column for the Invoice Status field and selects Verified : 64

71 The Retention Feature in Document Manager The selected value is displayed in the Invoice Status field: 3. The user clicks OK to save the change. The invoice document now meets the conditions specified in the relevant policy. When the Retention Service next updates the database, the policy is applied to the document and the Retention Dates are calculated. See Table 5 on page 23 in 4.2 Accessing Database Retention Settings for how to configure the Retention Service updates. The updates to the Retention Settings for the document are shown in the document list columns and also in the Modify Document Properties dialog box: In the image above, the Retention Policy Invoice Purge 7 Years after Payment has been applied to the document and the Start Date and Purge Date have been set. 65

72 The Retention Feature in Document Manager 6.5 Viewing Retention Information for a Drawer If you want to view the Retention Information for a drawer, you can do so in the drawer properties. You can do this to quickly check if a drawer has a Retention Policy applied to it. To view the Retention Information for a drawer: 1. Either select the required drawer and click the Properties button on the Drawer tab, or right-click on the drawer and select Properties: 2. In the View Drawer dialog box, select the Retention tab: 66

73 The Retention Feature in Document Manager Table 16 details the information displayed on the Retention tab: Item Policy Name Policy Description Default Default Archive Days Default Purge Days Max Archive Days Max Purge Days Min Archive Days Min Purge Days Purge Media Description Displays the policy name, as entered on the Details tab in the New Policy/Policy Details dialog box. See Details Tab on page 27 for more information on the Details tab. Displays the policy description, as entered on the Details tab. Indicates whether the policy is the default system policy, set on the Details tab. Shows the number of days from the Policy Start Date before an archive will be performed on applicable documents in the drawer. Displays the number of days before a purge will be performed on applicable documents in the drawer. Shows the maximum number of days from the Start Date by which an archive can be extended for applicable documents in the drawer by a user with the Extend archive dates permission. Displays the maximum number of days from the Start Date that a user with the Extend purge date permission can perform a purge on applicable documents in the drawer. Shows the minimum number of days from the Start Date before the archive can be performed by a user with the Shorten archive dates permission. Displays the minimum number of or from the Start Date before a purge can be performed by a user with the Shorten purge date permission. Shows the folder, share or media to which copies of applicable documents will be saved following a purge. Table 16: Information Displayed on the Retention Tab in Drawer Properties 67

74 The Retention Feature in Document Manager 6.6 Retention Options for Documents If the selected document has a Retention Policy assigned to it, the Document tab on the Document Manager ribbon displays some additional options: The availability of these options depends on users having the correct permissions and also on the current state of a document in the Retention process. The options are also displayed on the right-click menu for a document with a Retention Policy applied. NOTE: If a document has a Retention Policy, the Delete option is not available for that document. You cannot delete a document with a policy set and must wait until a purge is performed. Table 17 describes the options in the Retention group on the Document tab: Option View Policy Details Archive Now Purge Now Purge Approval Move From Archive Description Select this option to view the details of the policy assigned to the selected document. The Policy Details dialog box displays. Users cannot change policy settings in this dialog box. This option is only available if users have the Archive immediately permission, if you possess a Complex license and if the Archive Date has not passed. Select to archive the document immediately using the settings specified by the assigned policy. Click Yes to confirm you want to archive. This option is only available if users have the Purge immediately permission, if the Complex license is enabled and if the Purge Date has not passed. Select to purge the document immediately using the settings specified by the assigned policy. If a Purge Approval Process is linked to the policy, the process is initiated when this button is clicked. This option is only available if the Purge Date for the document has passed, the policy applied has a Purge Approval Process set and the first stage of the Approval process has been initiated. Select to approve or reject the purge on an applicable document, or view the Approval List details. This option is only available if the document has been archived (the Purge Status is set to Archived ). Select this option to move the selected document from the Archive Storage Location set for the applied policy back to the document s previous storage location. This will reset the retention dates for the document based on the assigned policy. Table 17: Retention Options in Document Manager 68

75 The Retention Feature in Document Manager 6.7 Searching for Documents Using Retention Fields Users can search for documents by the values in their Retention index fields. To search for a document using Retention data: 1. In Document Manager, click Search Documents on the Main tab. The Search for Document dialog box displays. 2. Select a drawer containing documents with Retention Policies assigned to them from the Drawer drop-down list. The Retention fields are displayed in orange: If you choose to search Any Drawer, any defined common fields are displayed as well as the system fields. The Retention fields are shown in white when searching Any drawer. 3. Select a Filter for the Retention index field on which you want to search. 4. Click in the Value column for the index field and enter the value you want to search for. For example, you could search for documents using the Approval List field to return documents that you are involved in approving (by selecting Involves Me from the drop-down in the Filter column for the Approval List field), or you could search for documents by the policy that is assigned to them. Users can search on a combination of multiple fields to narrow down the matching results. 5. Click OK to search for documents that match your selected criteria. The matching results will be then displayed. 69

76 The Retention Feature in Document Manager 6.8 Retention Index Fields in Document Properties Retention index fields are orange when creating, editing or viewing document index fields: The available fields are dependent on the Retention license type. See Table 15 on page 59 for the list of fields applicable for each license type. The Retention Policy, Purge Date and Archive Date fields can be edited providing the correct license is enabled and the user has the required permissions. See Table 13 in 4.11 Retention User Permissions on page 48 for more on permissions. If the applied policy has a Purge Approval Process configured and the Approval Process has started, the Retention Approval button is available (see 6.11 Viewing a Document s Purge Approval List (Complex Only) on page 75). If a user has the correct permissions and the document is within the correct dates, the Archive Now and Purge Now checkboxes are shown. Refer to 6.10 Archiving/Purging a Document Immediately (Complex License Only) below for more information. If you have defined a custom Purge Status domain and selected it for the attached policy, the domain values will be displayed for the document in the Purge Status field in this dialog box. See Purge Status Domain Index Field on page 51 for more on creating a custom domain and refer to Advanced Tab (Complex Only) on page 35 for how to select the domain for a policy. 70

77 The Retention Feature in Document Manager 6.9 Hiding Retention Fields in Document Manager If a user does not want to display the Retention fields in Document Manager, they can be hidden by selecting a user setting. When this setting is selected, the Retention fields in dialog boxes and the Retention column headings in list views are not displayed. Retention Policies that have already been activated or that are activated by other users will still operate if the Retention fields are hidden. If the Retention fields are hidden by a user, the buttons in the Retention group on the Document tab (such as Purge Now) are not available to the user, even if the user has the correct permissions. To hide the Retention Fields: 1. In Document Manager, click File and select User Settings: The User Settings dialog box displays. 71

78 The Retention Feature in Document Manager 2. Select the Hide Retention fields in lists and dialogs checkbox: 3. Click OK to save your selection. The Retention fields in dialog boxes and in document list views will be hidden Archiving/Purging a Document Immediately (Complex License Only) If a user has the relevant permissions and the Start Date for a document has passed, the user has the options to archive and purge the document immediately, ahead of the Archive Date or Purge Date. If the Archive Date or Purge Date for a document has passed, these options are not available because the document will have been archived or marked for deletion. 72

79 The Retention Feature in Document Manager If the above conditions are met, the Archive Now and Purge Now options are available in the Retention group on the Document tab and when modifying the document s index fields in the Modify Document Properties dialog box. The permissions Archive immediately and Purge immediately enable users to select these options. See 4.11 Retention User Permissions on page 48 for how to select these permissions for a user. To archive a document immediately: There are two ways that you can archive a document immediately: 1. Using the Retention group buttons on the Document tab: a. Navigate to the required document, and then click the Archive Now button on the Document tab: b. Click Yes when prompted to confirm you want to archive the document. The document will be archived according to the settings in the attached policy. 2. From the document properties: a. Select the document and click Edit Index on the Document tab. The Modify Document Properties dialog box displays: b. Select the Archive Now checkbox and click OK. 73

80 The Retention Feature in Document Manager When Archive Now is selected, the associated policy is checked to see if the Minimum and Maximum Archive Period settings are defined. If these settings are defined, the current date needs to be valid according to the values set to perform the Archive action. The Archive Date will then be set to the current date and time and an audit record created for the action. If the Archive Now checkbox is then cleared, the previous Archive Date is restored. See Advanced Tab (Complex Only) on page 35 for more on the Minimum and Maximum Archive Period settings. When the Archive Date is set to the current date and time, the document file will be moved to the Archive Storage Location selected for the associated policy when the Retention Service next polls the Document Manager database. To purge a document immediately: There are two methods that you can use to purge a document immediately: 1. Using the Retention group buttons on the Document tab: a. Navigate to the required document, and then click the Purge Now button on the Document tab: b. Click Yes when prompted to confirm you want to purge the document. The document will be purged according to the settings in the attached policy. 2. From the document properties: a. Navigate to the required document location, select the document and click Edit Index on the Document tab. The Modify Document Properties dialog box displays. b. Select the Purge Now checkbox and click OK: If Purge Now is selected, the Minimum and Maximum Purge Period settings in the associated policy are checked for validity. If these settings are defined, the current date needs to be valid according to the values set to perform the Purge action. The Purge Date will then be set to the current date and time and an audit record created for the action. If 74

81 The Retention Feature in Document Manager the Purge Now checkbox is then cleared, the previous Purge Date is restored. See Advanced Tab (Complex Only) on page 35 for more on the Minimum and Maximum Purge Period settings. When the Purge Date is set to the current date and time, the document file will be deleted when the Retention Service next polls the Document Manager database Viewing a Document s Purge Approval List (Complex Only) If the policy assigned to a document has a Purge Approval Process configured (Complex licenses only) and the Approval Process has started, the Retention Approval button is available in the Modify Document Properties dialog box: Click this button to view the details of the associated Approval List in the Approval dialog box and, if you are an authorised approver, to approve or reject the document purge: 75

82 The Retention Feature in Document Manager If you are not part of the associated Approval List or it is not your turn to approve a document, the dialog box is read only and solely for information purposes; the Reject and Approve buttons will not be available. Table 18 describes the Approval dialog box: Item Description Displays the name of the Approval List. Name Description Approval Type Approval List names are defined in the Approval List dialog box, accessed from the Approval Lists button in the Administration Module (see Approval Lists on page 53). Displays the description of the Approval List. Indicates whether the approval is a Parallel or Sequential approval. See Table 14 in Approval Lists on page 55 for more on approval types. If Sequential is selected, all the approvers must approve the purge for it to be performed. Approvals Required Indicates the number of approvals the purge requires before it is classed as approved. Approvals Gained Approvers Indicates the number of approvals that have been granted for this Approval Process. Displays the list of users and groups that make up the Approval List. Approvers in green have accepted approval of the document purge. Approvers in red have rejected the approval. A tick next to the approver s name indicates that they have acted on the document, either to accept or reject. This button enables you to reject the document purge. It is only available if you are on the Approval List and have not previously rejected or approved the purge. Reject Click to reject the document purge and enter a reason for rejection. This action is saved to the audit record for the document. Your name is then changed to red in the Approvers list and the checkbox next to your name is ticked. If any one person rejects the approval, the purge status of the document is set to Rejected. This enables you to approve the document purge. It is only available if you are on the Approval List, have not previously rejected or approved the purge, and the Purge Date has been reached. Click to approve the document purge. This action is saved to the audit record for the document. The checkbox next to your name in the Approvers list is then ticked. Approve If the approval is a Parallel approval type and the number of approvals meets the required number set in the Approval List dialog box, the purge status of the document is set to Approved. If the approval is a Sequential approval type and ALL approvers have approved the purge, the purge status of the document is set to Approved. Once the purge status of the document is set to Approved, it will be purged (according to the attached policy s settings) when the Retention Service next polls the Document Manager database (see 4.2 Accessing Database Retention Settings on page 20 to locate the Polling Interval setting). Table 18: Approval Dialog Box 76

83 The Retention Feature in Document Manager 6.12 Approving/Rejecting a Purge (Complex License Only) If a Purge Approval Process has been configured for a Retention Policy that has been applied to documents, there are additional Retention options available to members of an Approval List to approve or reject the purging of a document. A Complex Retention license is required to configure a Purge Approval Process. See Approval Lists on page 53 for how to create an approval list and Advanced Tab (Complex Only) on page 35 for how to select an approval list for a Retention Policy. Once the Purge Date for a document is reached, the Approval Process will commence and the document will only be deleted once full approval has been given by the authorised users on the Approval List. An approver can set up and use a saved search to find the documents that they need to authorise Receiving Notification that Approval is Required When a Purge Date for a document is reached, a notification is automatically sent to the first approver in the Approval List when the Retention Service polls the Document Manager database. The notification is an sent to the address set for the Document Manager user in the Add/Modify User Account dialog box in the Administration Module. The settings for notifications are defined on the Retention tab in the Database Connection dialog box. See Table 5 on page 23 in 4.2 Accessing Database Retention Settings for more information. The notification received should look similar to the following for a Microsoft Outlook client: Once a notification has been received, you can search for the document requiring approval. 77

84 The Retention Feature in Document Manager Searching for Retention Documents Requiring Your Approval After you have been notified that a document requires your approval, you can navigate directly to the document, if its location is known, or you can run a search for it. To search for a document that requires your approval for a purge: 1. Log in to Document Manager. 2. Click the Search Documents button on the Main tab. The Search for Document dialog box displays. When searching across any drawer, this dialog box only shows any defined common index fields (in blue) and the system fields (white): 3. Scroll down to the Approver List field and select the Filter Involves Me. The Value field automatically updates to display your user name. 4. Click OK to run the search. The Search Results display: You can then select the required document from the search results and grant or reject approval. 78

85 The Retention Feature in Document Manager Approving Documents Awaiting a Purge If you are part of an approval list for a Purge Approval Process, there are two methods you can use to grant approval: Using the Purge Approval button in the Retention group on the Document tab. Using the Retention Approval button in the Modify Document Properties dialog box. To approve a Document Purge: 1. Navigate to and select the required document, or run a search for it (see Searching for Retention Documents Requiring Your Approval on page 78 above). 2. Do one of the following: Click the Purge Approval button on the Document tab (or right-click on the document and select Purge Approval from the menu displayed): Click the Edit Index button on the Document tab and in the Modify Document Properties dialog box, click the Retention Approval button: 79

86 The Retention Feature in Document Manager The Approval dialog box displays: Refer to Table 18 on page 76 above for a description of the options in the Approval dialog box. 3. You can then make your decision regarding purge approval for this document: Click Approve to approve the purge for the document. Once approval is given, the Approvals Gained field updates to reflect the number of approvals granted and the dialog box becomes read-only for the current approver. When the required number of approvers has granted approval, the document is marked as Approved and will be purged according to the settings in the applied policy when the Retention Service next polls the Document Manager database. Click Reject to reject the purge. You then need to enter a reason for rejection in the Reject Reason dialog box, which must be at least 15 characters long. Click OK to save the reason and click OK again to confirm the document has been rejected. When an Approval Process is rejected, an is sent to all approvers on the Approval List and the name of the user who rejected approval is shown in red in the Approval dialog box. See Resubmitting a Rejected Document below for the options after rejection. 4. Click OK to close the Approval dialog box. 80

87 The Retention Feature in Document Manager Resubmitting a Rejected Document When a document purge has been rejected, if the document is to be purged again according to its original settings, the Approval Process will need to be restarted for the document. The user who rejected the purge process can initiate the process again, once they have finished with the document and provided they have the correct user permissions. To initiate a Purge Approval Process again for a document: 1. Navigate to and select the document in Document Manager. 2. Click the Purge Now button on the Document tab: NOTE: You must have the required Purge immediately permission to be able to use the Purge Now options for a document. 3. Click Yes to confirm you want to purge now and click OK to close the Document marked for purge message. The Purge Status for the document updates to become Candidate again and the first approver is notified. If the document needs to be retained for a further period following rejection, apply a new policy. To apply a new policy to a document: Select the document, click Edit Index on the Document tab and select a new Retention Policy from the drop-down list. Users need the correct permission to change policy. Once the new policy is selected, the purge date will be recalculated. 81

88 Policy Examples 7 Policy Examples This section gives examples on how to set up and apply Retention Policies for each license level. NOTE: Before configuring and applying Retention Policies, ensure the Retention feature is enabled for your current database. See Enabling the Retention Feature on page 23 for how to do this. You must also have the user permissions Administer retention in admin and Define policies in admin. 7.1 Basic License Example Policy This section details how to create and then implement an example Retention Policy for a Basic license. The policy will be applied to the Accounts Payable drawer and it will archive documents in this drawer after one year, and then purge the documents after three years Prerequisites This example requires that the following items are set up before creating the Retention Policy: A Storage Location for archived documents needs to be set up in the Administration Module. See the Document Manager Administration Guide for more information on storage locations. Ensure the Accounts Payable drawer is created and contains at least one folder. Ensure you have an example document to import. NOTE: A Basic Retention license only allows for three policies. If you want to create your own policy, you may need to delete one of the three built-in policies first Creating an Example Policy for a Basic License To create an example Basic policy: 1. Click the Document Retention button on the Administer tab. The Retention dialog box displays. 2. Click Add. The New Policy dialog box displays. 3. Enter a Policy Name, for example, Accounts Payable: 1 year archive, 3 year purge. 4. Enter a suitable Policy Description. 5. Select the Archive Storage Location from the drop-down list. This storage location must have already been set up in the Administration Module. 6. In Default Archive Period, click the arrows to select 1 year. 82

89 Policy Examples 7. Use the arrows to set the Default Purge Period as 3 years. The Details tab in the New Policy dialog box should look similar to the following: 8. Click OK to save your settings and create the policy. The policy will be listed in the Retention dialog box. When the Retention Policy has been created, you need to apply it to the required drawer. 83

90 Policy Examples Applying the Example Policy to the Drawer To apply the policy to a drawer: 1. Click Drawers on the Administer tab. 2. In the Drawers dialog box, select the Accounts Payable drawer and click Modify. 3. In the Modify Drawer dialog box, click the Retention tab and from the Retention policy to apply drop-down list, select the policy you created earlier: This associates the Retention Policy with the drawer and means it will be applied to all new documents added to or created in that drawer. The Start Date for a document will be set to its creation date and the archive and purge dates calculated from that date. The document files will be moved to the selected archive location after one year and then deleted from the system three years after the Start Date. 4. Click OK to save your changes and close the Modify Drawer dialog box. 84

91 Policy Examples Importing a Document into Accounts Payable to Set the Retention Policy Once your Retention Policy is associated with a drawer, you can import documents into the drawer to automatically apply the policy. To import a document into a Drawer and set the Retention Policy: 1. Log in to Document Manager. 2. Navigate to the Accounts Payable drawer, which has the example policy above associated with it. 3. Select a suitable folder for the imported document and click Import on the Folder tab. 4. In the Import Documents dialog box, navigate to and select the required document. 5. Click Open and then click Yes or No when prompted to delete the document after import. 6. The Document Manager Import Document dialog box displays: 7. Select a document type from the DocType drop-down list, then complete any mandatory index fields and click OK. The document is imported and the Retention Policy associated with the drawer is applied. 85

92 Policy Examples 8. Select the document and click View Index on the Document tab. The Document Properties dialog box displays and shows the updated Retention fields: 9. In the example above, the following Retention fields have been populated according to the applied policy: Retention Policy: The policy associated with the drawer. Archive Date: Calculated from the Start Date according to the policy settings. Purge Date: Calculated from the Start Date according to the policy settings. Purge Status: Set as the default status, which is a candidate to be purged. Start Date: Set as the date and time when the document was imported. 10. Click Cancel to close the Document Properties dialog box. When the Retention Policy has been applied and the Start Date set, the document will be archived one year after the Start Date and purged three years after, according to the example policy s settings. 86

93 Policy Examples 7.2 Moderate License Example Policy This section describes how to create and implement an example Retention Policy that requires a Moderate license. The example uses a Workflow Step in an Invoice Approval Process to set the Retention Policy and Start Date for documents. Documents will be purged seven years after the Workflow Step is performed on them and a copy of each document will be exported when purged Prerequisites The following need to be set up before creating the example Retention Policy: This example requires that you create a simple Invoice Approval Workflow Process. A drawer, at least one user and a document type are required for the Workflow Process. For more information on setting up a Workflow Process, refer to the Workflow and Approvals Guide. Ensure you have an example document to import on which you can perform the Workflow Step Creating an Example Policy for a Moderate License To create an example Moderate policy: 1. Click Document Retention on the Administer tab. The Retention dialog box displays. 2. Click Add. The New Policy dialog box displays. 3. Enter a Policy Name, for example, Purchase Invoice: 7 year purge after Approval. 4. Enter a Policy Description. 5. Enter or click the browse button (...) to select a Purge Media Path to which the documents and their index data will be exported after the purge. This location must already exist. 87

94 Policy Examples 6. Click on the arrows to select 7 years as the Default Purge Period. The Details tab should look similar to the following: 7. Click OK to save the policy and close the New Policy dialog box Linking the Example Policy to a Workflow Step You now need to configure your Invoice Approval Workflow Process so that the Updates tab in the Workflow Step Details dialog box sets the Retention Policy and Start Date for the step that approves a document. To set the Retention Policy and Start Date for a Workflow Step: 1. Click Workflows on the Administer tab and in the Workflow Steps dialog box, expand the drawer for which the Invoice Approval Workflow Process has been set up. 88

95 Policy Examples 2. Expand the Invoice Approval Workflow Process and select the Workflow Step that changes a document s status to Approved : 3. Click Modify. 4. In the Workflow Step Details dialog box, select the Updates tab. 5. Select the Policy created in the procedure above from the drop-down list in the Value column for the Retention Policy field. 6. In the Value field for the Retention Start Date, enter the text %NOW. This will set the date and time to that when a document is updated by this Workflow Step. The Updates tab should look similar to the following: 7. Click OK to save your changes and close the Workflow Step Details dialog box. Once you have associated the Retention Policy with the Workflow Step, an applicable document will have the policy applied and the Start Date set when the Workflow Step is run on that document (i.e. it is approved for payment/purging). The Purge Date will be set to seven years after the Start Date and, when they are purged, documents will also be exported with their index information held in XML files. 89

96 Policy Examples Performing the Workflow Step to set the Policy and Start Date In order to apply a Retention Policy to a document and set a Start Date, you need to perform the Workflow Step configured above on the document. To perform the Workflow Step and apply the Retention Policy to a document: 1. In Document Manager, navigate to a suitable folder in the drawer that has the associated Invoice Approval Workflow Process. 2. Locate your example document in Windows Explorer and ensure you can view both the document in Explorer and the Document Manager folder. 3. Drag-and-drop the example document into the Document Manager folder. 4. Click Yes to confirm you want to import the document. The Import Document dialog box displays. 5. Select the document type associated with the approve Workflow Step from the DocType drop-down list, for example, Purchase Invoice. 6. Ensure the Doc Description and Access From fields are completed. 7. Click OK to import the document. 8. Select the document, then click Workflow on the Document tab and select the Workflow Step, for example, Approve : 90

97 Policy Examples 9. The index field that shows the status of the document in the Workflow Process will update (coloured red in Document Properties) and the Retention fields will be populated (shown in orange). Select the document and click View Index on the Document tab: 10. The Document Properties dialog box shows that the Retention Policy has been applied and the Start Date set. The Purge Date has also been calculated using the policy s settings. Click Cancel to close the dialog box. Once the Start Date has been set for the document, it will be purged seven years after the Start Date (as set by the example policy), and it will also be exported with its index information to the location specified in Purge Media Path. 91

98 Policy Examples 7.3 Complex License Example Policy This example shows how to create and implement a Retention Policy for a Complex license that utilises an Approval List to approve document purges. This scenario sets the Retention Start Date for a Human Resources document when a leaving date specified for the relevant employee passes. Applicable documents will be purged seven years after the Start Date when approval has been given by the HR Supervisor and HR Manager. The policy is set up so that the Purge Date can be brought forward or extended, if needed, by users with the required permissions Prerequisites This example requires that the following is set up before creating the Retention Policy: These users for the Purge Approval List: HR Supervisor HR Manager The above users must be added to the Retention Approval group An Approval List containing the HR Supervisor and HR Manager users must be created Ensure a date field is created for the Human Resources drawer called Leaving Date. It is also required that a document type called Performance Review is created, but this can be done either before or after the Retention Policy is defined Creating an Example Policy for a Complex License To create the Complex example policy: 1. Click Document Retention on the Administer tab. The Retention dialog box displays. 2. Click Add. The New Policy dialog box displays. 3. Enter a Policy Name, for example, Performance Reviews: 7 year retention after leaving date. 4. Enter a Policy Description. 5. In Default Purge Period, click on the arrows to select 7 years. 6. Use the arrows to set the Minimum Purge Period as 5 years. 92

99 Policy Examples 7. Set the Maximum Purge Period as 12 years. The Details tab in the New Policy dialog box should look similar to the following: 8. Click the Start Conditions tab. 9. In the Drawer drop-down list, select Human Resources. The folder and document index fields defined for that drawer display in the grid below the drop-down list. 93

100 Policy Examples 10. In the Use this date field drop-down list, select the Leaving Date field. This field has been defined for documents in the Human Resources drawer and selecting it here ensures that the Retention Start Date will be set for a document to the date entered in the field. The Start Conditions tab should look like the following: 11. Click Save Condition to save your changes. 12. Select the Advanced tab. On this tab, you specify that a Purge Approval Process will be used for documents that have this policy applied. You can leave the settings in Purge Status Domain and Map Domain Values as they are. 94

101 Policy Examples 13. From the Purge Approval List drop-down list, select the Approval List you have created to approve the purging of Performance Review documents. In the example below, this is HR Senior Approval Group : 14. Click OK to save the policy Performance Reviews: 7 year retention after leaving date. The policy is listed in the Retention dialog box. You now need to associate the policy with the Performance Review document type. 95

102 Policy Examples Associating the Example Policy with a Document Type To link the example Retention Policy to a document type: 1. Click Document Types on the Administer tab. 2. In the Document Types dialog box, select the Performance Review document type and click Modify. The Modify Document Type dialog box displays. 3. Select the Retention tab. 4. In the Retention policy to apply drop-down list, select Performance Reviews: 7 year retention after leaving date : 5. Click OK to save your changes and close the Modify Document Type dialog box. This ensures that when a document of the type Performance Review is added to Document Manager, the policy Performance Reviews: 7 year retention after leaving date will be applied. The Retention Start Date will be set for a document to the date entered in the Leaving Date index field. If a user enters the current date or earlier in Leaving Date, the Start Date will be set immediately as the current date. When the Purge Date passes, an Approval Process will be started involving the HR Supervisor and HR Manager. Once full approval is granted, the document will be deleted. 96

103 Policy Examples Applying the Example Policy to a Document You can apply the Performance Reviews: 7 year retention after leaving date policy to documents when they are imported into Document Manager by selecting the Performance Review document type. If you have the Set policies in client permission, you could also choose to apply the policy to an individual document by editing the document s indexes and selecting the policy from the Retention Policy drop-down list. To apply the example policy when importing a document: 1. Locate the required document in Windows Explorer. 2. In Document Manager, navigate to the location to which you want to add the document. This must be a folder in the Human Resources drawer. 3. Drag-and-drop the document into the Document Manager folder. 4. Click Yes to confirm you want to import the document. The Import Document dialog box displays. 5. Select Performance Review from the DocType drop-down list: 6. Ensure the Doc Description and Access From fields are completed. 7. Click OK to import the document. Once the document is added to Document Manager, the Retention Policy associated with the Performance Review document type is applied to the document. The index fields, displayed as columns in the list view in the Document Manager folder, update to show that the policy has been applied to the document, as shown in Figure 3 below: Figure 3: Updated Retention Fields in List View After the policy has been applied to a document, the Start Date will be set at a later time when a date is entered by a user in the Leaving Date field. 97

104 Policy Examples Setting the Start Date for a Document For this example, the document completes its lifecycle when the relevant employee leaves the organisation. In this instance, a member of staff from the Human Resources department edits the document indexes and enters a Leaving Date. When the change to the date field is saved, the Retention Start Date is set for the document, and the Archive and Purge Periods calculated. It is also possible to have a Workflow Process set up that presents a mandatory date field to be completed by a user when a Workflow Step is performed. To complete the Leaving Date and set the Retention Start Date: 1. Log in to Document Manager and navigate to the required location. 2. Select the document and click Edit Index on the Document tab. The Modify Document Properties dialog box displays: 3. Click in the Value column for the Leaving Date field and enter the required date: 98

105 Policy Examples 4. Click outside of the Leaving Date field and the Retention dates will be automatically updated: 5. Click OK to save your changes and close the Modify Document Properties dialog box Changing the Purge Date If the Purge Date needs to be changed for any reason, a user with the correct permissions can extend the date or bring the date forward, within a time period specified by the associated policy. The permissions required are Extend purge dates and Shorten purge dates. To change the Purge Date for a document: 1. Navigate to the document location in Document Manager. 2. Select the document and click Edit Index on the Document tab. The Modify Document Properties dialog box displays: 99