The AODocs Retention Module is a feature of the AODocs Document Management Platform, included in the AODocs Application Platform license level. It lets you automate the retention and disposal of the documents stored in your AODocs libraries.
The AODocs Compliance Archive feature included in the AODocs Retention module guarantees regulatory compliance for SEA-regulated organizations. Learn more from the FINRA website: SEA Rule 17a-4 and Related Interpretations.
Important: To use the Compliance Archive feature, your IT administrator must contact your AODocs sales representative or send an email to sales@aodocs.com.
The Compliance Archive feature was developed in collaboration with Google. To implement it, you must activate the Takeout Google Service on your domain. Learn more from the Google Help Center: Allow or block Google Takeout.
You also need to create a technical configuration library, that will contain one technical document per AODocs document to archive, and set up the Reference catalog on your domain.
Our Service team will help you with this initial technical setup.
Note: All properties that manage the retention process, such as Event date and Target destruction date, are held in each technical document corresponding to your AODocs documents to archive. Unlike standard retention policies, there is no need to manage these properties for compliance archive policies; they are managed in the background.
This article is for retention administrators and library administrators. It describes how to set up the Compliance Archive feature, once the initial technical setup is complete.
When you have completed the procedures described in this article, users can archive their AODocs documents.
Automatically generated table of contents
Create a compliance archive retention policy
1. In the Retention policies tab, click the create button and select Compliance archive policy.
Then follow step 2 of the procedure to create standard retention policies manually.
Note: For the compliance archive there is no Setup step because compliance archives are always triggered manually.
2. Under Options:
- define the number of years before documents are deleted after entering the retention period
- if required, enter one or more property names and values to identify the documents to archive
3. Click Create.
When your rule is created, two Google Cloud Storage (GCS) buckets are created:
- the bucket where your compliance archives will be stored
- a clone bucket to serve as a backup, for added security
Note: In addition, a document is created in the technical configuration library (set up by your IT administrator and the AODocs Service team) containing the properties required to create compliance archives. You don't need to access this library, it's managed by the IT administrator in charge of retention in your company.
Assign a library to your compliance archive retention policy
Important: You can't apply standard policies and compliance archive policies in the same library.
Assign a library to your compliance archive retention policy in exactly the same way as you would a standard policy. Learn more: Assign retention schedules to AODocs libraries.
After assigning your policy to your library, the next time the weekly batch process runs, the property Status of compliance archive is created in all the document classes in your library. This property is given the value POLICY ASSIGNED in all unarchived documents in your library.
Learn more: Retention properties and their values throughout the archive process.
Learn more about the weekly batch process: What happens when you use retention in AODocs libraries?
Create a retention property in your library
Create a property in all the document classes of the library. Learn more: Properties for compliance archive policies.
Give your library access to the reference catalog on your domain
You must enable your library to access the reference catalog on your domain so it can apply Google Drive labels to documents to be archived.
1. In the AODocs Retention Module, select the Compliance archive settings tab.
The panel in the top part of the screen displays information from the document in the technical configuration library. You don't have edit access to this part of the screen.
2. In the Apply compliance archive to a library panel, search for your library, then click Apply.
After giving your library access to the reference catalog, the next time the weekly batch process runs, the property Status of compliance archive label is created in all the document classes in your library. The value is empty in all unarchived documents in your library.
Learn more: Retention properties and their values throughout the archive process.
Learn more about the weekly batch process: What happens when you use retention in AODocs libraries?
Create a compliance archive custom script in your AODocs library
1. Create a new custom script. You can name it as you like. Define it as type Viewer Action.
Learn more: Custom scripts.
2. Click the name of your custom script to configure it.
3. Leave the default options:
- Run with current user's privileges.
- checkbox Async execution unselected
4. Copy the code from the sample custom script into your custom script.
5. Add a parameter named Finra Application URL to the custom script with this URL as the default value:
https://retention.us.aodocs.app/_ah/api/document/v1/finalize/{documentId}
6. Click Save.
Create a custom action
Create a custom action according to your business requirements.
1. In the library administration, open the document class in which you want to use the script (in our example, "Document") and select the Custom tab.
2. Click the Add a new viewer custom action button.
3. Enter the text that will appear in the user interface to run the custom script, in our example, "Trigger compliance archiving".
4. Select the required custom script, in our example, "Compliance archive".
5. Click Create.