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Sample Configurations

Introduction

The sample configurations below are a quick reference showing a few common ways AutoRecords can be configured to achieve dramatically different records management goals.

All examples require configuring the same five AutoRecords objects. Once you get familiar with how these five configuration objects work together, you will be able to create incredibly flexible configurations to match the retention policies within your organization. While each example specifies all objects necessary, in a real world implementation configurations for Periods, Triggers and Event Group Templates get reused frequently. The reuse of these common configurations makes the process of configuring AutoRecords quick and easy.

The configurations below assume knowledge of AutoRecords terminology and familiarity with the system and records management concepts. A vault containing these sample configurations can be downloaded at the AutoRecords Download Site.


Delete Financial Documents That Are Invoices After Seven Years

We have a document class such as a Financial Document and a metadata property called Document Type that distinguishes different types of Financial Documents (i.e. Expense Report, Invoice, etc). We want to set retention on the Invoices so they are kept for 7 years after their creation date.

Periods

  • Create a Period object for 7 Years.

Triggers

  • Create a Property Trigger Document Type.
    • Property=Document Type
    • Comparitor=Equal To
    • Value=Invoice
    • Add the metadata property Document Type to the metadata card and select Invoice.
  • Create a Date Trigger for Create Date
    • Trigger Property=Created.

Event Group Templates

  • Create an Event Group Template to Delete items 7 years after they were created.
    • Event Template Name=Delete 7 Years After Creation
    • Trigger=Date Trigger - Created
    • Period=7 Years
    • Use Direct Action=Checked
    • Direct Action=Delete & Destroy

Retention Categories

  • Create a Retention Category which references the Event Template created above.
    • Retention Category ID=100 (or any number you wish)
    • Retention Category Label=Delete 7 Years After Creation (This usually matches the Event Template)
    • Event Template=Delete 7 Years After Creation

Policies

  • Create a Policy to include Financial Documents that are invoices.
    • Policy Name=Delete Invoices 7 Years After Creation
    • Category=100 - Delete 7 Years After Creation
    • Class(es)=Financial Document
    • Trigger(s)=Document Type Equal To Invoice

Delete Approved Proposals After Ten Years & Rejected Proposals After Seven Years

We have a document such as a Product Document. It starts life as a Proposal and can either be Approved or Rejected. Then, if it's approved it is kept for one period of time (7 years), but if it is rejected it is kept for another period of time (10 years).

Periods

  • Create a Period object for 7 Years.
  • Create a Period object for 10 Years.

Triggers

  • Create a Property Trigger for Approved.

    • Property=Proposal
    • Comparitor=Equal To
    • Value=Approved (type it in the text field)
    • Add the Proposal Status Property to the metadata card and select Approved.
  • Create a Property Trigger for Rejected.

  • Property=Proposal

  • Comparitor=Equal To

  • Value=Rejected

  • Add the Proposal Status Property and select=Rejected.

Event Group Templates

  • Create Event Group Template #1
    • Event Template Name=Delete 10 Years After Proposal Approved
    • Trigger=Approved
    • Period=10 Years
    • Use Direct Action=Checked
    • Direct Action=Delete & Destroy
  • Create Event Group Template #2
    • Event Template Name=Delete 7 Years After Proposal Rejected
    • Trigger=Rejected
    • Period=7 Years
    • Use Direct Action=Checked
    • Direct Action=Delete & Destroy

Retention Categories

  • Create a Retention Category which references BOTH the Event Templates created above.
    • Retention Category ID=110 (or any number you wish)
    • Retention Category Label=Delete Approved/Rejected Proposals 10/7 Years (This usually matches the Event Template but in this case there are two Event Templates so the name needs to be representative)
    • Event Template#1=Delete 10 Years After Proposal Approved
    • Event Template#2=Delete 10 Years After Proposal Approved

Policies

  • Create a Policy that specifies the Proposal Document Class
    • Policy Name=Proposals
    • Category=110 - Delete Approved/Rejected Proposals 10/7 Years
    • Class(es)=Proposal

We have Employee objects and there are several types documents related to each employee. After the Employee is terminated or leaves we want to delete documents that reference that employee at different intervals and once all of the documents have been removed, we want to get rid of the Employee object too.

For example, an Employee object is referenced by document classes of Tax Docs, Insurance Docs, Reviews, Resume and Employee Photo. Additionally other documents of any class may have been created and manually linked to the Employee by adding the Employee property to their metadata card. When the Employee becomes a Former Employee, we want to remove the Resume, Reviews and Employee Photo after 7 years. Tax Docs and Insurance Docs should be removed after 10 years. All other documents that reference the Employee should be deleted 1 year after the Employee becomes a former employee. Finally, once the Insurance and Tax Documents have been removed, we should remove the Employee object as well since that's the last of the documents related to the Employee.

Periods

  • Create a Period of 1 Year
  • Create a Period of 7 Years
  • Create a Period of 10 Years

Triggers

  • Trigger 1: Create an Indirect Property Trigger where Employment Status=Former Employee for Resume, Review & Photos.

    • Property=Employment Status
    • Comparitor=Equal To
    • Value="Former Employee"
    • Relationship Direct=From
    • Relationship Property=Employee
    • Relationship Class=Resume, Review, Employee Photo
    • Action Retentioned Object=No
    • Add the property Employment Status to the Trigger and select the value Former Employee.
  • Trigger 2: Create an Indirect Property Trigger where Employment Status=Former Employee for Insurance & Tax Documents.

    • Property=Employment Status
    • Comparitor=Equal To
    • Value="Former Employee"
    • Relationship Direct=From
    • Relationship Property=Employee
    • Relationship Class=Tax Document, Insurance
    • Action Retentioned Object=Yes
    • Add the property Employment Status to the Trigger and select the value Former Employee.
  • Trigger 3: Create an Indirect Property Trigger where Employment Status=Former Employee

    • Property=Employment Status
    • Comparitor=Equal To
    • Value="Former Employee"
    • Relationship Direct=From
    • Relationship Property=Employee
    • Relationship Class=[empty]
    • Action Retentioned Object=No
    • Add the property Employment Status to the Trigger and select the value Former Employee.
Trigger Processing Order

AutoRecords evaluates Indirect Triggers with document classes first. Document classes that aren't specified in Trigger #1 and Trigger #2 get picked up by Trigger #3.

Event Group Templates

  • Create Event Group Template #1
    • Event Template Name=Delete Former Employee HR Documents After 7 Years
    • Trigger=[Indirect] Employment Status Equal To Former Employee (Indirect Trigger for HR Docs)
    • Period=7 Years
    • Use Direct Action=Checked
    • Direct Action=Delete & Destroy
  • Create Event Group Template #2
    • Event Template Name=Delete Former Employees and their Tax and Insurance Documents After 10 Years
    • Trigger=[Indirect] Employment Status Equal To Former Employee (Indirect Trigger for Insurance & Tax Docs)
    • Period=10 Years
    • Use Direct Action=Checked
    • Direct Action=Delete & Destroy
  • Create Event Group Template #3
    • Event Template Name=Delete Former Employee Documents After 1 Year
    • Trigger=[Indirect] Employment Status Equal To Former Employee (Indirect Trigger with no classes specified)
    • Period=1 Years
    • Use Direct Action=Checked
    • Direct Action=Delete & Destroy

Retention Categories Create a Retention Category which references ALL the Event Templates created above.

  • Retention Category ID=120 (or any number you wish)
  • Retention Category Label=Delete Former Employees & Their Documents (This usually matches the Event Template but in this case there are three Event Templates so the name needs to be representative)
  • Event Template#1=Delete Former Employee Documents After 1 Year
  • Event Template#2=Delete Former Employee HR Documents After 7 Years
  • Event Template#3=Delete Former Employees and their Tax and Insurance Documents After 10 Years

Policies

  • Create a Policy that specifies the Employee Class (NOTE: Retention is occuring on the Employee and then "indirectly" affecting their documents)
    • Policy Name=Employees
    • Category=120 - Delete Former Employees & Their Documents
    • Class(es)=Employee

Assign Audit Documents For Review Prior To Deletion

We have an Accounting Audit document that we want to Delete 10 years after it gets created but due to internal requirements we want to have the Policy Owner review it one month before it gets deleted. Importantly, for this example we do not want to require the approval of the Policy Owner to delete the document, it is merely to inform the policy owner and allow them to review and potentially put the document on hold if needed.

Periods

  • Create a Period of 119 Months (9 Years 11 Months)
  • Create a Period of 10 Years

Triggers

  • Create a Date Trigger for Create Date
    • Trigger Property=Created.
  • Create a Property Trigger for Document Type=Audit
    • Property=Document Type
    • Comparitor=Equal To
    • Value=Audit (type it in the text field)
    • Add the Document Type Property to the metadata card and select Audit.

Event Group Templates

  • Create Event Group Template #1
    • Event Template Name=Delete 10 Years After Creation
    • Trigger=Date Trigger - Created
    • Period=10 Years
    • Use Direct Actions=Checked
    • Direct Action=Delete & Destroy
  • Create Event Group Template #2
    • Event Template Name=Assign To Policy Owner After 9 Years 11 Months
    • Trigger=Date Trigger - Created
    • Period=119 Months
    • Use Direct Actions=Unchecked
    • Action=Assign To Policy Owner
    • Next Event(s) To Schedule=Delete 10 Years After Creation

Retention Categories

  • Create a Retention Category which references the second Event Group Template created above.
    • Retention Category ID=130 (or any number you wish)
    • Retention Category Label=Review & Delete Audit Documents (This usually matches the Event Template but in this case there Event Templates are chained together so the name needs to be representative of both Event Templates)
    • Event Template=Assign To Policy Owner After 9 Years 11 Months

Policies

  • Create a Policy with the class set to Accounting Audit.
    • Policy Name=Financial Documents - Audits
    • Category=130 - Review & Delete Audit Documents
    • Class(es)=Financial Documents
    • Triggers=Document Type Equal To Audit
    • Policy Owner=Administrator (or any appropriate user)

Based On A Workflow State Assign Budget Documents For Approval Prior To Deletion

We have Accounting Budget Documents that we want to delete 1 year after the Budget workflow indicates the budget has become Archived. The deletion of the Budget document must be approved before it takes place. While approval for deletion could be built into the Accounting Budget Document workflow, this example has the approval as the result of an AutoRecords assignment instead. There are often situations where the business workflow exists without any knowledge of retention policies so retention approval is handled separately.

Value List

  • Create a Record Status value list
    • Value List=Record Status
    • Contents=[Archived Budget, (other values you may want)]
    • After creation change the value list Type to Select List
  • Create a Retention Status value list
    • Value List=Retention Status
    • Contents=[Approved, Rejected]
    • After creation change the value list Type to Select List

Periods

  • Create a Period of 0 Days
  • Create a Period of 1 Year

Triggers

  • Create a Property Trigger based on the Record Status property.
    • Property=Record Status
    • Comparitor=Equal To
    • Value=Archived Budget
    • Add the Record Status property to the metadata card and select the Archived Budget value.
  • Create a Property Trigger based on the Retention Status property.
    • Property=Retention Status
    • Comparitor=Equal To
    • Value=Approved
    • Add the Retention Status property to the metadata card and select the Approved value.
  • Create a Property Trigger based on the Document Type=Budget
    • Property=Document Type
    • Comparitor=Equal To
    • Value=Budget
    • Add the Document Type property to the metadata card and select Budget

Event Group Templates

  • Create Event Group Template #1
    • Event Template Name=Delete After Retention Status Is Approved
    • Trigger=Retention Status Equal To Approved
    • Period=0 Days
    • Use Direct Actions=Checked
    • Direct Action=Delete & Destroy
  • Create Event Group Template #2
    • Event Template Name=Assign To Policy Owner For Approval 1 Year After Budget Archived
    • Trigger=Record Status Equal To Archived Budget
    • Period=1 Years
    • Use Direct Actions=Unchecked
    • Action Template(s)=Assign To Policy Owner

Retention Categories

  • Create a Retention Category which references both Event Group Templates created above.
    • Retention Category ID=140 (or any number you wish)
    • Retention Category Label=Approve & Delete Budgets (This usually matches the Event Template but in this case the name needs to be representative of both Event Templates)
    • Event Template #1=Assign To Policy Owner For Approval 1 Year After Budget Archive
    • Event Template #2=Delete After Retention Status Is Approved

Policies

  • Create a Policy with the class set to Financial Document, trigger of Document Type=Budget and a Policy Owner set
    • Policy Name=Financial Documents - Budget
    • Category=140 - Approve & Delete Budgets
    • Class(es)=Financial Documents
    • Triggers=Document Type Equal To Budget
    • Policy Owner=Administrator (or any appropriate user)

Restrict Permissions To A Document 10 Days Before It Becomes Obsolete

We have a Procedure document which we want to restrict access to ten days before it becomes Obsolete. The key to this sample is the Trigger using @CurrentDatePlusPeriod. When the Obsolete Date on a document is less than the current date plus a period of 10 days, this trigger becomes true. So if you take the current date and add 10 days, you get a point 10 days in the future. When the Obsolete Date is less than or equal to that date 10 days in the future, the Trigger evaulates to true.

Periods

  • Create a Period of 10 Days
  • Create a Period of 0 Days

Triggers

  • Create a Property Trigger based on the Obsolete Date. IMPORTANT: You must use the Property Trigger, not a Date Trigger.
    • Property=Obsolete Date
    • Comparitor=Less Than Or Equal
    • Value=@CurrentDatePlusPeriod
    • Add the Period property to the metadata card and select the 10 Day Period.

Event Group Templates

  • Create an Event Group Template to restrict access to the Records Manager group after a period of times.
    • Event Template Name=Restrict Access To Records Managers 10 Days Before Obsolete
    • Trigger=Retention Status Equal To Approved
    • Period=0 Days
    • Use Direct Actions=UnChecked
    • Action Template(s)=Restrict Access To RM's

Retention Categories

  • Create a Retention Category which references the Event Group Template created above.
    • Retention Category ID=150 (or any number you wish)
    • Retention Category Label=Restrict Access To RM's 10 Days Before Obsolete
    • Event Template=Restrict Access To Records Managers 10 Days Before Obsolete

Policies

  • Create a Policy with the class set to Procedure document.
    • Policy Name=Procedures
    • Category=150 - Restrict Access To RM's 10 Days Before Obsolete
    • Class(es)=Procedures

Soft Delete An Obsolete Financial Statement And Then Permanently Delete It One Month Later

We have Financial Statement Documents that we want to soft delete when the Obsolete Date has been met and then destroy the file entirely a month later.

Periods

  • Create a Period of 1 Month
  • Create a Period of 0 Days

Triggers

  • Create a Date Trigger for the Obsolete Date.
    • Trigger Property=Obsolete Date.
  • Create a Property Trigger based on the Document Type=Financial Statement
    • Property=Financial Statement
    • Comparitor=Equal To
    • Value=Financial Statement
    • Add the Document Type property to the metadata card and select Financial Statement

Event Group Templates

  • Create Event Group Template #1
    • Event Template Name=Soft Delete After Obsolete Date
    • Trigger=Date Trigger - Obsolete Date [AutoRecords]
    • Period=0 Days
    • Use Direct Actions=Checked
    • Direct Action=Set Delete Flag
  • Create Event Group Template #2
    • Event Template Name=Delete 1 Month After Obsolete Date
    • Trigger=Date Trigger - Obsolete Date [AutoRecords]
    • Period=1 Months
    • Use Direct Actions=Checked
    • Direct Action=Delete & Destroy

Retention Categories

  • Create a Retention Category which references both Event #1 and Event #2 above.
    • Retention Category ID=160 (or any number you wish)
    • Retention Category Label=Soft Delete After obsolete & Delete 1 Month Later
    • Event Template #1=Soft Delete After Obsolete Date
    • Event Template #2=Delete 1 Month After Obsolete

Policies

  • Create a Policy with the class set to Financial Documents and a Document Type equal to Financial Statement.
    • Policy Name=Financial Documents - Financial Statement
    • Category=160 - Soft Delete After Obsolete & Delete 1 Month Later
    • Class(es)=Financial Document
    • Trigger=Document Type Equal To Financial Statement