1.1. Introduction to Compliance Training
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1.2. Upfront Decision Making
You should have received the Compliance Punch List prior to your training session. This Punch list provides you with the opportunity to determine which documents you would like to write to the non-rewritable media. For your reference, here is a link to this particular Punch List: Compliance Punch List
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2.1. Create a Compliance Search Template
Our first step is to create search templates so that you are able to quickly and easily find the documents. To do this, we will create a Find Template.
Open a search card
Fill in the criteria you wish to use in the template
Select Options -> Save Template
The "Save Find Template" window will open
Complete this information as follows:
- Name of Find Template = Compliance Search
- On Selection = Show Template
- Save Template for = Everyone
Select "Save"
IMPORTANT:Â When prompted to "Save Find Template" ensure that you select the "Save as new public template" radio button.
Select "OK"
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2.2. Create a Bookmark referencing the Compliance Template
In order to make the "Compliance Search Template" easily accessible we will create a button bar button referencing the Compliance Search Template.
Right click in the Bookmark area and choose "Create"
In the "Bookmarks > Create" window, select "Search"
Select OK.
In the New Bookmark: Search window, find the "Compliance Search" template
and double click.
Complete the Bookmarks > Create window as follows:
On Selection = Show Template
Bookmark Name = Compliance Search
Check the "Pin to Button Bar" check box
Save Bookmark for: "Everyone"
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2.3. Create a Compliance Header Template
Next, we will create a column header template including all the pertinent information about the documents and associate this bookmark with the Compliance Search Button.
Adjust the columns so that the following are showing:
Right click in the column header area and choose "Save Column Template"
In the Save Column Template window select the "Associate with this type of list: Find Template: Compliance Search Radio button
Select "Everyone"
Select "OK"
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3.1. Perform Compliance Search
Now we are ready to perform the necessary searches that you will use on a monthly basis to burn your documents to Write Once Read Many (WORM) media.
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Select the Compliance search button
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Update the "Date Modified" to include the date range since the last time the archive operation was performed
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Select "Search"
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3.2. Send Documents to Compliance Archive Folder
Now you are ready to send the documents to folder on your local workstation so they can be written to the media.
In the search results window, type Ctrl+A to select all documents in the list
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Right-click on any file in the search results screen and select Send To > Compliance Archive
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Note the number of files checked as indicated In the Worldox – Clarify Selection window
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Select "Continue"
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Worldox will place a copy of the selected documents into the C:\TEMP\ARCHIVE folder
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When finished, select OK
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IMPORTANT:Â If you have more than one compliance search, remember to repeat this step for each compliance search (e.g., Compliance 1, Compliance 2, etc.).
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3.3. Export an Index List for Compliance Archive Files
Next, we will export an index of your files so that you can be certain which files pertain to which clients during an audit situation.
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From the main menu, select List > Print
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Change the "Save In" folder to C:\temp\archive
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Type in the filename "Compliance Report for MM-DD-YY to MM-DD-YY" and select "Save"
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Select "Explore Target Folder" and click "OK."Â This will open the Archive folder in Windows Explorer
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Locate and open the index file you just created to ensure the report is correct
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TIP: From the main menu of Excel, select Format > Columns > AutoFit Selection to resize the columns to fit the data.
Save and close the file
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3.4. Create an Encrypted Zip File
Now we are ready to burn the files from your C:\Temp\Archive folder to CD / DVD
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Select all files (Ctrl+A) in the C:\Temp\Archive folder, including the Index file
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Right-click and select WinZip > Add to Zip file...
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Enter the name of the archive file "Compliance Report xx-xx-xx" where the X's are replaced with the dates you are working with
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Check the box to "Encrypt added files"
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Click the "Add" button
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A message may appear regarding various encryption methods available. Click "OK" to the message
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Enter, and re-enter the password
Select "256 Bit Encryption"
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IMPORTANT: It is critical that you use the password that your firm has agreed to for archiving compliance documents.
Click "OK" to add the files to the new zip file and close WinZip
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The Zip file is now ready to burn to a CD/DVD
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4.1. Burn the Zip File to CD/DVD
Confirm the CD/DVD is not rewritable so it will be read-only when done
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In Windows Explorer, navigate to C:\Temp\Archive
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Insert a blank CD/DVD into the burner drive
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Right click on the Zip file, Send To->CD Drive
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Open My Computer. Right-click on the CD/DVD drive and select "Write these files to CD"
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Follow the on-screen instructions to burn the CD/DVD
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Name the CD/DVD "Compliance Report xx-xx-xx" where the x's are replaced with the dates you are working with
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4.2. Update Compliance Log
Update your compliance log to indicate that you performed this activity
We recommend you include the following information:
- Date range of records stored
- Name of person who recorded media
- Location of on-site media
- Location of off-site media
Be sure your firm captures the password and any password changes
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4.3. Verify the Zip Contents on the CD/DVD
Insert the CD/DVD
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Double click on the zip file (it should open in WinZip)
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In WinZip, click Action > Test
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Type in the password, then click "OK"
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IMPORTANT:  If you are not prompted for a password at this point, the data on the CD/DVD is not encrypted. If this happens, you should destroy the CD/DVD and repeat this entire procedure, taking care to specify encryption when you create the Zip file.
A 'View Last Output' dialog will appear. Confirm that no errors are detected
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Why? Trumpet recommends that you keep on CD/DVD on site, and a second off site in a fire proof safe
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4.4. Label & Store CD/DVDs
Using a fine-tip Sharpie style marker, label the CD/DVD with the following text:
Compliance Archive YYYYMMDD - YYYYMMDD
Store one copy of the CD/DVD on-site and the other off-site
Tip: Do not place a label on CD's
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