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Proposal for Retention- and Legal Hold Management based on

Secondary TypesAlfresco

OpenTextSAP

Retention Types

Repository Managed Retentions Client Managed Retentions Legal Holds

Repository Managed Retentions

A repository exposes a set of managed retention types with a repository determined semantic

A CMIS client can apply one of the exposed retention types to a document

The repository calculates the specific retention period according to the semantic of the applied retention type

Example for Repository Managed Retentions

Classification by assigning

secondary typesFile plan exposed as secondary type

hierarchy

Client Managed Retentions

CMIS client calculates the retention period itself CMIS client applies the calculated expiration date

to a document using a repository defined managed retention type

Repository assures that the documents are preserved according to the given retention period

Usually used in multi-system environments

Example for Client Managed Retentions

ILM Retention Management

End-of-Life Data

CMIS Repository

CMIS Interface

Legal Cases

Retent. Policies

ERP System

Data Archiving

Data Volume Management

CMIS Repository

ERP System

Client Managed Retentions – General Rules

A Retention period is defined by an expiration-date and an optional start-of-retention date

The expiration-date is either set to a concrete date or in the state not-set

If the expiration-date is set to a concrete date, deletion of the object shall be prohibited until the specified expiration date

If the expiration-date is in the state not set, the object shall not be deletable at all

Client Managed Retentions – Assignment Rules

A expiration date must not be replaced with expiration-date not-set

A retention policy with an expiration-date not-set can be replaced by a retention policy with a concrete expiration-date

A expiration-date must not lie in the past

Client Managed Retentions – Prolongation Rules

If an object has already a expiration date applied, the repository shall only accept new expiration-dates equal or greater than current one

Once a retention type is set, the type shall not be removable

A violation of a rule shall result in a constraint exception

Comparison

Client Managed Client manages retention and

exposes expiration date to repository

Required in multi system scenarios where the retention rules are hosted outside the repository

Already a widely implemented pattern by many vendors

Repository Managed Simple interface to client

app

App does not have to be aware of retention mgmt rules

Full power of retention mgmt in repository can be used

Common pattern for many integrations

Legal Holds

A Legal-Hold is used to protect an object from being deleted due to pending litigation or audits, regardless of any retention period

A Legal-Hold type has a multi-valued property to store identifiers for the corresponding litigation or audit

Type Hierarchy for secondary retention types

cmis:secondaryType

cmis:rm:repMgtRetention (Abstract)

Repository Specific Retention Type 1 … Repository Specific

Retention Type n

cmis:rm:clientMgtRetention

- cmis:rm:expirationDate- cmis:rm:startOfRetention

cmis:rm:destructionRetention

- cmis:rm:destructionDate

cmis:rm:hold- cmis:holdId (multivalued)

Advantages of Secondary Types approach

CMIS domain model needs no change Secondary Types are query-able An application can inspect the type model to know

what kind of retention types are supported Retentions can be set in an atomic transaction

Relation to other standards

Legal Hold part of other standards (DoD, MoReq) Moreq2010 has some overlaps:

Export import of records (via CMIS?) Spec considers distribution of records in multiple

repositories instead of one central system Spec not finalized yet Looking for some expert in this area