Compliance Management

Fabasoft Folio allows you to manage records, cases and their documents, incomings and outgoings (hereinafter referred to as business objects) in order to implement compliance in your organization.

Managing Business Objects in General

This chapter refers to use cases that affect all business object types.

General Information

The following contains general information about business objects.

Business Objects in Fabasoft Folio

Business objects include Records, Cases, documents (Incomings/Outgoings) and contents.

Recorded vs. Not Recorded Business Objects

Fabasoft Folio differentiates between recorded and not recorded business objects. Recorded business objects are those with an external effect and those that contain signed contents (for example, for approval).

If a business object becomes recorded, a (recorded) version of the business object is automatically created. All business objects contained within it likewise become recorded. Recorded business objects cannot be deleted, but only cancelled before the end of the retention period.

Unlike other business objects, Records are always recorded; however, the cases and documents contained therein only become recorded if the record is approved, for example.

Business Object Processing States

Business objects can be in various states: “In Process”, “Cancelled”, “Suspended” and “Closed”. Each state is linked to particular authorizations (ACL). The state of a business object is indicated by the symbol. In order to change the state of a business object, the “Change document state” access permission is necessary.

• In Process
  The “In Process” state is the default state for business objects and characterizes business objects that are still being edited. Not recorded business objects can be edited and deleted in this state. Recorded business objects can be edited, but not deleted.
• Suspended
  The “Suspended” state characterizes business objects that must remain in the current state (for example, because the business object is required in ongoing legal proceedings). The business object can be neither edited nor deleted, and system-controlled actions for business object elimination are suppressed. The suspension can be linked to a period.
• Closed
  The “Closed” state characterizes business objects that are not changed any longer. The business object can no longer be edited or deleted. The business object is eliminated at the defined time.
• Canceled
  The “Canceled” state is only available for recorded business objects and characterizes those business objects that should no longer be integrated into the business process. Canceled documents can no longer be edited.

State Changes

In principle, each state can be changed to any other state.

Propagation of States to Children

If the state of a Record is changed, this change in principle will also affect the Cases contained therein. A Record can therefore be closed in full or set to “In Process” again (including the Cases contained therein). If, on the other hand, the state of a Case is individually changed, this change is not passed on to the superordinate Record. In this way, individual Cases can be declared closed before the Record is closed. The same applies in the relationship between cases to documents and documents to contents.

The following rules also apply to state inheritance:

• A Record can only be closed if it contains no suspended Case.
• A cancelled Case remains canceled, even if the associated Record is closed.
• A Record can only be canceled if all Cases contained within it are “In Process”. They are then likewise canceled.
• The suspension of the Record overwrites the “In Process” and “Closed” states of the Case.

Inherited states versus individually specified states

The state of a Case may have been inherited from the associated Record or it may have been individually specified for the Case. If, for example, a Case is closed before the entire Record is closed and the Record is subsequently set to “In Process” again, this Case will remain closed. The same applies in the relationship between cases to documents and documents to contents.

Life Cycle Rules for Business Objects

The life cycle is defined through particular events that trigger particular actions depending on conditions (Event Condition Action, or “ECA rules” in brief).

Events

• After creation
• After recorded state
• After closure

Conditions

• Any expression (usually state)

Actions

• Transfer content to archive
• Transfer content and metadata to archive
• Delete permanently

The occurrence of an event is checked daily by the Fabasoft Folio AT service. If an event occurs, the respective action is performed in the context of the AT service user. If the respective condition is not fulfilled at the time when the event occurs, the action is not performed and the condition is re-checked during the next run of the Fabasoft Folio AT service.

Delete a Business Object

Business objects can be deleted provided they are not recorded. Recorded business objects can only be canceled. Business objects that are not themselves recorded, but contain recorded business objects, cannot be deleted either, as the subordinate business objects would also be deleted.

If deletion is allowed, the business object is either deleted immediately or moved to the wastebasket (if available). Wastebaskets can be set up by the system administrator across the system and/or for individual users.

To delete a business object, proceed as follows:

1. In the context menu of the business object, click “Delete”.
2. Click “Yes” to confirm the deletion.

Suspend a Business Object

Through suspension, the life cycle of the business object is frozen, meaning that all system-controlled actions in accordance with the retention rules are suppressed. The modification and deletion of objects in the “Suspended” state are not possible either. The suspension can be linked to a period. Once this period has elapsed, the business object is reset to the original initial state.

To suspend a business object, proceed as follows:

1. Navigate to the business object you want to suspend.
2. In the context menu of the business object, click “Set State to” > “Suspended”.
3. Enter your password if necessary (depending on the configuration of the system).

Note: The suspension of the Record overwrites the “In Process” and “Closed” state of the Cases contained within it.

Close a Business Object

Closed business objects can no longer be deleted or edited, but are subject to the document life cycle.

To close a business object, proceed as follows:

1. Navigate to the business object you want to close.
2. In the context menu of the business object, click “Set State to” > “Closed”.
3. Enter your password if necessary (depending on the configuration of the system).

Note:

• A Record can only be closed if it contains no suspended Case.
• A canceled Case remains canceled, even if the associated Record is closed.

Cancel a Business Object

If recorded business objects no longer need to be integrated into the business process, they can be canceled. If a business object is canceled, it can no longer be edited.

To cancel a business object, proceed as follows:

1. Navigate to the business object you want to cancel.
2. In the context menu of the business object, click “Set State to” > “Canceled”.
3. Enter your password if necessary (depending on the configuration of the system).

Note: A Record can only be canceled if all Cases contained within it are “In Process”. They are then likewise canceled.

Set the State of a Business Object to “In Process”

Business objects (recorded or not recorded) that are going to be edited again can be set to the “In Process” state.

To set a business object to the “In Process” state, proceed as follows:

1. Navigate to the business object that should be edited again.
2. In the context menu of the business object, click “Set State to” > “In Process”.
3. Enter your password if necessary (depending on the configuration of the system).

Define Retention Rules for a Business Object

In principle, retention is defined for the category, but can be individually overridden for a business object (i.e., if a retention is entered for the business object, then this entry will apply; otherwise that of the assigned category).

To define retention rules, proceed as follows:

1. Navigate to the Category you want to edit.
2. In the context menu of the category, click “Properties”.
3. Switch to the “Control” tab.
4. In the Life Cycle Rules field, click the “Add Row” button.
5. In the Period field, enter a time interval (d, h, min and sec) that is to pass before an action is executed.
6. In the Event list, click the trigger for performing the action (the time interval defined above begins at this time).
7. If necessary, enter a Fabasoft app.ducx expression in the Condition field (the analysis of this expression must return true in order that the action is actually performed).
8. In the Action list, click an action that is to be performed on business objects assigned to this category after occurrence of the specified event and after the specified time interval.
9. Click “Next” to close editing the entry.
10. Click “Next”.

Managing Contents

A Content is a business object that contains a file (for example, a Microsoft Word document).

Record a File Directly by Uploading It Into an Inbox

Inboxes can be used for an automatic recording of contents. An inbox defines the object type of the incoming to be created and the category. The category defines among others the access rights and the process for the created incoming.

Contents can also be uploaded into an inbox using WebDAV.

Record and Register a File or E-Mail Directly as Incoming Using Drag and Drop

To record and register a file directly as incoming using the drag and drop feature, proceed as follows:

1. Navigate in the desired case, record, person or organization. In case of persons or organizations, open the “Records/Cases” list.
2. Locate the respective file in your operating system environment.
3. Drag the file directly from the operating system environment in the Fabasoft Folio Web Client. Alternatively, you can copy and paste the file. Whether drag-and-drop or copy and paste is working depends on the web browser.
4. To use a template for the incoming, click the category and then click one of the templates assigned to this category.
   To use no template for the incoming, click “Classes” and then click “Incoming”.
5. Edit the metadata of the incoming if necessary and click “Next”.

Edit a Content

Contents (e.g. of Microsoft Word Documents) can be edited in the assigned third-party product.

To edit content, proceed as follows:

1. Navigate to the content you want to edit.
2. In the context menu of the content, click “Edit”.

The content will be opened in the assigned third-party product and can be edited there.

To upload a different file to a content (and thereby overwrite the original file), proceed as follows:

1. Navigate to the content you want to edit.
2. In the context menu of the content, click “Upload”.
3. Select the desired file.
4. Click “Yes”.

The file will be stored in the content and will replace the original file.

Delete a Content

Content can only be deleted insofar as it is not part of a recorded document and is itself not recorded. The deletion of content works in the same way as the deletion of other business objects (“Delete” context menu command).

Record a Content to an Existing Document

Contents can be recorded for existing documents (Incomings/Outgoings), in other words, assigned exclusively to them.

To record a content to a document, proceed as follows:

1. Navigate to the content you want to record.
2. In the context menu of the content, click “Copy”.
3. Navigate in the desired document.
4. In the background context menu, click “Paste Shortcut”.

Note:

• Recording is also possible using the drag and drop feature.
• A content can also be created in a document. In this case, the content will be recorded to this document automatically.

Record a Content to a New Document

To register a content to a new document, proceed as follows:

1. Navigate to the content you want to register to a new document.
2. In the context menu of the content, click “Copy”.
3. Navigate in the desired case or record.
4. In the background context menu, click “Paste Shortcut”.
5. To use a template for the incoming, click the category and then click one of the templates assigned to this category.
   To use no template for the incoming, click “Classes” and then click “Incoming”.
6. Edit the metadata of the document if necessary and click “Next”.

Note: Recording can also be performed by dragging and dropping the content on the case or record.

Set as Recorded Content of a Document

To set one or more contents as recorded content of a document, proceed as follows:

1. Navigate to the content you want to set as recorded content.
2. In the context menu of the content, click “Tools” > “Set as Recorded Content”.
3. Click the “Take” button next to a document to select it.
   Note: To search for further documents, click “Research”.

The effects of this procedure are as follows:

• The current (former) version of the selected document will be automatically backed up as a version.
• The content, on which the action was invoked, will be inserted into the document.

Set as recorded content of a sending verification

Instead of a document, a Sending Verification can be selected. In this case, it can be specified whether it was Successfully Delivered.

Example: If an e-mail contains the message that a sent e-mail could not be delivered, then this reply e-mail can be set as recorded content for the respective sending verification and the Successfully Delivered property of the sending verification can be set to “No”, since the message obviously did not arrive.

Managing Documents in General

Fabasoft Folio differentiates between Incomings and Outgoings. Even though each of these two types of documents fulfills its own purpose, there are use scenarios that are the same for both.

Create a New Document

To create a new document, proceed as follows:

1. Click the “New” action.
2. Select the document type (“Incoming” or “Outgoing”) and click “Next”.
3. Edit the document metadata and click “Next”.

Note:

• If the document is created in a Case, the document will be given the ACL of the case.
• In addition to this explicit generation of a document, a document can be generated implicitly by registering content to Cases or Records.

Unique Document Number

Fabasoft Folio allocates a unique number for documents. This document number is typically incorporated into the name of the document and is set up differently for Incomings and Outgoings.

The name of the document is made up as follows:
<document number> - <subject> - <date>

Note: <subject> is the subject of the document and <date> is the document's creation date.

Display a Document (Overview)

For documents, an overview can be generated that displays the contents in PDF format.

To display a document's overview, proceed as follows:

1. Navigate to the document for which the overview should be displayed.
2. In the context menu of the document, click “Show Overview”.

Edit Main Content of a Document

To edit the main content of a document, proceed as follows:

1. Navigate to the desired document.
2. In the context menu of the document, click “Open”.

The content will be opened in the assigned third-party product and can be edited there.

Edit Contents of a Document

To edit the contents of a document, proceed as follows:

1. Navigate to the desired document.
2. In the context menu of the document of which the contents should be edited, click “Properties”.
3. Locate the content in the Contents field.
4. In the context menu of the content, click “Edit”.
   The content will be opened in the assigned third-party product and can be edited there.
5. Edit the content, save the modifications and close the third-party product.
6. Repeat steps 2 to 4 for each content you want to edit.
7. Click “Next”.

Edit the Document's Metadata

To edit document metadata, proceed as follows:

1. Navigate to the desired document.
2. In the context menu of the content, click “Properties”.
3. Edit the document's metadata. Required fields are marked with an asterisk (*).
4. Click “Next”.

Search for a Document

When searching for a document, the metadata and content (full text search) of the document can be searched.

To search for a document, proceed as follows:

1. Click the “Find” action.
2. Select “Incoming”, “Outgoing” or “Document” and click “Next”.
3. Enter your search criteria (case, year, main content, addressee, etc.).
4. Click “Search Now”.
5. Select the required document in order to store it in the object list in which you started the search.
6. Click “Next”.

The selected document will be stored in the object list in which you started the search.

Delete a Document

A document can only be deleted if it is not recorded. The deletion of a document works in the same way as the deletion of other business objects (“Delete” context menu command).

Cancel a Document

A canceled document can no longer be edited. The contents contained in the document cannot be edited either. The cancellation of a document works in the same way as the cancellation of other business objects (“Set State to” > “Canceled” context menu command).

Revoke Cancellation of a Document

If the cancellation of a document is revoked, the contents contained in the document are also reset to the earlier processing status.

To revoke the cancellation of a document, the status must be set to “In Process”.

Re-Register a Document

Re-registration is performed by moving a document (including its contents) to a different case. Re-registration is recorded in the metadata of the re-registered document. The document number changes as a result of re-registration. The previous number is displayed in the document's number history.

To re-register a document, proceed as follows:

1. Navigate to the document that should be re-registered.
2. In the context menu of the document, click “Cut”.
3. Navigate in the case the document should be registered to.
4. In the background context menu, click “Paste Shortcut”.

Note: Another way to re-register the document is to use the drag and drop feature.

Move a Document

Documents can be moved as desired within a case (i.e., within the folder structure of the case). Simply moving a document within the folder structure of a case does not result in re-registration; it simply means you are free to define your own structure.

To move a document within a case (for example, to a particular folder), proceed as follows:

1. Navigate to the document that should be moved.
2. In the context menu of the document, click “Cut”.
3. Navigate in the desired folder.
4. In the background context menu, click “Paste Shortcut”.

Note: Another way to move documents is using the drag and drop feature.

Version a Document

To version a document, proceed as follows:

1. Select the desired document.
2. In the „Versions” menu, click “Save Version”.
3. Enter a Description of Version to Be Saved and click “Next”.

Note:

• When a new version of a document is created, all contents of the document will also be versioned.
• If the metadata of a document is edited by different users in succession, the system automatically stores a version for every user change.

Create Recorded Version of a Document

Explicit generation of a recorded version

To create a recorded version of a document's current content, proceed as follows:

1. Select the document for which a recorded version should be created.
2. In the „Version” menu, click “Create Recorded Version”.

If the current content has not yet been recorded, it will be set to recorded.

Implicit generation of a recorded version

A recorded version is automatically created in the course of the following use scenarios:

• Document approval
• Document closure
• Confirmation of dispatch/printing (for outgoings)
• Recording an incoming (for incomings)

If a document has several recorded versions, then the most recent recorded version represents the recorded content of the document.

Load Recorded Content of a Document

To display the recorded content of a document that is currently valid, proceed as follows:

1. Select the document for which the currently recorded content should be read.
2. In the „Versions” menu, click “Use Recorded Version”.

The most recent recorded version of the document is now available (indicated by the clock symbol). Both the content of the recorded version (“Read”) and its metadata (“Properties”) can be viewed.

Record Physical Content for a Document

To record physical content to a document, proceed as follows:

1. Navigate to the desired document.
2. In the context menu of the document, click “Properties”.
3. Switch to the “Document” tab.
4. In the Physical Location field, enter the storage location of the physical content.
5. Click “Next”.

Lend /Take Back a Document

To lend a document, proceed as follows:

1. Navigate to the document you want to lend.
2. In the context menu of the document, click “Tools” > “Signatures” > “Lend”.
3. Enter your password.
4. In the Remark field type lending data (e.g. who lends, how long and why) and click “Next”.

To take back a document, proceed as follows:

1. Navigate to the document you want to take back.
2. In the context menu of the document, click “Tools” > “Signatures” > “Take Back”.
3. Enter your password and click “Next”.

Note: The lending and taking back of a document is recorded on the “History” tab of the document.

Managing Incomings

When recording content to an Incoming, metadata and recipients can be defined. For incomings that are not scanned or only partially scanned, only the metadata of the incoming and the location of the physical content must be entered.

During registration, an incoming is assigned to a case or a record and, if necessary, assigned to a responsible department via workflow.

Create an Incoming

There are several ways to record a content to an incoming.

Using the “New” Action

To create an Incoming explicitly, proceed as follows:

1. Click the “New” action.
2. Select “Incoming” and click “Next”.
3. Edit the metadata of the incoming and click “Next”.

Note:

• Contents to be assigned to the incoming can be inserted or uploaded in the Contents field.
• If an incoming is created in a case, the incoming will be automatically registered to this case.
• Incomings can also be created using templates.

Using Drag and Drop or Copy and Paste

If you store a content or file in a person, organization, case or record, you can implicitly create an incoming that is registered in addition to the case or record.

1. Navigate to the content to be recorded.
2. Drag and drop the content on the desired person, organization, case or record. Alternatively, you can copy and paste the content in the corresponding list of the target object.
3. For persons or organizations, the content can be assigned to an existing or new record or case:
   • To assign the content to a record or a case, click the “Apply” button next to the corresponding entry.
   • To assign the content to a new record or case, click the “Create” button, select the object type to be created and click "Next". Enter the metadata of the created object and click “Next”.
4. To use a template for the incoming, click a category and then one of the templates assigned to the category.
   To not use a template for the incoming, click the “Classes” button and then the “Incoming” entry.
5. If necessary, edit the metadata of the incoming and click “Next”.

Record a file

Instead of content already in the system, a file or e-mail from the operating system environment can be used directly for the same use case. Whether drag-and-drop or copy and paste is available depends on the web browser.

Select a Category

During recording a content, you can assign a category (for example, application, purchase order or enquiry) to the incoming in the Category field. A standard process can be defined in the category, which is started automatically depending on the configuration.

Enter Metadata

In the course of recording an incoming, the following metadata can be defined for incomings. Depending on the context, not all fields are available.

• Record
  The incoming is assigned to the defined record.
• Subject
  Defines the subject of the incoming.
• Category
  Defines the category of the incoming.
  • Short Form
    Shows the short form based on the category.
  • Standard Process
    Shows the standard process based on the category.
• Start Standard Process
  Defines, whether the standard process is started.
• Journal Date
  Defines the date for the journal.
• Addressees
  Defines the addresses of the incoming.
• Contents
  Defines the contents assigned to the incoming.
• Year
  Defines the year to which the incoming is assigned. The current year will be proposed by default.
• Terms
  Defines Terms (keywords) of the incoming. Keywords can be used, for example, to find the incoming easier.
• Responsibility
  Defines how the responsible user is retrieved.

The following metadata cannot be changed once it has been entered:

• Year
  Is part of the unique number.
• Category
  Determines the short form and the standard process.

Assign an Addressee to an Incoming

During recording a content, you can assign addressees. The addressees of the underlying case or record are prefilled. These can still be changed if necessary.

Taken Over Proposed Addressees

During recording of a content, addressees are proposed in the following cases:

• If an e-mail is recorded, a person or organization is determined based on the sender's e-mail address.
• If content is recorded in a case, the addressees of the case are taken over as the addressees of the incoming.
• If content is recorded in a record, the addressees of the record are taken over as the addressees of the incoming.

Search for an Addressee

To assign an existing addressee to an incoming, proceed as follows:

1. In the Addressee field, click the “Add Row” button (plus symbol).
2. In the new line in the Contact field, click the “Find” button.
3. Select the object type you want to search for and click “Next”.
   Note: To search for all types of addressees, select the “Contact” entry.
4. Enter the search criteria and click “Search Now”.
5. Select the addressees you want to take over and click “Next”.

Note: In the Contact field, you can also perform a quick search.

Create an Addressee

To assign a new addressee to an incoming, proceed as follows:

1. In the Addressee field, click the “Add Row” button (plus symbol).
2. In the new line in the Contact field, click the “Create” button (plus symbol).
3. Select the object type to be created (for example, Contact Person or Organization) and click “Next”.
4. Edit the metadata of the addressee and click “Next”.

Start Process on Incoming

During recording a content, you can assign a category. A standard process can be defined in the category, which is started automatically depending on the configuration.

Unique Incoming Number

The system allocates a unique number for incomings. This incoming number is typically incorporated into the name of the incoming.

The name of the incoming is made up as follows:
<document number> - <subject> - <date>

Note: <subject> is the subject of the document and <date> is the document's generation date.

Register an Incoming

Incomings can be registered to Cases or Records, in other words, assigned to them.

To register an incoming, proceed as follows:

1. Navigate to the incoming to be registered.
2. Drag and drop the incoming on the desired person, organization, case or record. Alternatively, you can copy and paste the incoming in the corresponding list of the target object.
3. For persons or organizations, the incoming can be assigned to an existing or new record or case:
   • To assign the incoming to a record or a case, click the “Apply” button next to the corresponding entry.
   • To assign the incoming to a new record or case, click the “Create” button, select the object type to be created and click "Next". Enter the metadata of the created object and click “Next”.

Managing Outgoings

The content of an outgoing can be sent to the addressees defined in the outgoing.

Note: To generate personalized outgoing documents, Microsoft Office on the Fabasoft Folio Conversion Services is required.

Create an Outgoing

To create an outgoing following possibilities are available.

Using the “New” Action

To create an outgoing explicitly, proceed as follows:

1. Click the “New” action.
2. Select “Outgoing” and click “Next”.
3. Edit the metadata of the outgoing and click “Next”.

Note: In the Sender field (“Addressees” tab), the e-mail address has to be entered in the format “Arbitrary Name <email@example.com>".

Using Drag and Drop or Copy and Paste

If you store a content or file in a person, organization, case or record, you can implicitly create an outgoing that is registered in addition to the case or record.

To create an outgoing implicitly, proceed as follows:

1. Navigate to the content to be sent.
2. Drag and drop the content on the desired person, organization, case or record. Alternatively, you can copy and paste the content in the corresponding list of the target object.
3. For persons or organizations, the content can be assigned to an existing or new record or case:
   • To assign the content to a record or a case, click the “Apply” button next to the corresponding entry.
   • To assign the content to a new record or case, click the “Create” button, select the object type to be created and click "Next". Enter the metadata of the created object and click “Next”.
4. To use a template for the outgoing, click a category and then one of the templates assigned to the category.
   To not use a template for the outgoing, click the “Classes” button and then the “Outgoing” entry.
5. If necessary, edit the metadata of the outgoing and click “Next”.

Using Templates

Templates can be used both for implicitly and explicitly created outgoings. If a “Final Format” (for example, PDF) is specified for a template category of the relevant outgoing, the contents of the outgoing will be converted to this format in the course of sending. For this purpose, the third-party software products required to perform the conversion must be installed on the conversion server and ready for operation.

Unique Outgoing Number

The unique number of an outgoing has the following format:
<Case number>/<Consecutive number>

Define Mail Processing Type

A differentiation is made between the mail processing types “Bulk mailing” and “Serial mailing”.

• Bulk mail processing – personalized contents are not stored
  During dispatch/printing, the outgoing object is stored for every addressee in “Communication”. However, no sending verifications with personalized contents are generated.
  The dispatch types “E-Mail Dispatch (Background)” and “Mail Merge” are possible.
• Serial mail processing – personalized contents are stored
  During dispatch/printing, a sending verification is generated for every addressee and the respective sending verification is stored for every addressee in “Communication”.
  The dispatch type “E-Mail Dispatch (Interactive)” is possible.

To define the mail processing type of an outgoing, proceed as follows:

1. Navigate to the outgoing.
2. In the context menu of the outgoing, click “Properties”.
3. Switch to the “Addressees” tab.
4. In the Type of Dispatch field, select the desired mail processing type.
5. Click “Next”.

Select an Addressee for an Outgoing

To assign an existing addressee to an outgoing in the course of creating an outgoing, proceed as follows:

1. In the Addressee field, click the “Add Entry” button.
2. In the new line in the Contact field, click the “Find” button.
3. Select the object type you want to search for and click “Next”.
   Note: To search for all types of addressees, select the “Contact” entry.
4. Enter the search criteria and click “Search Now”.
5. Select the addressees you want to take over and click “Next”.

Note: In the Contact field, you can also perform a quick search.

To assign an existing addressee to an existing outgoing, open the properties of the outgoing and perform the specified steps on the “Addressees” tab.

Select an Addressee List for an Outgoing

In addition to (or instead of) individually listed addressees, an addressee list can also be assigned to an outgoing in the Addressee List field.

To select an Addressee List for an Outgoing, proceed as follows:

1. In the context menu of the outgoing, click “Properties”.
2. Switch to the “Addressees” tab.
3. In the Addressee List field, select an addressee list.
   • To perform a search, click the “Find” button.
   • To create an addressee list, click the “Create” button (plus symbol). Edit the metadata of the addressee list and click “Next”.
4. Click “Next”.

Note: The addressee lists are not re-generated in the course of the dispatch.

Define the Contents to be Sent for an Outgoing

Contents to be assigned to the outgoing should be inserted into (uploaded into) the Contents field. In principle, any content can be inserted. However, personalized mailings (in which metadata is inserted) can only be carried out based on the following file types:

• Microsoft Word (fields)

To define the contents to be sent for an outgoing, proceed as follows:

1. In the context menu of the outgoing, click “Properties”.
2. In the Contents field add the desired documents.
3. Click “Next”.

Send an Outgoing in the Background

An outgoing can be sent on the server side in the background. Personalized e-mails are generated for all addressees on the server side and sent without further user interaction. The main content and additional contents are personalized for each addressee, provided the respective content is static text, HTML or a Microsoft Word document. The main content is used as the e-mail body if it can be converted to HTML or plain text. For example, PDF documents or images are never personalized and are always sent as attachment. The subject of the outgoing is used as the subject of the e-mail.

Note: This dispatch type is available for outgoings with the mail processing type “E-Mail Dispatch (Background)”.

To send an outgoing in the background, proceed as follows:

1. Navigate to the outgoing you want to send.
2. In the context menu of the outgoing, click “E-Mail Dispatch (Background)”.

E-mails will be generated and sent automatically.

Test Dispatch of an Outgoing

An outgoing that should be sent in the background can be tested using the “E-Mail Test Dispatch” context menu command. In the course of the test send, e-mails will be generated and personalized for a defined number of recipients of the outgoing e-mail. However, these e-mails are sent to specially defined test recipients. In this way, the send result can be tested using just a few test recipients.

Note: “E-Mail Test Dispatch” is available for outgoings with the mail processing type “E-Mail Dispatch (Background)”.

To test send an outgoing, proceed as follows:

1. In the context menu of the outgoing, click “E-Mail Test Dispatch”.
2. Define the Settings for Test Dispatch:
   In the Recipients field, type e-mail addresses to which the test e-mails are to be sent.
   In the Limit field, enter how many e-mails are to be generated and personalized for test purposes. The data for personalizing the e-mails will be taken from the actual recipients; however, the e-mails will only be sent to the specified test recipients, not to the recipients defined in the outgoing.
3. Click “Next”.
4. Send progress and send statistics are displayed in a dialog window. Once the send has been completed, click “Next”.
5. Check the e-mails.

Create Personalized Fair Copies

Each personalized fair copy will be stored both for the outgoing on the “Transmission Log” tab in the Sending Verifications field and for the respective contact on the “Journal” tab in the Communication field. Fair copies are allocated the status “Not yet sent”.

To create personalized fair copies, proceed as follows:

1. Navigate to the outgoing for which fair copies are to be created.
2. In the context menu of the outgoing, click “Create Fair Copies”.

To send fair copies via Microsoft Outlook, proceed as follows:

1. Navigate to the outgoing that should be sent.
2. In the context menu of the outgoing, click “E-Mail Dispatch (Interactive)”.
   The e-mail is prefilled with the contents of the Message field of the outgoing and the contents of the outgoing are attached.

Send an Outgoing as Mail Merge

An outgoing can be sent as mail merge to several addressees. As using “E-Mail Dispatch (Background)”, the primary content and other convertible contents are personalized for all addressees and converted to the PDF format. The created PDF files are appended and saved in the Content for Mail Merge field in the outgoing.

Managing Cases

A Case contains documents (Incomings and Outgoings) with a limited time horizon (for example, a project or a campaign). A Case is therefore a folder of documents with the same context.

Create a New Case

To create a new Case, proceed as follows:

1. Click the “New” action.
2. Select “Case” and click “Next”.
3. Edit the metadata of the case and click “Next”.

Note:

• The Short Form is taken over from the Category.
• If a case is not (yet) registered, its unique number is generated as follows:
  <short form>/<year>/<consecutive number>
  If a case is registered for a record, its unique number is generated differently (the former unique number is added to the number history):
  <unique number of the record>/<consecutive number>
• The case name is generated as follows:
  <unique number of the case> - <subject>

Edit a Case

To edit a Case, proceed as follows:

1. In the context menu of the case, click “Properties”.
2. Edit the metadata of the case and click “Next”.

The following metadata is available:

• Name
  Shows the name of the case.
• Subject
  Defines the subject of the case.
• Number/Category/Year
  Shows the unique number, the category and the year of the case.
• Terms
  Defines Terms (keywords) of the case. Keywords can be used, for example, to find the case easier.
• Addressees
  Defines the addressees of the case.
• Record
  Defines the record to which the case is assigned.
  Note: If a case is registered to a Record, the name of the case will change.
• Person
  The case can be assigned to a person.
• Organization
  The case can be assigned to an organization.

Define Relationships Between Cases

Relationships between individual cases and relationships between cases and records can be established.

To create relationships between Cases, proceed as follows:

1. Copy the case that should be entered as reference in another case.
2. Navigate to the case in which the reference should be stored.
3. In the context menu of the case, click “Properties”.
4. Switch to the “Remarks” tab.
5. In the Add Attachments field, click the “Paste Shortcut” context menu command.
6. Click “Next”.

Re-register a Case

A Case already registered to a Record can be re-registered, i.e., assigned to a different Record. The name of the case will change with the new assignment, and the previous name noted in the case's number history.

To re-register a Case, proceed as follows:

1. Navigate to the case that should be re-registered.
2. In the context menu of the case, click “Cut”.
3. Navigate in the record the case should be registered to.
4. In the background context menu, click “Paste Shortcut”.

Note: Another way to re-register the case is to use the drag and drop feature.

Cancel a Case

The effects of cancelling a case are as follows:

• The workflow of the case will be interrupted; no more activities for this case will be displayed in the worklists of the respective users.
• The cancellation is passed on to the documents of the case.
• The business number remains allocated.

The procedure for cancelling a case is the same as for any other business object (“Set State to” > “Canceled” context menu command).

Revoke Cancellation of a Case

If the cancellation of a case is revoked, the workflow of the case will be resumed. This means that the activities are enabled again. The revocation of the cancellation is passed on to the documents of the case.

To revoke the cancellation of a case, the state must be set (“Set State to” > “In Progress” context menu command).

Close a Case

To close a Case, proceed the same as for any other business object (“Set State to” > “Closed” context menu command).

Version a Case

To version a Case, proceed as follows:

1. Select the record for which you want to save the current version.
2. In the „Versions” menu, click “Save Version”.
3. Enter a Description of Version to Be Saved and click “Next”.

Note: When a case is versioned, the documents assigned to it are not versioned.

Lend/Take Back a Case

To lend a Case, proceed as follows:

1. Navigate to the case you want to lend.
2. In the context menu of the case, click “Tools” > “Signatures” > “Lend”.
3. Enter your password.
4. In the Remark field type lending data (e.g. who lends, how long and why) and click “Next”.

To take back a Case, proceed as follows:

1. Navigate to the case you want to take back.
2. In the context menu of the case, click “Tools” > “Signatures” > “Take Back”.
3. Enter your password and click “Next”.

Note: The lending and taking back of a case is recorded on the “History” tab of the case.

Managing Records

A record comprises Cases and documents (Incomings and Outgoings) with a prolonged time horizon. A record is therefore a folder of documents and cases with the same context.

Create a New Record

To create a new Record, proceed as follows:

1. Click the “New” action.
2. Select “Record” and click “Next”.
3. Edit the metadata of the record and click “Next”.

Note:

• The Short Form is taken over from the Category.
• The unique number of the record is generated as follows:
  <short form>/<year>/<consecutive number>
• The name of the record is generated as follows:
  <unique number of the record> - <subject>

Edit a Record

To edit a Record, proceed as follows:

1. In the context menu of the record, click “Edit Properties”.
2. Edit the metadata of the record and click “Next”.

Following metadata is available:

• Name
  Shows the name of the record.
• Subject
  Defines the subject for the record.
• Number/Category/Year
  Shows the unique number, the category and the year of the record.
• Addressees
  Defines the addressees of the record.
• Person
  The record can be assigned to a person.
• Organization
  The record can be assigned to an organization.

Define Relationships Between Records and Other Business Objects

Records have a References field, in which other business objects can be stored. If a different Record or Case is entered under References, a cross reference is created. Similarly, this cross reference relationship will be removed if a Record or Case is removed from References.

To define relationships between Records and other business objects, proceed as follows:

1. Copy the business object that should be entered as reference in a record.
2. Navigate to the record in which the reference should be stored.
3. In the context menu of the record, click “Properties”.
4. Switch to the “Remarks” tab.
5. In the Add Attachments field, click the “Paste Shortcut” context menu command.
6. Click “Next”.

Note: The References field is used for storing informal business objects. These objects are not assigned exclusively to the record, do not change the document status, are not part of the permissions context and are not versioned together with the record.

Cancel a Record

The effects of cancelling a record are as follows:

• The workflow of the record will be interrupted; no more activities for this record are displayed in the worklists of the respective users.
• The cancellation is passed on to the documents or cases of the record.
• The business number remains allocated.

The procedure for cancelling a record is the same as for any other business object (“Set State to” > “Canceled” context menu command).

Revoke Cancellation of a Record

If the cancellation of a record is revoked, the workflow of the record will be resumed. This means that the activities are enabled again. The revocation of the cancellation is passed on to the documents or cases of the record.

To revoke the cancellation of a record, the status must be set (“Set State to” > “In Process” context menu command).

Close a Record

If a record is closed and there are cases in the record that are not yet closed, a corresponding message appears. If closing the record is resumed, an automatic attempt will be made to close all cases in the record. If this attempt fails in respect of one of the cases or the user cancels the process, the entire transaction will be cancelled.

To close a Record, proceed as for any other business object (“Set State to” > “Closed” context menu command).

Version a Record

To version a Record, proceed as follows:

1. Select the record for which you want to save the current version.
2. In the „Versions” menu, click “Save Version”.
3. Enter a Description of Version to Be Saved and click “Next”.

Lend/Take Back a Record

To lend a Record, proceed as follows:

1. Navigate to the record you want to lend.
2. In the context menu of the record, click “Tools” > “Signatures” > “Lend”.
3. Enter your password.
4. In the Remark field type lending data (e.g. who lends, how long and why) and click “Next”.

To take back a Record, proceed as follows:

1. Navigate to the record you want to take back.
2. In the context menu of the record, click “Tools” > “Signatures” > “Take Back”.
3. Enter your password and click “Next”.

Note: The lending and taking back of a record is recorded on the “History” tab of the record.

Structure a Record or Case

Records and Cases can be structured using folders. These folders can contain business objects or further folders.

Incoming Invoice

Incoming invoices can be stored in business objects.

To create an Incoming Invoice, proceed as follows:

1. Navigate in the business object.
2. In the background context menu, click “New”.
3. Select “Incoming Invoice” and click “Next”.
4. Edit the metadata of the incoming invoice (for example, Invoice Number and Creditor) and click “Next”.

Approval Process for Incoming Invoices

The following activities are delivered for the approval process for incoming invoices. These activities are only available with appropriate project-specific configuration.

• Formal Check of Invoice
• Send Invoice Back
• Book Invoice
• Approve Invoice
• Finalize Invoice

Delivery Note

Delivery notes can be stored in business objects.

To create a Delivery Note, proceed as follows:

1. Navigate in the business object.
2. In the background context menu, click “New”.
3. Select “Delivery Note” and click “Next”.
4. Edit the metadata of the delivery note (for example, Delivery Note ID and Date of Receipt) and click “Next”.

Contract

To create a new contract, proceed as follows:

1. Click the “New” action.
2. Select “Incoming Invoice” and click “Next”.
3. Edit the metadata of the contract and click “Next”.

Meta Data

The following meta data is available for contracts:

“Contract” tab

• Name
  In this field the name or title of the object is typed. This value is composed as follows:
  <Number> - <Short Description>
• Record
  In this field the Record is defined to which the contract is assigned.
• Short Description
  In this field notes, keywords and other statements about the contract can be typed.
  Note: The Short Descriptions becomes part of the object name.
• Number/Contract Type/Year
  In this field the number, the contract type and the year is displayed.
  Note: The contract type cannot be changed later.
• Own Organization
  In this field the own organization can be selected.
• Contracting Party
  In this field the contracting party has to be selected. Organizations, persons or employees can be selected.
• Object of Agreement
  In this field the object of agreement can be defined. The product and its version can be selected as well as the amount and the price per unit.
• Contract Value (Own Currency)
  In this field the contract value can be defined in the own currency.
• Contract Value
  In this field the contract value can be defined in a foreign currency.
• Date of Contract
  In this field the date, on which the contract has been signed, can be defined.
• Termination
  In this field the date, on which the contract has been canceled or the contract will expire, can be defined.
• Valid From
  This field contains the date, the object is valid from.
• Valid Until
  This field contains the date, the object is valid from.
• Contract Identifier
  This field contains the contract identifier.
• ERP Identification
  In this field the ERP Identification can be entered.
• Comment
  In this field a comment concerning the contract can be typed.
• Contact Persons
  In this field the contact persons of the contracting party can be defined. Only persons belonging to the contracting party can be selected.
• Terms
  In this field terms can be assigned to the contract as key words.
• Addressees
  In this field contacts (people and organizations) belonging to this contract can be defined including their contact data.

“Periods” tab

• Minimum Duration to
  Until this date, the contract has to run. This value is calculated automatically. This is the earliest cancelation date.
• Cancelation in Due Time Until
  In this field the date, on which the cancelation has to be made, to comply with the next cancelation appointed date, is defined.
  For example: If a contract should be terminated with September 30, 2009 and a cancelation period of three months has to be met, the cancelation has to be made on June, 30 2009. This value is newly calculated when changing the cancelation appointed date or the cancelation period.
• Cancelation Appointed Date
  In this field the date, to which the next cancelation can be made is defined.
  For example: An employment status can be canceled on the last day of a month. If you want to terminate in the middle of the month, you have to wait for the last day of the month (the cancelation appointed date).
• Automatic Prolongation
  The Cancelation Appointed Date is delayed about this period, if the date for the cancelation in due time or the appointed date of the cancelation is exceeded.
  For example: The Automatic Prolongation is two years. A contract ends on December, 31 2009. In case of a cancelation period of three months, a cancelation in due time has to be made until September, 30 2009. If this date has been passed over, the contract is extended until December, 31 2011 and the date for the cancelation in due time is automatically set to September, 30 2011.
• Cancelation Period
  In this field the period between the cancelation date and the termination of the contract can be defined.

Legal Hold

A legal hold can be defined for all objects of a user that must be retained, for example, in the course of legal proceedings.

Objects with a defined legal hold cannot be deleted until the legal hold has been removed.

Creating a Legal Hold

Legal holds can only be created by specially authorized users.

To create a legal hold, proceed as follows:

1. Click the “New” action.
2. Select “Legal Hold” and click “Next”.
3. Enter a name for the legal hold.
4. In the "Objects for Legal Hold" field, specify the objects to be put on legal hold.
   Note: The legal hold only becomes active when you execute the “Apply Legal Hold” context menu command.
5. The "Objects Changed After" and "Objects Changed Before" fields allow you to restrict the legal hold to objects that have been changed within the specified period.
6. Click "Next".

Applying a Legal Hold

To apply a legal hold, proceed as follows:

1. Navigate to the legal hold that should be applied.
2. In the context menu of the legal hold click “Tools” > "Apply Legal Hold".

The legal hold will be propagated to the contained objects based on the propagation settings defined in the Configuration for Legal Hold.

Objects that could not be put on legal hold due to an error (e.g. because of locking issues) will be displayed on the "Pending Objects" tab of the legal hold. The “Tools” > "Roll Forward" context menu command can be used to retry applying the legal hold to these objects.

Once an object is put on legal hold, it cannot be deleted anymore.

Active legal holds of an object are displayed on the "Retention" tab, in the Legal Holds field.

Removing a Legal Hold

Only a "Compliance Manager" is allowed to remove legal holds.

1. Navigate to the legal hold that should be removed.
2. In the context menu of the legal hold click “Tools” > "Remove Legal Hold".

The legal hold will be removed from all objects it was applied to. The objects defined in the "Objects for Legal Hold" field are not taken into account.

If the legal hold could not be removed from an object due to an error (e.g. because of locking issues), the object will be displayed on the “Pending Objects” tab. The “Tools” > "Roll Forward" context menu command can be used to retry removing the legal hold from these objects.