Retention Periods Disposition Precedence

14-6 Oracle Fusion Middleware Setup Guide for Universal Records Management

14.5 Retention Periods

The retention period is the amount of time waited after the triggering event before a disposition action is performed. Several built-in period units including calendar years, fiscal quarters, months, and weeks are available, but custom periods can be created see Creating or Editing a Custom Time Period on page 12-2. A retention period can be specified for all triggering events, enabling a user to create disposition rules for content such as Delete all old revisions three months after the last new revision was checked in. Examples of retention periods include: ■ 5 calendar years ■ 2 fiscal quarters ■ 6 months ■ 4 weeks

14.6 Disposition Actions

A disposition action defines what will happen after Triggering Events occur and Retention Periods , if any, have passed. The following built-in disposition actions are supported. In addition to the built-in disposition actions below, a user can define custom disposition actions see Appendix C, Customizing Your System for details.

14.6.1 Classified Records Actions

■ Declassify : This action indicates it is time to declassify content. ■ Downgrade Classification : This action indicates it is time to lower the security classification of an item to the next lower security classification in the hierarchy. ■ Review Classification : This action indicates it is time to review the security classification status of an item. ■ Upgrade Classification : This action indicates it is time to increase the security classification of an item to the next higher security classification in the hierarchy. These four disposition actions are available only if the ClassifiedEnhancements component is enabled.

14.6.2 Dispose Actions

■ Delete Previous Revision : This action indicates it is time to delete the revision before the content item revision that triggered the disposition action. The revision Important: Default disposition actions always require approval from an administrator. Custom disposition actions can be configured to perform approvals automatically. Some actions have a separate ’mark complete’ step because the system cannot tell if the action is done. For example, the completion of destruction or moves of physical records cannot be determined by the software, so someone must mark the action complete. The same is true for all transfer, accession, and move actions where the destination is defined using the software and the physical movement of the items is not within control of the software. Defining Disposition Instructions 14-7 that activated the trigger may be the latest revision of a content item, but does not need to be. – If a content item has 5 revisions and this disposition action is activated for revision 5 the latest revision, then only revision 4 is marked for deletion. – If a content item has 5 revisions and this disposition action is activated for revision 3, then only revision 2 is marked for deletion. ■ Delete Revision : This action indicates it is time to delete the content item revision that triggered the disposition action. This revision may be the latest revision of a content item, but does not need to be. – If a content item has 5 revisions and this disposition action is activated for revision 5 the latest revision, then only revision 5 is marked for deletion. – If a content item has 5 revisions and this disposition action is activated for revision 3, then only revision 3 is marked for deletion. ■ Approve Deletion : This action indicates it is time to approve record folders or content for deletion. ■ Delete All Revisions : This action indicates it is time to delete the content item revision and all earlier revisions. The revision that activated the trigger may be the latest revision of a content item, but does not need to be. If the DoD Config module is enabled, a prompt appears to select either Delete All Revisions Destroy Metadata or Delete Revisions Keep Metadata when approving the disposition action. Metadata cannot be retained unless the DoD Config module is enabled. – If a content item has 5 revisions and this disposition action is activated for revision 5 the latest revision, then revisions 1 through 5 are marked for deletion effectively removing the content item from the repository altogether. – If a content item has 5 revisions and this disposition action is activated for revision 3, then revisions 1 through 3 are marked for deletion. ■ Delete Old Revisions : This action indicates it is time to delete all revisions before the content item revision that triggered the disposition action. The revision that activated the trigger may be the latest revision of a content item, but does not need to be. ■ Delete Working Copy : This action deletes the working copy of a cloned content item. It first deletes the direct working copy of the clone. Then all previous revisions of the working copy are deleted until a revision of the fixed clone itself is found. The deletions stop at that point. This action is not available unless the RmaEnableFixedClones configuration variable is set to TRUE. Note that if deletion rules exist for a category, content is deleted according to the first rule encountered. Therefore, content will be deleted from all folders in the same category and not just from one folder.

14.6.3 Other Actions

■ Check in New Revision : This action indicates it is time to take the latest revision of the affected content items and check a copy of this revision into the repository as a new revision. This may be useful to process a content item revision based on changed historical information, refresh an expired document, or enter a content item into a criteria workflow for disposition processing. 14-8 Oracle Fusion Middleware Setup Guide for Universal Records Management ■ Accession : This action indicates it is time to transfer physical and legal custody of materials to an archival institution such as NARA. Choose Accession Destroy Metadata or Accession Keep Metadata. ■ Activate : This action indicates it is time to activate record folders or content. ■ Close : This action indicates it is time to close record folders. ■ Cutoff : This action indicates it is time to cut off content or record folders from further processing. Cutoff refers to changing the status of items to prohibit further processing. ■ Cutoff and Create Volume : This creates a volume folder, content is placed inside, and the volume is cut off. ■ Expire : This action indicates it is time to expire record folders or content. ■ Obsolete : This action indicates it is time to mark content as obsolete. ■ Mark Related Content : This action marks any content linked to the current content. ■ No Action : This action indicates there is no action to take currently. This action usually found mid-disposition. A No Action action acknowledges a disposition milestone has passed, and the next step in the disposition begins processing. ■ Notify Authors : This action indicates it is time to notify the author of the affected category that disposition actions are due for the category. ■ Supersede : This action indicates it is time to supersede a content item by another content item. In addition to the built-in disposition actions listed above, custom dispositions can be defined to reflect an organization’s specific records management needs.

14.6.4 TransferMove Actions

■ Archive : This action indicates it is time to archive content or record folders. Choose Archive Destroy Metadata or Archive Keep Metadata. ■ Create Content Server Archive : This action indicates it is time to create an archive containing the affected content with their metadata. ■ Create Volume : Creates a volume folder. When the action is encountered, the contents are transferred to the volume folder. ■ Move : This action indicates it is time to move content and metadata out of the system. Choose to Move Destroy Metadata or Move Keep Metadata. ■ Transfer : This action indicates it is time to transfer content from one location to another, but does not transfer the legal and physical custody as with accession. Choose to Transfer Destroy Metadata or Transfer Keep Metadata.

14.7 Cutoff Guidelines

In most cases, a retention period does not start until a triggering event is set to cut off. To cut off the records in a file indicates the record will be ended at regular intervals to permit disposal or transfer in complete blocks. For correspondence files, this permits the establishment of new files. Cutoffs involve ending input to old files and starting input to news ones. Defining Disposition Instructions 14-9 The length of the retention period determines when to cut off a content item, category, or folder and at what interval to perform a cutoff. Use the guidelines discussed in this section to help determine when to cut off and apply retention periods. Retention periods for triggers can only be specified if the AllowRetentionPeriodWithCutoff flag is enabled. This is disabled by default.

14.7.1 Time Retention Periods

Content items that have a retention period of less than one year are typically cut off at an interval equal to the retention period. For example, if a retention category has a retention period of one month, cut the folder off at the end of each month. Then, apply the retention period for another month before applying the final disposition, such as destroying the items. When a content item has a retention period of one or more years, cut off the folder at the end of each fiscal or calendar year. After the end of year cutoff, apply the retention period.

14.7.2 Time-Event Retention Periods

On the date the event or action is completed, perform the cutoff, then apply the retention period.

14.8 Disposition Precedence

Content filed into multiple folders residing in different categories are managed based on the longest time disposition. When an item has been filed into multiple folders belonging to disparate retention categories, it is subject to multiple disposition processing schedules. In the event of this scenario, the longest retention period prevails. However, the item is processed by disposition instructions belonging in two or more categories. The following scenario describes a disposition processing precedence. Content is filed into Folder 1 of Category 1 and into Folder 2 of Category 2. The instructions are processed in a staggered order:

1. On 3109, the item will be cutoff with its cutoff date and Folder 2 will be closed.

2. On 4109, the item will be expired and the expiration date will be added to the

item viewable on the content information page.

3. On 4509, the item will not be expired again, so the expiration date is not

updated.

4. On 41009, the item and Folder 1 will be archived.

5. On 41209, the pointer to the item is removed from Folder 1 by an update to the

content information. The pointer still exists to Folder 2. The items are not actually filed into a folder, but are pointed to the folder. Category 1: Folder 1 Category 2: Folder 2 Expire after 4109 Close after 3109 Archive on 41009 Expire after 4509 Destroy on 41209 Destroy on 42014 14-10 Oracle Fusion Middleware Setup Guide for Universal Records Management 6. On 42014, the item under Folder 2 will finally be destroyed, as the item is not being held by any remaining pointers.

14.9 Managing Dispositions