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