Saperion Records Management

What is Records Management

The Records Management option ensures that the system removes stored data after the retention period, as well as data destruction due to data protection requirements.

The secure storage of documents includes the storage on media which cannot be changed, the assurance that only authorized persons can view sensitive data, and that the system records the access to documents in logs.

The Records Management option controls which Records Management functions may be used system-wide. The available functions are transparent for the various storage systems with their various characteristics.

About Records Management

Records Management refers to the process of identifying, classifying, archiving, preserving, and destroying written information.

Records Management is a primarily organizational task for ensuring compliance with policies that describe proper methods of retaining and destroying all types of business-related information. This includes both paper-based and electronic objects.

Electronic formats include unstructured documents stored on a hard drive, emails, rows of data in a database table, and other formats. The most important property of a record is its immutability during retention and use. Policies stipulate which documents and information must be retained, how long they must be retained, or when they must be destroyed.

Examples of material that must be retained for a specific length of time are paper-based documents or emails that have business or tax relevance, including quotations, proposals, orders, contracts, invoices, or delivery certificates. Objects that must be destroyed are subject to data protection stipulations. These contain primarily personal information and include job application forms, employee reviews, or insurance documents.

The Saperion standard version offers document management functions. These functions include revision-proof filing, security features to ensure that information is displayed only to authorized persons, and secure deletion, including a recycle bin function. Modern storage systems offer these functions in different manners. Therefore, the functions of the system are performed differently, depending on the storage platform. By utilizing these functions, the system assures compliance with regulations regarding the requirements for the storage of documents depending on their classification, and for deletion in accordance with data protection laws, as for example with personnel files.

About life cycle and retention

Regarding the requirements of retention of documents, you can distinguish the following cases depending on the life cycle stage.

• No retention, draft

  The system stores internal documents in its processing phase without storage protection because they may be subject to changes or be discarded so that they need to be deletable at any time.

• Fixed retention

  The system stores documents, whose processing phase has been completed, with a fixed retention. After the retention period has expired, you can delete the documents.

• Event-based retention

  The system stores documents whose final retention period is not known yet. These documents receive the information of their retention period by a certain event. When the event is triggered, you can delete the documents.

• Disposition

  You can store finalized documents which can be deleted at any time, but must be destroyed at a specific date, with a fixed destruction date.

When a document passes into the event-based or final retention phase, the system protects it from deletion until the retention period expires.

Content undergoes many phases in its life cycle, in each of which you must treat it differently. There are tools available for the administration of the relevant content life cycle and Records Management parameters for the administrators and records managers. The system stores the rules in system tables in an audit compliant manner. The system writes changes in the rules to log tables for the purpose of audits.

What is the retention process

The following diagram illustrates the retention process.

The following steps are included in the illustration of the retention process.

1. Step 1: Has content type?

   The system checks whether a content type has already been set for a document. This involves the check whether there is a standard content type for the DDC. If this is the case (Yes), then the system sets the content type for the document.

2. Step 2: Has retention class?

   The system checks whether a retention class is linked to the selected content type. If not, the system assigns retention based on the content type, see step 1. If there is a retention class, the document proceeds to step 3.

3. Step 3: Activate retention?

   The system checks whether a retention rule is defined for the retention class. If not, then the system activates retention based on the content type in step 1. If a retention rule is defined (Yes), then the system evaluates the rule. If the result is true, the document proceeds to step 4.

4. Step 4: Event-based?

   If not, then the system activates retention based on the retention rule, see step 3.

5. Step 5: Event triggered?

   This step evaluates the event rule. If the evaluation returns true (Yes), especially when the event has taken place, the system activates retention. If the returned value is false (No), the system activates event-based retention.

When a revision is made to a document at LCMStage=0, which means that the document is a draft, the process starts at step 3. When a revision is made to a document at LCMStage=1, which means event-based, the process starts at step 5.

About retention process actions

The following actions are triggered depending on the evaluation.

• Action I: Set content type. Sets an ACL if specified and starts a workflow if defined.

• Action II: Set retention. Sets retention time, disposition time, litigation hold and LCMStage = 2.

• Action III: Set event-based. Sets retention to unlimited and sets LCMStage = 1.

What is the rules engine

When you first archive a document and for each revision of the document, a rules engine evaluates the associated Records Management guidelines based on the given content type.

The rules engine supplements any missing retention properties based on the rules and stores all together with the document. These properties are passed on to the storage system, if the system allows it. The only exception is the retention time which is only administered by the system.

For storage systems that only work with retention classes, such as IBM DR550, the system sets the corresponding class. The retention properties are set for each object of a structured document. This is true for revisions of a document that result from saving annotations or changes in index data caused by workflow actions and to all other objects of a document, such as text notes or image notes.

About setting up a Records Management scenario

About Records Management permissions

All users are able to view the Records Management regulations. The right to modify the regulations is only available for administrators and records managers.

For administration purposes, the documents are assigned new system properties for the retention rules intended for them. You can insert these properties into the definition of the archive in which the documents are stored.

To set up a Records Management scenario, you must have a Records Management license and you must have installed Saperion.

Set up a DDC

To set up a database definition (DDC), complete the following steps.

1. For use in Records Management, include the following system fields in a DDC.

   • SYSCONTENTTYPE

   • SYSLCMSTAGE

   • SYSRETENTIONTIME

   • SYSLITIGATIONHOLD

   • SYSDISPOSITIONTIME

   • SYSRETENTIONCLASS

   • SYSINDEXSTATE

2. Define at least one field to be used for the evaluation of the retention class rules, such as Status.

You find the description of the system fields in the Records Management system fields chapter.

Records Management system fields

When you create an archive definition in the DDC, inserting the system fields described below controls whether Records Management functions can be used for documents stored in this archive.

What is a content type

The system considers everything that you create or capture in the system as content. You can define content types for various applications. Using content types, you can classify documents.

For the use in Records Management, you need to assign a retention class to content types. The retention class defines when a document enters retention status and what retention periods apply.

When a document is first archived, the system evaluates the content type and supplies the rules for the retention class. The system also adds missing parameters which are stored with the document. This assures that they will not be deleted before the retention period expires and that they will not remain in the system after the retention period has been reached.

As long as the processing of the document has not been completed, it is not yet under retention rules. It has the No Retention LCM stage. The system can only give a document a retention status after it has been completed and then no longer is modified. The system assigns an LCM status of a document depending on the defined retention rules.

When a document has a retention status, it cannot be modified or deleted. When the retention period has ended and if there is no litigation hold on the document, you can delete it. After the end of the disposition period, you must delete the document.

Optionally, you can store the following information for a content type.

• Current life cycle stage, such as draft, retention event, retention

• Retention class and period for the calculation of the point in time until which the document must be retained

• Disposition period for the calculation of the point in time by which a document must be destroyed

• Litigation hold that ensures that a document may not be deleted

• Access rights to ensure that only authorized persons have access to the document

• Process by which, for example, a document can be approved

Set up a content type

To set up a content type, complete the following steps.

1. In the Rich Client, on the toolbar, click Administration > Records Management and then click New Content Type.

2. In the Edit Content Types dialog box, complete the following substeps.

   1. In the Content Type box, type a name.

   2. Optional. In the Description box, type a description for the content type.

   3. Under Access List, click an access list from the drop-down list.

   4. To start a business case based on the specified definition when archiving, in the Process Definition box, type the name of the process definition.

   5. Under Retention Class, click a retention class from the drop-down list.

   6. In the Repository box, type the name of the database definition for archiving.

   7. Click Save.

Set up a retention class

You need to define a retention class for the desired content type. To set up a retention class, complete the following steps.

1. In the Rich Client, on the toolbar, click Administration > Records Management and then click New Retention Class.

2. In the Edit Retention Classes dialog box, complete the following substeps.

   1. In the Retention Class box, type a name.

   2. Optional. In the Description box, type a description for the retention class.

   3. In the Retention Period box, define the duration of retention in days.

   4. In the Disposition Period box, define the maximum retention period in days. At the end of this period, you must delete the corresponding document.

   5. Optional. Activate the Retention Rule check box and enter the required rule into the field, such as Status >0 which means that the retention rule takes effect as soon as the state of the document becomes >0.

   6. Optional. If the retention class should take effect when a particular event occurs, activate the Event-based check box and enter the required event rule into the field.

   7. Optional. If litigation is required, activate the Litigation Hold check box.

About tasks

After the minimum retention time expires, you can delete documents if there is no litigation hold on the document. Using tasks, you can automate the deletion of documents.

You can choose from two different tasks.

• Disposition Task

  Checks the appropriate tables at defined intervals for documents for which the disposition time has expired and for which no litigation hold has been set. The task deletes documents that meet these criteria.

• Destruction Task

  Checks the specified table in defined intervals for documents for which the minimum retention time has expired and for which no litigation hold has been set. The task deletes the document after expiration of the minimum retention period without consideration of a maximum retention period. You can set an additional folder for this task. If so, the system evaluates only documents in this folder.

You set up the tasks in the Core Server using the Microsoft Management Console. For more information, refer to Administration System > Server Administration with MMC.

Define a disposition task

To define a disposition task, complete the following steps.

1. Open the MMC on the server.

2. Under Core server administration, click Processes > Tasks.

3. In the Edit Task dialog box, on the General tab, complete the following substeps.

   1. In the Name box, type a name for the task.

   2. Under Action, select Records Management Disposition from the drop-down list.

   3. Under Planned, specify the interval in which the task is to run.

4. In the Edit Task dialog box, on the Query tab, click the button with the three dots, and then select the DDC for which the disposition task is to be activated.

5. Click OK.

Define a destruction task

To define a destruction task, complete the following steps.

1. Open the MMC on the server.

2. Under Core server administration, click Processes > Tasks.

3. In the Edit Task dialog box, on the General tab, complete the following substeps.

   1. In the Name box, type a name for the task.

   2. Under Action, select Records Management Destruction from the drop-down list.

   3. Under Planned, specify the interval in which the task is to run.

4. In the Edit Task dialog box, on the Query tab, complete the following substeps.

   1. Click the button with the three dots, and then select the DDC for which the destruction task is to be activated.

   2. Optional. When you have specified a folder for the destruction task, select a folder.

      The task then only applies to documents in this folder.

5. Click OK.

Log Records Management events

You can log Records Management events. To log these events, complete the following steps.

1. In the Rich Client, click Administration > Logging and then click Settings.

2. In the Define Logs dialog box, complete the following substeps.

   1. Activate the Retention check box.

   2. In the Backup Directory field, specify the backup directory.

   3. Click OK.

      This event is document-specific. Therefore, you must link the log table to the DDC you want to monitor.

About the retention log

The following events trigger the retention log.

• You place a document under retention

• An event triggers retention assignment

• You change the retention time or disposition time

• You set or remove litigation hold

• You assign a content type

• The disposition task is executed

About Records Management access rights

The Records Management access right can be assigned in an access control list (ACL).

The Records Management access right defines whether a user can assign minimum and maximum retention periods, retention time and disposition time, or extend an existing period. It also controls whether a user can activate or deactivate litigation hold. The Records Management option must be activated by a license to be able to configure the access rights during ACL configuration.

This installation enables the additive ACL retention which prevents only the deletion of a document. The system attaches this ACL to documents that are under retention.

Records Management functions

About documents administration

You can administer documents with Records Management properties.

Documents with retention periods are protected from deletion until expiration of the period. When storage systems are involved which deal with retention properties, the data has double protection. On one hand, the data is protected by system mechanisms and on the other hand by properties attached to the data by the storage system.

The system offers a two-step deletion process by default to support the dual verification principle, which acts like the Windows recycle bin. Users with deletion rights can mark a document for deletion. In this state, the document is no longer visible for users who have reading rights. The final deletion does not occur until another user with deletion rights deletes it a second time.

In conjunction with the Records Management option, deletion is only possible when the retention periods have elapsed and litigation hold is not active.

About changing retention periods

You can change the retention periods for individual documents.

In some cases, you need to retain a document longer than the originally specified retention period, or a document needs to be destroyed sooner than originally specified. In these cases, the records manager can access a context menu function in the results list, depending on the storage system. The newly entered data is associated with every object of earlier revisions, if present. The system writes this data also to the storage system, if allowed.

What is the litigation hold

If documents must be presented as evidence in a lawsuit, the records manager can access the Activate Litigation Hold context menu function in the results list.

The system protects documents which are marked in this manner from deletion, even after the retention periods have expired. When litigation has been completed, the records manager can access the Deactivate Litigation Hold context menu function in the results list to remove the protection.

If a document is marked for deletion using SYSINDEXSTATE=65002, the delete function will only be available to records managers and administrators if the retention periods have expired and no litigation hold has been activated.

If a deletion attempt is made using API, the system generates an appropriate error message. If a document is deleted from the recycle bin, the system removes it from erasable mediums, such as the CAS (Content Addressed Storage) of EMC2 Centera, IBM DR550, or NetApp SnapLock if this is configured in the storage system. If the mediums are WORMs, the system sets a delete flag so that the system will not retain these documents in the next medium migration.

If litigation hold is activated for a document and an additional lawsuit follows, the record manager can deactivate the litigation hold only after all litigation has been completed.

What is storage with unlimited retention

The system can place documents that are to be retained in principle, but whose final retention period can only be calculated after an event, in an unlimited retention status.

Documents which the system has placed in an unlimited retention status are protected from deletion. When the event occurs, the system sets the final retention period. In the Records Management rules, you can specify whether a document is to be initially stored with unlimited retention status.

Working with Records Management functions

About functions for the records manager

In the results list, special context menu functions are available for the records manager. These include extending retention periods, shortening the disposition period, or activating and deactivating litigation hold.

About subsequent changes to retention periods

You can modify retention periods after they have been defined. Be aware of the following information.

• Retention time. You can only extend minimum retention periods.

• Disposition time. You can only shorten maximum retention periods.

Extend retention time

You can extend the retention time of a document that has reached the specified retention time. To do so, complete the following steps.

1. In the results list, right-click the document for which you want to extend the retention time.

2. In the context menu, click Prolong Retention.

3. In the Prolong Retention Time dialog box, enter a new date, and then click OK.

4. Confirm the upcoming message box with Yes.

   The system makes an entry in the revision history with the same version number.

Shorten disposition time

You can shorten the disposition time for a document in the results list. To do so, complete the following steps.

1. In the results list, right-click the document for which you want to shorten the disposition time.

2. In the context menu, click Reduce Disposition.

3. In the Reduce Disposition Time dialog box, enter a new date, and then click OK.

4. Confirm the upcoming message box with Yes.

   The system makes an entry in the revision history with the same version number.

About litigation hold

In the event of lawsuits it is often necessary to prevent all pertinent documents from being deleted. Documents marked as such may not be deleted for the duration of all litigation, even if their retention periods have expired.

When you have activated litigation hold for a document, this document cannot be deleted, even if its maximum retention time has elapsed.

Activate litigation hold

When the field SYSRETENTIONTIME is present in the archive definition, you can activate and deactivate the litigation hold for documents in the results list. To do so, complete the following steps.

1. In the results list, right-click the document for which you want to activate litigation hold.

2. In the context menu, click Activate Litigation Hold

   To deactivate litigation hold, click Deactivate Litigation Hold.

3. Confirm the upcoming message box with Yes.

   The system makes an entry in the revision history with the same version number.

About functions for users with write access

Users with write permissions have access to context menu functions in the results list that allow them to make changes to the life cycle stages.

What is fixed retention

The system offers the fixed retention function in the context menu for documents in the results list when the SYSLCMSTAGE field is present in the archive definition. The Preserve with period entry appears when the field value is Draft or RetentionEB.

The context menu function Preserve with period sets the field SYSLCMSTAGE to Retention.

When you save the document, the rules engine evaluates the corresponding Records Management parameters for the content type and stores them as fixed retention all the way to the storage system if allowed. All objects already saved with event-based retention, are activated as fixed retention based on the respective event.

What is unlimited retention

The system offers the unlimited retention function in the context menu for documents in the results list when the SYSLCMSTAGE field is present in the archive definition. The Preserve without period entry appears when the field value is Draft.

The context menu function Preserve without period sets the field SYSLCMSTAGE to RetentionEB.

When you save the document, the rules engine evaluates the corresponding Records Management parameters SYSRETENTIONTIME, SYSRETENTIONCLASS, and Period, for the content type and stores them as event-based retention all the way to the storage system if allowed.

About Records Management and R/Link

The Records Management functions are also available for documents that have been archived using the SAP Archive or Link interface via the R/Link server.

About R/Link configuration dialog box

You can assign a content type for documents of an SAP module from within the R/Link configuration dialog box. You may only use a type from the XContentTypes table.

When archiving documents from SAP, the system evaluates the content type and fills the system fields for Records Management by means of the rules engine.

What is field mapping

You can define a list of mapped fields for each content repository.

This connects the index fields and formulas that are filled by these fields. The formulas can use variables generated by SAP.

You can include any field which is filled using the COM interface, in the mapping, with the exception of SAPDocID which is used for the SAP document ID. In addition to these fields, you can also use SYSACLLIST to assign ACLs.

First the system tries to read the index data from an XML file for each document at runtime. Then the mapping sequences are processed.

The system stores the mapping information in the ARCHIEF.INI in the R/Link server. The following pattern shows how the entries are set up in this section.

[RLinkAppServer<n>.Mappings] 
IndexField=Formula

The formulas are URL-coded to enable multi-lined formulas and the use of special characters. You can perform mappings either by using he MMC or by making entries in the ARCHIEF.INI.

Only the field SYSCONTENTTYPE may be filled using mapping. All other Records Management parameters are addressed using the rules engine.

About Records Management INI entries

You can set the following parameters in the ARCHIEF.INI for Records Management.

[RecordsManagement]
LitigationHold=xxx
Retention=xxx
Prolongation=xxx

The parameters above can assume the values HARDWARE or SOFTWARE.

• HARDWARE. Parameter is passed on to the hardware. This is the default setting.

• SOFTWARE. Parameter is only retained and evaluated in the system but not passed on to the hardware.