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Using IBM Enterprise Records

Book Description

Records management helps users address evolving governance mandates to meet regulatory, legal, and fiduciary requirements. Proactive adherence to information retention policies and procedures is a critical facet of any compliance strategy. IBM® Enterprise Records helps organizations enforce centralized policy management for file plans, retention schedules, legal preservation holds, and auditing. IBM Enterprise Records enables your organization to securely capture, declare, classify, store, and dispose of electronic and physical records.

In this IBM Redbooks® publication, we introduce the records management concept and provide an overview of IBM Enterprise Records. We address records management topics, including the retention schedule, file plan, records ingestion and declaration, records disposition, records hold, and Enterprise Records application programming interfaces (APIs). We also use a case study to describe step-by-step instructions to implement a sample records management solution using Enterprise Records. We provide concrete examples of how to perform tasks, such as file plan creation, records ingestion and declaration, records disposition, and records hold.

This book helps you to understand the records management concept, the IBM Enterprise Records features and capabilities, and its use.

Table of Contents

  1. Front cover
  2. Notices
    1. Trademarks
  3. IBM Redbooks promotions
  4. Preface
    1. Authors
    2. Now you can become a published author, too
    3. Comments welcome
    4. Stay connected to IBM Redbooks
  5. Summary of changes
    1. May 2015, Second Edition
  6. Part 1 Concept
  7. Chapter 1. Records management
    1. 1.1 What constitutes a record
    2. 1.2 What records management involves
    3. 1.3 The business challenge: Information lifecycle governance
    4. 1.4 The importance of records management
    5. 1.5 Legal, regulations, compliance, and investigations
      1. 1.5.1 Addressing regulatory requirements
      2. 1.5.2 Investigations
    6. 1.6 Planning an information lifecycle governance program
      1. 1.6.1 Obtaining corporate sponsorship and stakeholder buy-in
    7. 1.7 Records management maturity model
      1. 1.7.1 Using an objective records management maturity model
    8. 1.8 Organizational readiness
    9. 1.9 Records management system technical standards and guidelines
    10. 1.10 Role of IBM Enterprise Records within the IBM Information Lifecycle Governance portfolio
      1. 1.10.1 Policy management relationship to IBM Enterprise Records
      2. 1.10.2 Syndicating global retention and schedule management policies to Enterprise Records
  8. Chapter 2. IBM Enterprise Records system and architecture
    1. 2.1 Overview of IBM Enterprise Records
      1. 2.1.1 Key business benefits of IBM Enterprise Records
      2. 2.1.2 Software highlights and capabilities
      3. 2.1.3 Working with IBM Enterprise Records
    2. 2.2 System architecture
      1. 2.2.1 Enterprise Records for IBM Content Foundation
      2. 2.2.2 Relationship between content and records
    3. 2.3 Data model, workflow, and security
      1. 2.3.1 IBM Enterprise Records data model
      2. 2.3.2 IBM Enterprise Records workflows
      3. 2.3.3 IBM Enterprise Records security and roles
    4. 2.4 Logging
    5. 2.5 User and administrative applications
      1. 2.5.1 IBM Content Navigator
      2. 2.5.2 IBM Enterprise Records interface
      3. 2.5.3 Disposition process
      4. 2.5.4 Hold process
      5. 2.5.5 IBM Administration Console for Content Engine
      6. 2.5.6 File Plan Import Export Tool
    6. 2.6 APIs and the Component Integrator
      1. 2.6.1 IBM Enterprise Records and Bulk Declaration Services
      2. 2.6.2 IBM Enterprise Records Component Integrator
    7. 2.7 Reporting
    8. 2.8 References
  9. Chapter 3. Retention and file plans
    1. 3.1 Retention schedule
    2. 3.2 Retention schedule planning and creation
      1. 3.2.1 Develop a records management policy
      2. 3.2.2 Specify records management procedures
      3. 3.2.3 Record and update regulatory requirements
      4. 3.2.4 Conduct a records inventory
      5. 3.2.5 Define records series
      6. 3.2.6 Create a regulatory matrix
      7. 3.2.7 Creating the retention schedule
    3. 3.3 File plan
    4. 3.4 File plan planning and creation
    5. 3.5 File plan in IBM Enterprise Records
      1. 3.5.1 File plan elements
      2. 3.5.2 Attributes of containers and records
    6. 3.6 Case study: File plans in IBM Enterprise Records
  10. Chapter 4. Security
    1. 4.1 Security model overview
    2. 4.2 Records management roles and security
      1. 4.2.1 Four standard roles
      2. 4.2.2 Roles and access levels
      3. 4.2.3 Mapping roles to security groups
    3. 4.3 Determining the security model
      1. 4.3.1 Security proxy types
      2. 4.3.2 Containers as security parents
      3. 4.3.3 Controlling security by full proxy
      4. 4.3.4 Relating file plan structure to access control
      5. 4.3.5 Access control that differs from the file plan structure
    4. 4.4 Individual record security
      1. 4.4.1 Marking sets
      2. 4.4.2 Direct security
      3. 4.4.3 Comparing approaches
    5. 4.5 Security and record holds
    6. 4.6 Limiting functional access
      1. 4.6.1 Limiting access to a desktop
      2. 4.6.2 Limiting access to features
      3. 4.6.3 Limiting access to specific functions within a view
    7. 4.7 Separating records into multiple repositories
  11. Chapter 5. Records capture, creation, and retrieval
    1. 5.1 Why automation is the goal
      1. 5.1.1 Successfully automating record creation and capture
      2. 5.1.2 The complexities of manual record creation and capture
      3. 5.1.3 Overview of content ingestion and declaration
    2. 5.2 Record capture
      1. 5.2.1 Document and record classes
      2. 5.2.2 Manual declaration
    3. 5.3 Manual record creation and capture
      1. 5.3.1 Document entry templates
      2. 5.3.2 Record entry templates
      3. 5.3.3 Record classification considerations
      4. 5.3.4 Primary mechanism for manual ingestion and declaration
      5. 5.3.5 Working with document versions
    4. 5.4 Performance considerations
  12. Chapter 6. Records disposition and basic schedules
    1. 6.1 Introduction to records disposition
      1. 6.1.1 Importance of records disposition
    2. 6.2 Implementing records disposition policies
      1. 6.2.1 Basic disposition
      2. 6.2.2 Advanced disposition
      3. 6.2.3 Scheduling and monitoring disposition sweeps
      4. 6.2.4 Completing the disposition process
    3. 6.3 Basic disposition schedules
      1. 6.3.1 Characteristics of basic disposition schedules
      2. 6.3.2 Creating a basic disposition schedule
      3. 6.3.3 Converting a record category to a basic schedule
      4. 6.3.4 Basic disposition sweep and processing
      5. 6.3.5 Example use cases for basic disposition sweep
      6. 6.3.6 Controlling how records are grouped for disposition
  13. Chapter 7. Advanced disposition
    1. 7.1 Advanced disposition schedules
      1. 7.1.1 Disposition schedule
      2. 7.1.2 Disposal triggers
      3. 7.1.3 Cutoff
      4. 7.1.4 Disposition phases and actions
      5. 7.1.5 Disposition workflows
      6. 7.1.6 Alternate retention
      7. 7.1.7 Assigning disposition schedules to the file plan
      8. 7.1.8 Record types
    2. 7.2 Advanced disposition sweep
      1. 7.2.1 Advanced disposition sweep for disposition processing
      2. 7.2.2 Setting an advanced disposition sweep to run from the desktop
      3. 7.2.3 Running an advanced disposition sweep from the desktop
    3. 7.3 Initiating and completing disposition
      1. 7.3.1 Initiating disposition manually
      2. 7.3.2 Initiating a disposition by scheduling a sweep
      3. 7.3.3 Strategies for initiating disposition
      4. 7.3.4 Disposition processing in batches
      5. 7.3.5 Completing the disposition process
    4. 7.4 Automatic destruction using Auto Destroy
      1. 7.4.1 When to use Auto Destroy
      2. 7.4.2 Running Auto Destroy from the desktop
    5. 7.5 Running a sweep from the command line
      1. 7.5.1 Configuring an advanced disposition sweep
      2. 7.5.2 Deployment and scheduling considerations
    6. 7.6 Performance considerations
    7. 7.7 Converting advanced schedules to basic schedules
  14. Chapter 8. Holds and preservation
    1. 8.1 Definition of hold
    2. 8.2 Hold processing in IBM Enterprise Records
      1. 8.2.1 Audit and legal holds
      2. 8.2.2 Manual holds
      3. 8.2.3 Dynamic holds
      4. 8.2.4 Multiple holds
      5. 8.2.5 Applying holds
      6. 8.2.6 Removing holds
      7. 8.2.7 Running Hold Sweep
      8. 8.2.8 Inheritance of holds
      9. 8.2.9 Disposal trigger aggregation level effect on holds in advanced dispositions
    3. 8.3 Performance considerations
  15. Chapter 9. Audit requirements
    1. 9.1 Introduction to audits
      1. 9.1.1 Compliance audits
      2. 9.1.2 Evidential weight
    2. 9.2 Audits of an IBM Enterprise Records system
    3. 9.3 Accessing the audit log
      1. 9.3.1 Accessing audit information from IBM Enterprise Records
      2. 9.3.2 Accessing audit information with the Content Platform Engine
    4. 9.4 Reporting by using the audit data
    5. 9.5 Pruning the audit log
  16. Chapter 10. Reporting
    1. 10.1 Reporting capabilities and considerations
    2. 10.2 Running IBM Cognos reports
      1. 10.2.1 Configuration
      2. 10.2.2 Predefined reports
      3. 10.2.3 Running reports from IBM Cognos
      4. 10.2.4 Adding a new Cognos report
    3. 10.3 Running reports from Crystal Reports
      1. 10.3.1 Configuration
      2. 10.3.2 Predefined reports
  17. Chapter 11. Physical records
    1. 11.1 Overview of physical records management
    2. 11.2 Enterprise Records physical records capabilities
      1. 11.2.1 Containers: Boxes
      2. 11.2.2 Containers: Physical and hybrid folders and folder volumes
      3. 11.2.3 Bar codes
      4. 11.2.4 Searching
      5. 11.2.5 Reporting
      6. 11.2.6 Auditing
    3. 11.3 Tracking physical records
      1. 11.3.1 Workflow subscriptions for physical records management
      2. 11.3.2 Accessing physical records
      3. 11.3.3 Locations, reservations, and charge outs
  18. Chapter 12. IBM Enterprise Records Java APIs
    1. 12.1 Introduction to IBM Enterprise Records APIs
    2. 12.2 Java API for Records Manager
    3. 12.3 Records Manager API
    4. 12.4 Bulk Declaration Service
    5. 12.5 Performance considerations
  19. Chapter 13. IBM Enterprise Records for IBM Content Manager
    1. 13.1 Presentation
    2. 13.2 Architecture
    3. 13.3 Difference with Content Federation Services
    4. 13.4 Java for Records Manager
  20. Part 2 Implementation case studies
  21. Chapter 14. File plan case study
    1. 14.1 Types of object stores
      1. 14.1.1 File plan object store
      2. 14.1.2 Record-enabled object store
    2. 14.2 File plan case study introduction
    3. 14.3 Creating a file plan in IBM Enterprise Records
      1. 14.3.1 Create a new file plan
      2. 14.3.2 Browse the file plan
      3. 14.3.3 Populate the file plan
  22. Chapter 15. Basic disposition case study
    1. 15.1 Create a new record category with a basic disposition schedule
    2. 15.2 Schedule a basic disposition sweep for report only
      1. 15.2.1 Schedule the sweep
      2. 15.2.2 View the sweep results
    3. 15.3 Schedule a basic disposition sweep for immediate destruction
      1. 15.3.1 Schedule the sweep
      2. 15.3.2 View the sweep results
      3. 15.3.3 Verify the destroy results
    4. 15.4 Schedule a basic disposition sweep for approval before destruction
      1. 15.4.1 Schedule the sweep
      2. 15.4.2 View the sweep results
      3. 15.4.3 Approve the records for destruction
      4. 15.4.4 Verify the destroy results
  23. Chapter 16. Advanced disposition case study
    1. 16.1 Configure advanced disposition for approval before destruction
      1. 16.1.1 Add a Destroy action
      2. 16.1.2 Add an internal event trigger
      3. 16.1.3 Add an advanced disposition schedule
      4. 16.1.4 Assign a disposition schedule to a record category
    2. 16.2 Schedule and complete advanced disposition
      1. 16.2.1 Schedule the advanced disposition sweep
      2. 16.2.2 Monitor and verify the sweep results
      3. 16.2.3 Initiate disposition by running a sweep
      4. 16.2.4 Complete the Destroy workflow process
    3. 16.3 Configure advanced disposition for automatic destruction
      1. 16.3.1 Add the Auto Destroy action
      2. 16.3.2 Add the internal event trigger
      3. 16.3.3 Assign the disposition schedule to the record category
      4. 16.3.4 Assign the schedule to the correct record category
    4. 16.4 Schedule and complete advanced disposition for Auto Destroy
      1. 16.4.1 Schedule the advanced disposition sweep
      2. 16.4.2 Schedule Auto Destroy
    5. 16.5 Convert a record category to a basic schedule
      1. 16.5.1 Identify an eligible record category
      2. 16.5.2 Schedule the container conversion
  24. Chapter 17. Records hold case study
    1. 17.1 Case study hold scenarios
    2. 17.2 Creating a hold
    3. 17.3 Manually placing and removing holds
      1. 17.3.1 Manually placing an entity on hold
      2. 17.3.2 Removing a hold
    4. 17.4 Dynamic holds and Hold Sweep
      1. 17.4.1 Launching Hold Sweep as a batch process
      2. 17.4.2 Launching Hold Sweep with Content Navigator Task Manager
      3. 17.4.3 Hold status changes
      4. 17.4.4 Verifying the records that are placed on hold
      5. 17.4.5 Removing dynamic holds using Hold Sweep
  25. Chapter 18. IBM Java API for Records Manager case study
    1. 18.1 Description of the use cases
      1. 18.1.1 Content Engine class and properties setup
      2. 18.1.2 Use Case 1 walk-through
      3. 18.1.3 Use Case 2 walk-through
    2. 18.2 Record populating batch sample code
    3. 18.3 Event handler for record maintenance sample code
      1. 18.3.1 Update the existing AutoSyncProperties.java file
  26. Related publications
    1. IBM Redbooks
    2. Online resources
    3. Help from IBM
  27. Back cover