Records hold case study
In Chapter 8, “Holds and preservation” on page 213, we described the concept of records hold. In this chapter, we show you the steps required to perform hold-related activities.
We cover the following topics:
17.1 Case study hold scenarios
this case study is based on the loan department of the fictional BNK100 bank. Figure 17-1illustrates the part of the file plan that shows categories that are related to the case study for this book.
Figure 17-1 Partial file plan showing categories related to the case study for this book
Depending on litigation or business practices, your company might be asked to put specific records on hold. For this case study, we created scenarios for when records might be put on hold:
•Lawsuit about loan 1234
There are disputes associated with particular loan cases. The company is required to put all records associated with a certain loan number on hold.
Case study hold condition: Loan Number = 1234
•Investigation of financial practices
Users might want to browse through the company’s file plan or search it and manually put several of the records on hold.
Case study hold condition: None, because there is no predefined condition associated with this type of hold.
17.2 Creating a hold
In this section, we show you how to create a hold, using the scenario described in the previous section, the lawsuit about loan 1234. The company is required to put all records related to that loan on hold. The case study hold condition is Loan Number = 1234.
The hold is uses two condition criteria:
•KeyValueDescription = Loan Number
•KeyValue = 1234
 
Note: Always carefully consider the criteria that you use for dynamic holds so that there is no large number of entities being placed on hold unintentionally.
To create a hold, follow these steps:
1. Launch IBM Enterprise Records web application. Log in as a Records Manager or Records Administrator.
2. Select the Open Configuration View icon, and Hold from the drop-down menu (Figure 17-2).
Figure 17-2 Hold configuration view
d. Click Add Hold.
3. Set the hold properties:
 – Enter a name for the hold.
For this case study, we enter Lawsuit On Loan 1234.
 – Specify a reason for adding this hold.
For this case study, we enter RdBook case study.
 – Select the type of hold.
For this case study, we select Litigation from the drop-down menu.
 – From the Active drop-down menu, select True.
Selecting True enables the hold to be active immediately. Otherwise, the hold that you create is inactive and is not used by Hold Sweep during calculation.
4. Expand Condition to proceed to set the hold conditions.
Alternatively, you can click Add (or Cancel). If you finish without setting any conditions, this hold can be placed only manually. Hold Sweep will ignore it.
5. Set the hold conditions.
You can set conditions for records, categories, record folders, or volumes. In each case, you specify one or more properties, an operator, a value, and a join type to specify the relationships between multiple properties. For records, you can also specify a content search. If you set conditions and the hold is active, running a Hold Sweep will automatically put the entities that meet the criteria on hold.
To set the condition:
a. Because we are putting records on hold in this case study, select the Record tab (it is selected by default).
b. Set the first condition by selecting the KeyValueDescription property, the operator Equals, and the value Loan Number.
c. Click Add Property to add a new line condition.
d. Set the second condition by selecting the property KeyValue, the operator Equals and the value 1234.
e. Select All of the properties to create the condition with an AND operator. This ensures that only the records that match both criteria simultaneously are returned. Selecting Any of the properties would return any record for which the KeyValueDescription is about a Loan Number but not a particular one and all records with a KeyValue of 1234, even though they are not related to a loan.
6. Verify that the query returns the expected records by clicking Preview.
This selection returns all records related to the loan number 1234, as shown in Figure 17-3 on page 367.
Figure 17-3 Create the dynamic hold to put all records related to loan 1234 on hold
7. Click Add to save the new hold.
The Holds list now shows the newly added hold, as show in Figure 17-4 on page 368.
Figure 17-4 Lawsuit on loan 1234: Created
Because the hold was set with conditions, it qualifies as dynamic hold. The Sweep State of this hold is Active Hold Sweep: Pending, which means that Hold Sweep has not been run yet.
17.3 Manually placing and removing holds
You can manually put entities on hold and manually remove them.
To place entities on hold automatically, or dynamically, use Hold Sweep. See 17.4, “Dynamic holds and Hold Sweep” on page 373.
17.3.1 Manually placing an entity on hold
To manually place a hold, follow these steps:
1. From the Enterprise Records web application, navigate to the entities that you want to manually place on hold.
For this case study, we created several loan documents by navigating to SampleFP1 → BNK - Banking → BNK100 - Loans category (Figure 17-5).
Figure 17-5 Navigating to the list of loans documents
2. Select one or more records that you want to put on hold, right-click, and select the Place on Hold action from the pop-up menu, as shown in Figure 17-6.
Figure 17-6 Selecting two entities to be placed on hold
3. Next, in the Place Entities on Holds page, from the list of available holds, select one or more holds that you want to place on the entities, and then click Place on Hold.
For this case study, we select Investigation of Loan Practices (Figure 17-7).
Figure 17-7 Select the holds to be placed on the selected records
4. Click Hold, and then, click OK.
Figure 17-8 shows the results of this case study. Notice that the two records now have the on hold symbols next to their entries.
Figure 17-8 Records on hold
17.3.2 Removing a hold
If you place records on hold manually, you must remove them manually.
Removing holds manually through individual entities on hold
To remove a hold, follow these steps for each entity:
1. Navigate to the entity from which you want to remove the hold.
For this case study, we navigate to SampleFP1 → BNK - Banking → BNK100 - Loans.
2. Right-click the record to remove the hold, and select the Remove Hold action from the pop-up menu. See Figure 17-9.
Figure 17-9 Select Remove Hold menu option
3. From the Remove Hold dialog window, select the hold that you want to remove. It is possible for an entity to have multiple holds on it for multiple litigation or various business reasons. In this window, you can remove one or multiple holds on this entity manually.
For this case study, we have only one hold. Select that hold and click Remove Hold (Figure 17-10).
Figure 17-10 Selecting the hold to remove
Removing holds by using a hold reason
The manual hold removal instruction that you just reviewed relates to holds on individual entities. For that action, you must know where the entities are located to remove their holds. If you want to remove the holds on multiple entities based on a common hold, follow these steps:
1. Select the Open Configuration View icon and Holds from the drop-down menu. Right-click the hold from which you want to remove the associated records and select the Review Entities on Hold, or select the hold and then click Review Entities on Hold, as shown in Figure 17-11 on page 372
Figure 17-11 Launching the Review Entities on Hold action
2. In the Review Entities on Hold dialog, search for the records to remove. For this case study, just click Search because we only have one record associated with that hold, there is no need to provide any search parameter. Select the records to remove from the hold and click Remove Hold, or right-click the record and select the Remove Hold pop-up menu action, as shown in Figure 17-12.
Figure 17-12 Review Entities on Hold
3. Close the dialog panel when all of the records are removed from that hold.
17.4 Dynamic holds and Hold Sweep
Hold Sweep is responsible for finding records that meet the conditions specified in conditional holds and then placing the hold on the records. In this case study, the Lawsuit on loan 1234 hold is dynamic and can be used with Hold Sweep.
A dynamic hold has the following lifecycle:
1. Active Hold Sweep: Pending
A dynamic hold was just created or reactivated (that occurs when a dynamic hold has gone through its lifecycle and is reactivated for a second cycle). Hold Sweep has never run for that hold. No record is put on hold yet.
2. Active Hold Sweep: Started
Hold sweep has been run at least once. Every time the Hold Sweep runs, it adds newly created records that match the condition on hold.
3. Requested Hold Removal
The hold is no longer needed and a request has been made to remove all of the holds for that dynamic hold from the records.
4. Removed Hold Sweep
Hold Sweep has run after a Requested Hold Removal. It is now inactive from a dynamic hold perspective, so it will not put any record on hold again until a request is made to reactivate it.
There are two ways to launch Hold Sweep:
•As a batch process
•As a task in IBM Content Navigator Task Manager
17.4.1 Launching Hold Sweep as a batch process
When run as a batch process, Hold Sweep must be launched using the operating system command line. It can also be scheduled by using the operating system scheduler to run when the system load is lower. Before you can run Hold Sweep as a batch process, you must configure it for the appropriate values.
Configuring Hold Sweep
You can configure Hold Sweep to run against a specific file plan object store (FPOS) or all of the FPOSes in a Content Engine. To configure Hold Sweep, perform the following tasks:
1. From a command prompt, navigate to the RecordsManagerSweep folder (typically installed under <IBM Enterprise Records Installation Folder>RecordsManagerSweep>) and run the following command:
RecordsManagerSweep.bat -HoldSweep -configure
The Dynamic Holds Sweep Configuration Console dialog panel opens (Figure 17-13).
Figure 17-13 Dynamic Holds Sweep Configuration Console
2. Specify the appropriate values for the following fields:
 – CE Server Name: Name or IP address of the Content Engine server.
For this case study, it is hq-daleq01.
 – Port Number: The Web Services Interface (WSI) port number that is used by your Content Engine server.
The default port number for Content Engine running under
IBM WebSphere Application Server is 9080, WebLogic is 7001, and JBoss is 8080.
For this case study, we use 8080.
 – FPOS NAME (optional field): Use the Globally Unique Identifier (GUID) or the name of the file plan object store on which you want to run Hold Sweep.
If you do not provide a value, the Hold Sweep process will run on all of the file plan object stores that are associated with the specified Content Engine server. If the name of the object store contains extended characters, use the GUID rather than the name.
For this case study, it is RdBook_Records.
The GUID here is the GUID of the IBM FileNet P8 domain. Every Content Engine object has a GUID that cannot be changed.
 – User ID: The user name that Hold Sweep uses to log on to Content Engine to perform calculations.
The user must have object store administrative rights on the FPOS and Records Administrator privileges.
For this case study, we use rbRMAdmin1.
 – Password: Password for the user ID.
 – Hold Names/GUIDs: The name or GUID of up to five holds, separated by the | character (pipe, or vertical line).
The Hold Sweep process uses only the specified holds. If no holds are specified, the Hold Sweep processes all of the active holds.
For this case study, we enter Lawsuit with Contractors|Lawsuit with Claims.
 – Processing Batch Size: The number of entities to be processed as a batch using the Hold Sweep process.
By default, this value has been set to 1000. For example, if this value is 1000 and there are 20,000 entities to be processed, Hold Sweep will process all entities in 20 batches, with 1000 entities in each batch.
For this case study, we use the default.
 – Retrieval Batch Size: The number of entities to be retrieved per batch using the Hold Sweep process.
By default, this value has been set to 100000. For example, if this value is 100000 and there are 1,000,000 entities to be processed, all the entities will be retrieved in 10 batches, with 100000 entities in each batch.
For this case study, we use the default.
 – Thread Count: The number of threads to be used for hold processing.
Typically, this value matches the number of processors on the server where the Hold Sweep is running, but the value can be adjusted based on the tuning of the system.
 – Error Log File Name: Enter the name and path of the error file to be created by the Hold Sweep process or use the default.
By default, a file called HoldSweepActivity.log is created in the ../FileNet/RecordsManagerSweep folder.
For this case study, we use the default.
3. Click Configure. You will see a message indicating the successful configuration of Hold Sweep.
Running Hold Sweep
Assuming that you have created an active dynamic hold, you can automatically place or remove records on dynamic hold by running Hold Sweep.
To automatically place records on hold:
1. Run Hold Sweep. From a command prompt, navigate to the RecordsManagerSweep folder and run the following command:
RecordsManagerSweep.bat -HoldSweep
2. Check the results. Hold Sweep finds records that meet the conditions that were specified in the conditional holds and places them on hold.
17.4.2 Launching Hold Sweep with Content Navigator Task Manager
Hold Sweep must be configured first to be usable under Content Navigator Task Manager.
Configuring Hold Sweep for Task manager
Task manager uses the Enterprise JavaBean (EJB) protocol to communicate with the sweep batch process. By default, Hold Sweep is configured for WSI.
1. To configure Hold Sweep for EJB, update the recordsmanagersweep.bat file (or recordsmanagersweep.sh for UNIX based system) where Hold Sweep is installed. Edit the following lines:
set CONNECTION_TYPE=WSI
set APP_SERVER=WebSphere
to
set CONNECTION_TYPE=EJB
set APP_SERVER=<your application server>
2. Go to the section that matches your application server and follow the instructions to adjust that section to your environment.
3. Using the IBM Enterprise Records application, set the location of the sweep batch process as shown in Figure 17-14 on page 377.
Select Open Administration View, expand the Desktops node in the tree view, and select your desktop. Select the Disposition & Hold Sweep tab and provide the information that includes the location of the sweep batch process.
Figure 17-14 Set up the sweep process in the configuration view
Launching a hold task in Task Manager
To create a new Hold Sweep task, complete the following steps:
1. Select the Open Task View icon, click Schedule from the drop-down menu, and select the Schedule Hold Sweep action, as show in Figure 17-15.
Figure 17-15 Launch the Schedule Hold Sweep task
2. In the task creation dialog panel, provide your repository name (the folder to where Hold Sweep will write the log) and a list of holds that you want this task to process. Then, click Next.
3. In the next window, provide the name for the task, specify whether you want to run it once or as recurring, and provide the user name and password to use for the sweep to access the record. The username to provide must have read/write access to all objects that it needs to process. Click Schedule sweep to launch the task.
17.4.3 Hold status changes
After Hold Sweep runs, the hold Sweep State for the hold changes to “Active holds sweep: started,” as shown in Figure 17-16.
Figure 17-16 Hold Sweep State after the Hold Sweep has run at least once
This state means that Hold Sweep has run at least one time. Each time that the Hold Sweep runs for that hold, it obtains any new records that match the condition and puts them on hold also.
 
Note: If a record property changes so that it does not match the dynamic hold condition, Hold Sweep will not remove the hold from that record. Hold Sweep places only new records on hold.
 
Note: Changing the Active status of a hold (by updating the hold properties) to False results in Hold Sweep not taking any action on that hold (neither adding new records nor removing records on hold).
17.4.4 Verifying the records that are placed on hold
After you run the sweep (as a batch process or by using Content Navigator Task Manager), verify that the records are held as a result of running Hold Sweep:
1. Navigate to the entity from which you want to check the hold.
For this case study, we navigate to SampleFP1 → BNK - Banking → BNK100 - Loans.
2. Verify that the hold icon is displayed next to the two records related to loan 1234, as shown in Figure 17-17.
Figure 17-17 Show record placed on hold by the Hold Sweep
3. You can view which hold is placed on a record from the Hold tab of the record properties. Select a record and click Properties (or right-click the record and select the Properties action from the menu), as shown in Figure 17-18.
Figure 17-18 Review which hold is placed on a record
17.4.5 Removing dynamic holds using Hold Sweep
When the holds are no longer required, initiate a Remove Hold Request and then run Hold Sweep, using the same name of the hold.
 
Note: Using Hold Sweep is the only way to remove a dynamically applied hold from a record. However, if a dynamic hold (meaning a hold with a condition) was applied manually to a record, that hold can be removed manually. It will also be removed automatically by a sweep during the Initiate Remove Hold Request action described in this section.
To remove a hold from an entity, follow these steps:
1. Launch IBM Enterprise Records Manager.
2. Select the hold that you want to process. Select the Open Configuration View icon and the Holds drop-down menu. Right-click the hold from which you want to remove the associated records and select the Initiate Remove Hold Request option from the menu, as shown in Figure 17-19.
Figure 17-19 Initiate a Remove Hold Request
3. Notice that the hold status has changed to Requested Hold Removal, as shown in Figure 17-20.
Figure 17-20 Hold status changed to Requested Hold Removal
4. Run Hold Sweep again (either as a batch process using the RecordsManagerSweep.bat -HoldSweep command or by using Content Navigator Task Manager) so that the system removes the hold from the corresponding entities.
5. Verify the results. Hold Sweep finds the records that are on hold due to the specific hold (for this case study, Lawsuit on loan 1234) and removes the holds from the records. Navigate to the category where the records are filed (for this case study, we navigate to SampleFP1 → BNK - Banking → BNK100 - Loans) and verify that the hold icon has been removed. You might need to click Refresh to refresh the list if you have not started a new browser session. See Figure 17-21.
Figure 17-21 Holds have been removed from the records
6. The Sweep State of the hold has also been updated to Removed Hold Sweep, as shown in Figure 17-22. Any subsequent Hold Sweep run ignores that dynamic hold. No new record will be put on hold based on this hold condition.
Figure 17-22 Sweep State after the hold have been removed
However, this dynamic hold can be reactivated by using the Enable Sweep Processing pop-up menu action and right-clicking the hold, as shown in Figure 17-23. That will return the hold state back to Active Hold Sweep: Pending.
Figure 17-23 Re-enable a dynamic hold that was already removed
 
..................Content has been hidden....................

You can't read the all page of ebook, please click here login for view all page.
Reset