In this chapter, we describe enabling records management for an IBM Content Manager OnDemand (Content Manager OnDemand) solution. By default, report and document expiration are controlled by the storage managers that are integrated with Content Manager OnDemand. By using the storage managers, you can assign a retention period at data capture time. IBM Enterprise Records enhances retention capabilities with the flexibility to assign event-based retention and make a report or document an official compliant record to meet numerous government regulations.

In this chapter, we cover the following topics:

IBM FileNet Content Federation Services enables organizations to access content from numerous heterogeneous repositories anywhere in the enterprise and federate this information to provide a single enterprise source for critical business content. Content Federation Services for Content Manager OnDemand specifically enables enterprises to perform federation, search, retrieve, and records management functions across Content Manager OnDemand repositories.

IBM Enterprise Records positions your business to provide legally compliant records that meet government regulations at the time of inquiry that follow your corporate record policy file plan.

Content Manager OnDemand handles a high volume of document ingestion to the system, typically of a static nature, such as credit card or bank statements. Each document ingestion might contain thousands of individual documents or pages. Content Manager OnDemand offers a retention feature that allows you to set the document retention for a fixed period at the document ingestion time, for example, an investment company that applies a simple retention policy of eight years on all of their customer statements.

Content Manager OnDemand does not apply an event-based retention policy that is based on, for example, the date that the customer closed an account. In this scenario, the clock does not begin the eight-year period until the customer closes the account. By enabling records federation services by using Content Federation Services for Content Manager OnDemand, you can manage Content Manager OnDemand content in a manner that is consistent with your organization's records retention policies.

When federated and declared as a record in Enterprise Records, Content Manager OnDemand content can be tied to dynamic retention policies, such as account closure, policy termination, contract execution, or any other event. In these circumstances, records federation services can allow your organization to retain content for a certain amount of time starting on the date of the event. Companies must take into account special design considerations to correctly manage a large collection of data when the company deals with various regulatory policies and litigation.

When it comes time to expire data, with federated and declared content using Content Federation Services for Content Manager OnDemand, Content Manager OnDemand can delete the original load (which contained multiple documents) and at the same time reingest those documents that must be retained.

When you use Enhanced Retention Management, you enable the holding documents immediately and prevent expiration. Although this is a powerful feature, it does not position your business to make a Content Manager OnDemand captured report or document a compliant record to meet government regulations. You must enable the feature that meets your business requirements:

There might be a situation where you have both features enabled because of the many different line of business requirements.

Configure Content Manager OnDemand for content federation enables you to declare records by using Enterprise Records. You must disable expiration processes by the storage manager so that it cannot expire data. You must also convert application groups with an expiration type of DOCUMENT, SEGMENT, or STORAGE MANAGER to an expiration type of LOAD.

All the steps in this section assume that IBM FileNet P8 and FileNet Content Federation Services are installed correctly.

In this section, we describe the components in Content Manager OnDemand to enable the federation capabilities to allow for record declaration in Enterprise Records. We assume that you are familiar with Content Manager OnDemand administration, so detailed steps are not provided in this chapter.

For more information about the installation and configuration of FileNet P8 and FileNet Content Federation Services, see Federated Content Management: Accessing Content from Disparate Repositories with IBM Content Federation Services and IBM Content Integrator, SG24-7742.

To use IBM FileNet P8 Content Federation Services for Content Manager OnDemand, you must enable the feature in Content Manager OnDemand. This can be done by modifying the ars.cfg file and adding the following line:

In Content Manager OnDemand for Windows, you can enable IBM FileNet P8 Content Federation Services for Content Manager OnDemand by using the Content Manager OnDemand Administrator Client, as shown in Figure 17-1.

Disabling this configuration setting has no effect on any existing documents that were placed on hold by Enterprise Records. Documents continue to be held until Content Manager OnDemand is notified by Enterprise Records that the documents should be deleted.

For each application group, specify whether you want to enable FileNet P8 Content Federation Services for Content Manager OnDemand by using the Content Manager OnDemand Administrator Client, as shown in Figure 17-2.

When you create an application group, the default for Use Content Federation Services (CFS CMOD)? is No. By selecting Yes for the Use Content Federation Services (CFS-CMOD) option, you also have the option of defining whether you want to federate documents automatically and whether to enable Enterprise Records (previously known as IBM FileNet Records Manager) automatically.

Selecting Federate documents automatically means that when data is loaded into Content Manager OnDemand, the metadata also is sent to Content Federation Services for Content Manager OnDemand to be made available to FileNet P8.

The Enable FileNet Records Manager to records declare automatically option is used as a performance option. Setting this flag means that Content Manager OnDemand assumes that Enterprise Records now have control over expiration processing. Not setting this option means that every time a document is put under Enterprise Records control, FileNet P8 then notifies Content Manager OnDemand to lock down the document. This could result in many requests coming to Content Manager OnDemand. By choosing to do this task automatically, Content Manager OnDemand can avoid this impact.

When using FileNet P8 Content Federation Services for Content Manager OnDemand, you must also define an application group field, as shown in Figure 17-3 on page 453. This setting is used to maintain the Content Federation Services for Content Manager OnDemand status of individual documents.

The CFS-CMOD field is used to maintain the status of Content Federation Services for Content Manager OnDemand. If the document is not given to Content Federation Services for Content Manager OnDemand, the value is zero. If the value is negative, then the document is eligible for deletion. Otherwise, the flag is logically OR’d with the following values:

To federate a document, you must have the appropriate permission to do so. A new permission of type CFS-CMOD now exists under the permissions for documents in the application group permissions, as shown in Figure 17-4.

There are two steps to federate Content Manager OnDemand documents
to FileNet P8:

For more information about this task, see section 4.5.4, “Configure and run the CFSOD exporter utility”, in Federated Content Management: Accessing Content from Disparate Repositories with IBM Content Federation Services and IBM Content Integrator, SG24-7742.

If the option to automatically federate is not set, data can still be federated by using the Windows client, ODWEK Java APIs, or ARSDOC. Figure 17-5 shows where you can select an option to federate selected metadata to FileNet P8.

Content Federation Services is based on the federation implementation strategy for managing distributed content. The distinguishing feature of this strategy is the global catalog. The global catalog is a searchable database that contains information about content that is stored in various repositories and repository types in separate locations throughout the enterprise that are identified for federation. Enabling Content Federation Services for Content Manager OnDemand does not change the architectural design of Content Manager OnDemand. Content Federation Services for Content Manager OnDemand is a mid-tier process that enhances your ability to manage content more efficiently.

Figure 17-6 shows the high-level access path to declare records from Content Manager OnDemand, Content Navigator, and Content Manager
OnDemand Clients.

Understanding the difference between Enhanced Retention Management and IBM Enterprise Records is critical to choosing the correct solution:

When using Enhanced Retention Management or Enterprise Records, Content Manager OnDemand must be in complete control of expiration processing. Therefore, if you are using IBM Tivoli Storage Manager or OAM, you must disable the ability for either of these storage managers to expire data. Also, it is possible to use only Enhanced Retention Management and FileNet P8 Content Federation Services for Content Manager OnDemand against application groups that have an expiration type of LOAD. For those application groups that have expiration types of DOCUMENT, SEGMENT, or STORAGE MANAGER, utilities convert such application groups to LOAD. We recommend that you engage IBM Lab Services to provide these services.

A new parameter was added to the arsmaint -d and arsadmin unload commands. This parameter, -D <pct_max>, tells the Content Manager OnDemand expiration process at what percentage threshold that the reloading of documents happens. For example, a value of 0 (the default) means that if any documents are being held by either Enhanced Retention Management or IBM Enterprise Records, reloading never occurs. If all the documents in a load are being held, then it makes no sense for Content Manager OnDemand to reload the data, so reloading never occurs. However, if the percentage of documents in the load being held is less than the -D <pct_max> value, then Content Manager OnDemand reloads the data, reapplies any existing holds, and deletes the original load.

In cases where both Enhanced Retention Management and IBM Enterprise Records is being used, a document is not deleted until both IBM Enterprise Records has notified Content Manager OnDemand that it should delete the document and all Content Manager OnDemand holds are removed from the document. With Content Manager OnDemand and FileNet P8 Content Federation Services for Content Manager OnDemand, you cannot update any metadata fields (for example, application group fields), and you cannot load documents that might have identical metadata. This is highly unusually given that most documents either have a date or some other uniquely distinguishing value to identify them. When reloading occurs, a configuration option exists that tells Content Manager OnDemand whether to preserve any existing annotations. Keeping existing annotations does incur additional processing impact in the reload process. The option to control annotations is in the ars.cfg file:

There are various options regarding managing content to meet business challenges. Architectural design is critical in supporting an enterprise vision for content. We recommend consulting with your local IBM Enterprise Content Management architects to implement the solution that meets your needs.